ATTACHMENT 10.2.1
ANNUAL REPORT 2019/20
SHIRE OF CARNAMAH PREPARED BY Giulia Stangle Executive Co-ordinator Shire of Carnamah
PHOTOS BY Carnamah District High School students 2020 Carnamah Historical Society Holly Martin Photographer CONTENT
Acknowledgement of Traditional Custodians 4 Overview 5 Our Core 6 - Our Mission - Our Values - Our Aspirations Our Shire 8 Our Locations 9 Our Facilities 9 Chief Executive Officer Report 10 Shire President Report 12 Major Challenges 15 Strategic Community Plan 16 Corporate Business Plan 17 Report against SCP/CBP 18 Our Future 26 - Local Planning Strategy - Capital Works Program Other Major Initiatives for coming year 27 Our Council 28 Fees Paid to Elected Members 30 Elected Members training and PD 31 Organisational Structure 32 The Audit Committee 33 Statutory Reporting 34 -DAIP - Code of Conduct - Local Laws - Gift Disclosure - Public Interest Disclosure - Complaints - Compliance Audit Return - Freedom of Information - Contracts and Procurement - Community Consultations - Civic and Ceremonial Functions - Information on payments to employees Annual Financial Report for the year ended 30 June 2020 38 Independent Auditor’s Report 93
Shire of Carnamah - Annual Report 2019/20 3 ACKNOWLEDGEMENT OF TRADITIONAL CUSTODIANS
Shire of Carnamah would like to acknowledge the traditional custodians of this land, and pay its respect to local Aboriginal Elders, both past and present.
We also reflect on the spirit of the pioneers who settled this country and developed the land, and the service personnel whose sacrifices have enabled us to enjoy the lifestyle we have become accustomed to.
Shire of Carnamah - Annual Report 2019/20 4 OVERVIEW
Every Local Government in Western Australia is required to produce an Annual Report for each financial year as prescribed in the Local Government Act 1995. The Annual Report is approved by Council and presented to the community and stakeholders to inform them of the Shire's achievements, challenges and future plans.
The Shire’s performance is measured against the Strategic Community Plan objectives, and the projects and priorities detailed in the Corporate Business Plan. Shire of Carnamah is committed to provide accountable and transparent governance to the public and its community.
Feedback Feedback or questions relating to this Annual Report are welcome. Email: [email protected] Mail: PO Box 80 Carnamah WA 6517
Shire of Carnamah - Annual Report 2019/20 5 OUR CORE
OUR MISSION To maintain and enhance the rural way of life within the Shire of Carnamah.
OUR VISION The Shire of Carnamah will be a sustainable, progressive, desirable and caring community which recognises and values its diversity.
OUR ASPIRATIONS To be a vibrant country district with a strong community. To provide a great place to live, work, raise families and to visit. To be an area that maintains the traditions of a rural lifestyle.
Be characterised by a clean, friendly and safe environment. We will have an outstanding reputation for caring for our natural environment, cultural diversity and heritage.
Be a place of economic and lifestyle opportunity. We will ensure that our residents and visitors will have access to a variety of work and leisure options and will enjoy an excellent quality of life attuned to a rural lifestyle.
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Be recognised as a progressive, customer focussed country local authority. We will develop a culture of customer focus and engage with the community on an ongoing basis to ensure that community priorities are established and achieved.
Establish and maintain cost effective, efficient and sustainable community infrastructure and services. We will upgrade and efficiently maintain the Shire's extensive capital infrastructure and provide a high level of service to the community on a sustainable basis.
Promote health and wellbeing. Through the provision of facilities and services and ongoing consultative interaction with the community we will promote and encourage personal wellbeing, inclusiveness and harmony within the community. OUR SHIRE
Shire of Carnamah is located approximately 280 kilometres from Perth. The towns of Carnamah and Eneabba are thought to be part of Amangu country, however Carnamah is very near Badimaya and Widi country to the east and Yued to the south. Amangu is considered by some as the northern-most language group of the Noongar nation (which covers much of the south west corner of WA, including Perth), yet others include it as the southernmost part of Yamatji country.
Shire of Carnamah encompasses a total land area of 2,834.6sq km, of which 626.16sq km is crown reserve. Townsites and locations include Carnamah, Eneabba, Coolimba, Illawong and Winchester.
Shire of Carnamah has an estimated resident population of 534 (Australian Bureau of Statistics, 2019). Over the past decade, the population decreased by approximately eight percent.
There are 84 local businesses as of 2019. The major employers in the district are farming businesses, the local government, Carnamah District High School, agricultural machinery retailers and other agricultural service businesses.
Shire of Carnamah - Annual Report 2019/20 8 OUR LOCATIONS
CARNAMAH ADMINISTRATION OFFICE 33-37 Macpherson Street, Carnamah Open Monday to Friday, 8am to 4pm P 9951 7000 | E [email protected]
ENEABBA ADMINISTRATION OFFICE Eneabba Drive, Eneabba Open Thursdays, 10am to 2pm P 9955 1058 | E [email protected]
OUR FACILITIES
In Carnamah 25m swimming pool, bowling greens, tennis courts, basketball/netball courts, grassed oval (cricket and football), hockey oval, golf course, indoor recreation centre, airstrip, caravan park and town hall
In Eneabba 25m swimming pool, tennis courts, indoor recreation centre, golf course and airstrip
Shire of Carnamah - Annual Report 2019/20 9 OVERVIEWCHIEF EXECUTIVE OFFICER'S REPORT
Purpose of the Annual Report The Shire’s Annual Report is the primary means of providing our communities with information on the key milestones achieved through the financial year.
These milestones can relate to a range of responsibilities including corporate governance, risk management and statutory obligations, major projects, services and facilities we provide, and financial reporting.
The Shire plays a key role in the North Midlands and
Midwest in terms of how it supports the local Vin Fordham Lamont economy, the social fabric of its communities and the natural environment.
Key Outcomes and Impacts The 2019/2020 financial year played out against the backdrop of the COVID-19 pandemic. Initially, the biggest concern locally was the lack of toilet paper and other staples as a result of panic buying. Once things calmed down a bit, the majority of our community members appeared to experience only limited disruption to their lives. I, for one, am very grateful for this.
Some of the successful outcomes during the year included: Erection of Beach Emergency Number (BEN) signs in various locations within the Shire; Employment of a Records Administration Officer to ensure the Shire is compliant with its records management responsibilities; Review of Local Planning Scheme No. 2 completed; Sourcing and appointing a new GP to service Carnamah one day a week; Completion of annual roadworks programme; and Review of Council’s Risk Management Framework completed.
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Thank You I arrived in Carnamah midway through the 2019/2020 financial year to 46 degrees but the hot temperature was matched by the warm welcome I received upon my arrival. I have thoroughly enjoyed the first six months and look forward to a successful 2020/2021. I would like to take the opportunity to thank the following for their contribution to the Shire during the year: Our Shire President, Cr Isbister, and her fellow councillors; Deputy CEO, Ian Walsh; Manager of Works & Services, John Skinner, and his predecessor Phil Casbolt; Shire team members; and The communities of Carnamah and Eneabba.
In addition, I would like to acknowledge the contributions of long-serving employees who finished at the Shire during the year: Jenny Benson; Rex Ross; and Alyce Fowler.
VIN FORDHAM LAMONT Chief Executive Officer OVERVIEW SHIRE PRESIDENT'S REPORT
We welcome Vin Fordham Lamont as our Chief Executive Officer who commenced in this role in January 2020 and John Skinner as Manager of Works and Services.
The 2019 – 2020 financial year was one of continued progress for the Shire of Carnamah. In particular, the Shire was able to achieve under its Corporate Business Plan the following initiatives even though Covid 19 impacted on our lifestyle. Ongoing support for the local doctor and Merle Isbister allied health services, retention of the Doctor service has a fiscal impact but ensures that our Community benefits from the services of a Doctor. Advocacy for the retention and establishment of the Carnamah Child Care Inc, together with the Shire of Coorow, the Shire of Carnamah has provided fiscal support to the Child Care which has enabled parents to be contributors within our Communities. Fiscal support for both the Carnamah Child Care and Basketball Club was through the very Generous Donation of $15,000.00 from a Community Benefactor for which we are very appreciative of and can only publically THANK YOU through this report. Continued to work as active members of the Northern Country Zone, the Mid West Gascoyne Regional Road Group and the North Midlands Sub Regional Road Group and the District Emergency Management Committee. Covid-19 changed so much within our world and Community, as a Shire and Community we have worked together to keep people safe and healthy.
With continued Community engagement and consultation in 2019/2020 the Shire will be able to continue with economic development initiatives that look at creating additional employment for our communities that will also have social and environmental benefits.
Shire of Carnamah - Annual Report 2019/20 12 Other Ways We Have Helped the Community During 2019/2020 as the recipient of Grant funding Council resolved to assist the community with the following: Construction of gyms in both Carnamah & Eneabba Repairs to Macpherson Homestead Improvements to the Carnamah Museum Installation of CCTV to parts of Carnamah and Eneabba Townsite Repairs to the Carnamah Town Hall floor Repairs to the Carnamah Basketball Stadium Repaint the Carnamah Swimming Pool bowl Improvements to the Winchester Cemetery Upgrade to Chalet B at the Carnamah Caravan Park
Sport and Recreation Both communities have many recreational and sporting clubs that continue to use facilities provided by the Shire. The Shire is not able to provide these facilities without the help of the clubs and groups that use them. Sincere appreciation is extended to the many Sporting Clubs and Committees who have taken ownership to ensure that our Communities have the opportunity to engage in sporting activities and commendation to all who worked to keep our Communities safe in honouring the imposed social distance rules and guidelines.
Our Volunteers The Shire of Carnamah continues to be fortunate to have many volunteers who contribute to their community and also work with the Shire to promote Eneabba & Carnamah. Within the Shire we have many Clubs and organisations who strive successfully to make our Shire the Community we are proud to be part of. All Community Members who volunteer their time within the organisations they support continue to build on the safe and strong community fabric and ownership that exists within the Shire of Carnamah. It is vital that Shire Administration support our Community Groups as they are the fabric that binds our community and without cohesion we do not have Communities.
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Councillors With the Local Government Elections held in October 2019 we welcomed Councillor Wayne Council and Councillor Bruce Chisholm to our team of Councillors.
Fiscal Management The Auditors' report within this Annual Report once again validates our fiscal management. The Office of the Auditor General is satisfied that the Shire is compliant with Australian Accounting Standards and endorses the Shire's financial position as at 30 June 2020 as being a true and fairly represented view.
My Thanks On behalf of our community members, I would like to thank all Councillors, past and present for their effort and contribution throughout 2019/2020. Without their support and contribution, the Shire would not be able to continue to provide the good level of facilities and services it does across the district.
On behalf of all Councillors, I would like to extend to CEO Vin Fordham Lamont, the Deputy Chief Executive Officer Mr Ian Walsh, and all Shire of Carnamah Staff, our sincere appreciation for their commitment and contribution towards achieving the Shire’s objectives.
CR MERLE ISBISTER Shire President
Shire of Carnamah - Annual Report 2019/20 15 Our Year in Review 2019/20 MAJOR CHALLENGES
Ageing and decreasing population Increase in persons who have need for assistance with core activities*
Lack of diversity in local jobs Lack of investment to drive growth Lack of regional economic development funding Lack of strategic tourism approach in the District
Maintaining sporting and cultural opportunities through the pandemic Developing a realistic and sustainable financial model for asset management, particularly in the management of ageing infrastructure Potential reduction in the availability of grant funding offered to local government
Enhancing vibrancy of our towns through additional focus on economic development, investment attraction and creation of employment Activation of key locations Balancing community expectations of local government against regulatory requirements Managing the Shire’s natural environment in a changing climate
*Australian Bureau of Statistics, 2016.
Shire of Carnamah - Annual Report 2019/20 15 STRATEGIC COMMUNITY PLAN
Our highest level plan, the Strategic Community Plan (SCP) sets out the vision, aspirations and objectives for the Shire of Carnamah over a 10-year period.
The 2017-2027 SCP was developed through extensive research and community consultation. The SCP undergoes a major review every four years in consultation with members of the community, with the next major review to be completed in 2021.
Shire of Carnamah - Annual Report 2019/20 16 CORPORATE BUSINESS PLAN
The Corporate Business Plan (CBP) translates the aspirations of the SCP into concrete operational priorities and indicates how they will be resourced over a four-year period. The CBP articulates how the SCP objectives are to be delivered through all service delivery, capital works, strategic priorities and projects.
The CBP is reviewed annually to ensure the Shire remains adaptive and responsive to the changing external environment and community needs. The key themes in the Shire’s CBP are: Social, Environment, Economic and Civic Leadership.
Shire of Carnamah - Annual Report 2019/20 17 Theme Objective Strategy Action Comments Progres s Social Continuity and 1. To optimise primary a. Facilitate appropriate level of visiting • Weekly visits by Doctor improvement of care services and doctor and allied health professional existing services opportunities for the services and facilities in community. b. Maintain medical facilities that will • Adequate provision of the Shire cater for various health services appropriate facilities for visiting doctors, nurses and allied health professionals 2. To support an a. Assist with advocacy / grants for child • Ongoing appropriate level of care / playgroup education in the • Shire from child care b. Provide advocacy for the retention of Maintain working relationship to Vocational existing primary, secondary and with the Carnamah District High Educational Training vocational education training School to monitor secondary Programs. programs within the Shire. education programs provided at the school c. Assist with the provision of teacher’s • Council will consider requests in housing. the future reviews of the SCP
3. To plan and a. Engage the communities of • Completed implement town Carnamah and Eneabba on beautification beautification ideas and priorities programs. 4. Acknowledge the a. Construct and maintain residences • Additional independent living changing suitable for an ageing population units in the future if there is demographics and sufficient demand make provision for accommodation and b. Liaise with North Midlands Health • Ongoing advocacy role facilities for an Service to ensure appropriate delivery ageing population. of Home and Community Care (HACC) Services 5. To encourage the a. Provide financial and in-kind • Management of self-supporting level of participation assistance to sporting clubs to assist loan to Bowling Club in sport and in the improvement of facilities. recreation whilst
Shire of Carnamah – Annual Report 2019/20 18 improving facilities and access. • Resurface of netball courts Carnamah b. Liaise with neighbouring local governments regarding opportunities to share facilities to ensure costs can be minimised. c. Investigate funding opportunities to engage youth and community development services as required d. Establish walk trails in Eneabba 6. To promote and a. Promotion of the Arts and Education • Support of North Midlands Art facilitate the partnership Exhibition. development of a • wide variety of b. Promotion of “cultural tourism” Ongoing artistic and cultural through the Macpherson Homestead pursuits that forge and Carnamah Historical Society connections between c. Participation in regional cultural • Implementation of interpretative residents of the development such as the “Exploring images and signage associated district and their Wildflower Country Midlands Route”. with the “Exploring Wildflower natural and built Country Midlands Route” environments. initiative subject to grant funding.
Shire of Carnamah – Annual Report 2019/20 19 Theme Objective Strategy Action Comments Progres s Environment To provide 1. To identify future a. Expansion of Carnamah and Land extended. Fencing to be sustainable development and ongoing Eneabba waste disposal sites. undertaken in 2021/2022. management of maintenance requirements resources and at Shire waste disposal the protection sites. and enhancement of 2. To identify future recycling a. Identify and maintain recycling • Maintenance of recycling biodiversity, options. areas. facility. land, air and water • Maintenance of Drum Muster program & site. 3. To monitor and influence a. Establish and maintain contact • Advocacy and information. the regulatory environment with industry and agency relating to unconventional personnel. gas (fracking). 4. Maintain existing and new information on the potential impacts. 5. Engage with the community/ parliamentary b. Engage and inform the • Developed a policy covering reps and relevant agencies community. petroleum, mining and to ensure the best possible extractive industries. outcomes with respect to preservation of the environment and water • Developed a Community resources. Statement on fracking.
6. Effectively manage reserves a. Continuous improvement of our under Council’s controls knowledge of the district’s including road reserves. biodiversity and processes that 7. Encourage awareness and threaten it. appreciation of the district’s
Shire of Carnamah – Annual Report 2019/20 20 biodiversity and promote b. Support programs to monitor the community’s and evaluate the effectiveness involvement in its and efficiency in achieving conservation. biodiversity conservation. 8. Promote natural resources management that improves c. Develop and implement the productivity and safeguards Central West Coast Fire the welfare of future Protection Plan. generations.
9. Develop a position on the a. Continue to engage with the • Ongoing opportunities as a future management of the Department of Land with result of the Yamatji coastline. respect to future tenure and Southern Regional management of the area. Corporation Indigenous Land Use Agreement. b. Engage with the community when options for the future tenure and management of the area become clearer.
Shire of Carnamah – Annual Report 2019/20 21 Theme Objective Strategy Action Comments Progres s Economic To retain existing 1. To develop, maintain a. Lobbying State and Federal • Ongoing industries and and improve an efficient Governments to adequately fund roads. encourage the road system to support establishment of the transport new industries to requirements associated broaden the with agricultural district’s economic production. b. Maintaining effective working • Ongoing base and develop relationship with Main Roads WA Heavy and maintain an 2. To review and amend Transport section to ensure capacity of efficient road as necessary the Shire roads to sustain heavy haulage traffic is transport system. of Carnamah Local not exceeded. Planning Scheme No 2, c. Review and amend as necessary Local • Completed 2020. to ensure appropriate Planning Scheme No 2 land use zoning to accommodate future business activity.
3. Retain existing a. Promote availability of factory units and • Ongoing. industries and associated housing. encourage the b. • establishment of new Assist proponents with land Ongoing. industries to broaden availability/zoning matters to facilitate the district’s economic development. base. 4. To maintain and c. Develop and implement a ten year local • Ongoing. improve the standard of roads upgrade and management plan. community infrastructure including roads, public buildings, d. Develop and implement a footpath plan • Ongoing water, drainage, parks, for Carnamah and Eneabba. gardens and public
Shire of Carnamah – Annual Report 2019/20 22 open space, footpaths e. Manage Council road plant to ensure • See LTFP for 10 year and walk trails. resources are available to be effectively replacement program and efficiently utilised.
5. To promote and a. Participate in the “Wildflower Country” • Wildflower Country develop a sustainable marketing. membership tourism industry in the maintained. Shire of Carnamah b. Continue to improve the Carnamah • Ongoing Caravan Park and Eneabba Short Stay Facility to cater for changing demand in the accommodation industry
c. Promote and enhance natural • Wildflower Country environment and wildflowers to attract membership tourists. maintained
d. Support the Carnamah Tourism • Tourism Strategy Committee and the Carnamah Historical document arranged for Society. 2020/2021
Shire of Carnamah – Annual Report 2019/20 23 Theme Objective Strategy Action Comments Progress Civic To be a a. Council meeting agendas are • Ongoing Leadership professional, 1. To improve available in hard copy and customer focussed communications electronically 72 hours before each organisation, which: between Council and ordinary meeting of Council. • effectively the community; and to engages (with) disseminate the community to information. b. Council briefs will be published in • Ongoing determine local community newspapers after strategic each Ordinary Meeting of Council. direction, • responsibly manages the organisation’s c. The community will be engaged on • Ongoing assets and topical issues as they arise. financial resources, • is a strong 2. To responsibly manage a. Prepare and implement a long term • Will be updated annually. advocate for the Council’s financial financial plan. community. resources to ensure optimum value for b. Adopt an asset management and • Adopted Feb 2017 money and sustainable replacement strategy that minimises asset management. the net cost of replacing assets.
c. Utilise cash reserves to enable the • Ongoing funding for large projects over several years.
d. Evaluate resource sharing • Ongoing opportunities.
Shire of Carnamah – Annual Report 2019/20 24 e. Assess all potential funding sources, particularly grants to enable the • Ongoing maximisation of community benefit from matching cash contributions by Council.
3. Ongoing reviews of the a. A strategic review of the Strategic • The new Strategic Strategic Community Community Plan will be scheduled Community Plan is to be Plan. for two years from when it is prepared in 2020/2021 adopted. b. A full review of the Strategic Community Plan will be scheduled for four years from when it is adopted
4. Meet the required level a. Develop and maintain an Asset • Adopted 15 February of service in the most Management Plan. 2017 cost effective manner for present and future residents.
5. To ensure brigades and a. Assess needs on an annual basis • Annual state emergency prior to submission for funding services have vehicles, under the ESL grant scheme. plant, buildings, equipment and training to respond to b. Complete update of Shires of • Shires now have separate emergencies in Carnamah and Coorow local LEMA’s and Recovery accordance with the emergency management plan Plans LEMP. (LEMC).
Shire of Carnamah – Annual Report 2019/20 25 OUR FUTURE
Local Planning Strategy The local planning strategy is the framework for local planning and the strategic basis for local planning schemes. It provides the interface between regional and local planning, and is increasingly being seen by other agencies as the means by which to address economic, resource management, environmental and social issues at a strategic level.
The strategy sets out the local government’s objectives for future planning and development and includes a broad framework by which to pursue those objectives. The strategy addresses the social, environmental, resource management and economic factors that affect, and are in turn affected by, land use and development. The preparation and/or review of local planning strategies is required in conjunction with the statutory five-yearly review of local planning schemes. The Shire’s Local Planning Strategy was reviewed in 2020.
Capital Works Program The Shire of Carnamah's Capital Works Program for the coming year include: Carnamah-Eneabba Road, 6.77km kilometres of resealing Carnamah-Perenjori Road, 4 kilometres of reconstruction, widening and resealing Three Springs-Eneabba Road, 4 kilometres of reconstruction, widening and resealing Erindoon Road, 7 kilometres of reconstruction and gravel sheeting.
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OTHER MAJOR INITIATIVES FOR COMING YEAR
Review of Winchester Cemetery records and signage; Design for water-wise garden at Macpherson Homestead; Completion of new Recordkeeping Plan for the Shire; Develop mosquito management plan; Develop local health plan; Purchase and install generator for Shire Administration Office; Construct water bomber refilling facility at Eneabba airstrip; Re-apply kerbside house numbering in town sites; Develop Tourism Strategy for District; Update the Local Heritage Survey; and Develop new Asset Management Plans, Long Term Financial Plan and Workforce Plan for the Shire. OUR COUNCIL
Shire of Carnamah’s Council consists of 7 Councillors (Elected Members). The Shire President is elected by Council after each election. Elections are held every two years at which time half of the seats are contested. Council governs the Shire’s affairs, monitors the performance of its functions, and is responsible for allocating finances and resources. Council also determines and reviews the Shire’s policies, plans and other statutory documents.
CR MERLE ISBISTER ASM OAM (2023) SHIRE PRESIDENT
Bierman Place CARNAMAH WA 6517
Ph: 08 9951 1030 Mob: 0428 511 030 Email: [email protected]
Cr Isbister is a long term resident of Carnamah with strong ongoing community involvement in St John Ambulance. She was made a Dame of Grace of the Order of St John in April, 2013. Cr Isbister was first elected to Council in May 2003 and was elected President in October 2007.
CR DWAYNE WOOLTORTON (2021) DEPUTY SHIRE PRESIDENT PO Box 110 CARNAMAH WA 6517 Ph: 08 9951 1140 Email: [email protected]
Cr Wooltorton is a Principal of North Midlands Accounting Service and a long term resident of Carnamah. He was first elected in October 2013.
Shire of Carnamah - Annual Report 2019/20 28 CR IAN BOWMAN (2023) PO Box 152 CARNAMAH WA 6517 Ph: 08 9951 1338 Mob: 0427 511 338 Email: [email protected]
Cr Bowman is a third generation broadacre farmer who is a Life Member of the North Midlands Agricultural Society. He was first elected to Council in December 2009.
CR CON KIKEROS (2021)
Caron Street CARNAMAH WA 6517 Mob: 0487 822 105 Email: [email protected]
Cr Kikeros is a returned serviceman who is a long term resident of Carnamah with strong involvement in the RSL and management of the Carnamah Bowling Club Inc. He was first elected in March 2011
CR WAYNE COUNSEL (2023) PO Box 81 CARNAMAH WA 6517 Mob: 0439 650 550 Email: [email protected]
Cr Counsel came to Carnamah in 2003, the proprietor of an electrical business, with a young family. Since then the family has purchased farming land in the district and the combination of business and farming has created a strong commitment to the successful future of the Shire.
Shire of Carnamah - Annual Report 2019/20 29 CR LUKE RISINGER (2023) Bierman Place CARNAMAH WA 6517 Mob: 0403 260 145 Email: [email protected]
Cr Risinger has lived in Carnamah since 2011. He runs an earthmoving business servicing local farmers and industry, and is involved in the sporting community. Raising his young family here, he is particularly supportive of industry and business that provide services to the area.
CR BRUCE CHISHOLM (2021) 19 Parker Street CARNAMAH WA 6517 Mob: 0428 591 318 Email: [email protected]
Cr Chisholm has lived in Carnamah since early childhood, returning after completing school and an apprenticeship to further expand the family business. He is an avid member of the sporting community and has recently purchased a home in Carnamah. Particular interest is creating a positive impact to make the Shire a more attractive place for families, in the face of a declining and dwindling population.
FEES PAID TO ELECTED MEMBERS
Elected Member Conference Remuneration for 2019/20 (4,880.73 in total) was related to the Local Government Week Conference. Other fees paid to elected members for 'Council and Committee Meetings Attendance' were as follows:
Meeting Fees $15,700 Phone & Internet Allowance $3,500 Travel Allowance $480
Shire of Carnamah - Annual Report 2019/20 30 ELECTED MEMBERS TRAINING AND PROFESSIONAL DEVELOPMENT
To enable Council Members to develop and maintain skills and knowledge relevant to their roles as representatives of the community, Members are encouraged to attend conferences, workshops, forums and training events.
The Amendment Act that came into effect on 29 June 2019 introduced provisions relating to Council Member training and professional development. Local governments are now required to report on training undertaken by Council Members each financial year. The CEO must publish the report on the Council’s official website within one month after the end of the financial year. The following table lists training completed in the 2019/20:*
*for full details, go to carnamah.wa.gov.au/council/councillors
Completed In Progress Risinger Cr Cr Counsel Cr Isbister Cr Wooltorton Cr Bowman Council Member Essentials (WALGA) Cr Kikeros Cr Chisholm
Conflict of Interest
Understanding Local Government
Meeting Procedures
Understanding Financial Reports & Budgets
Serving on Council
CEO Performance Appraisals
Responsabilities and Understanding Financial Records and Budgets (WALGA)
Shire of Carnamah - Annual Report 2019/20 31 ORGANISATIONAL STRUCTURE
2019/2020 (as at 30 June 2020)
COUNCILLORS
PRESIDENT Merle Isbister DEPUTY PRESIDENT Dwayne Wooltorton
COUNCILLORS Ian Bowman Wayne Counsel Con Kikeros Bruce Chisholm Luke Risinger
CHIEF EXECUTIVE OFFICER Vincent Fordham Lamont
EXECUTIVE COORDINATOR RECORDS OFFICER Adam Fawkes Giulia Stangle
GRANTS OFFICER Tammy Sandison EMERGENCY MANAGEMENT AND
RANGER SERVICES COMMUNITY Grant Fidock DEVELOPMENT OFFICER Vacant
DEPUTY CHIEF EXECUTIVE OFFICER
MANAGER OF Ian Walsh WORKS AND SERVICES John Skinner SENIOR CUSTOMER
FINANCE SERVICE OFFICER OFFICERS Judy Roux CARNAMAH OUTSIDE FINANCE ROAD CREW Hope Casbolt OFFICER CARNAMAH ENEABBA GARDENERS Melissa Borg Vaughn Philbey Liza Capill
John Wren Michael Wren
Chad Bentley Brian Spark CARAVAN PARK TRAINEE MANAGERS Darren Bentley Paige Bentley Lewis Armstrong Ray Sweet John Bentley Lisa Sweet POOL MANAGERS Phil Casbolt CARNAMAH
Vacant
ENEABBA CLEANER ENEABBA Denise Burden Rob Machin Stephen McWhirter Kevin Connolly
Shire of Carnamah – Annual Report 2019/20 32
THE AUDIT COMMITTEE
The Audit Committee’s role is to oversee and monitor the effectiveness of Council in carrying out its responsibilities in regard to risk management, internal control, legislative compliance, and internal and external audit reporting.
The Audit Committee met on four occasions during 2019/20. Matters considered by the Audit Committee included:
Operating Surplus Ratio below the Department Standard as identified in the Audit Report – 2017/2018 Financial Management System Review Operating Surplus Ratio below the Department standard as identified in the Audit Report – 2018/2019 Review of Audit Management Letter and Annual Financial Report (Statements) for the year ended 30 June 2019 2019 Compliance Audit Return Business Continuity Plan Risk Management Documentation Workplace Emergency Management Plan
Shire of Carnamah - Annual Report 2019/20 33 STATUTORY REPORTING
Disability Access and Inclusion Plan The Disability Services Act 1993 requires all local governments and selected state government agencies to develop a DAIP to assist in the promotion of access and inclusion of people with disability. Generally, a DAIP is required to represent a five-year period; however, it may be developed more regularly if exceptional circumstances demand it. The Shire of Carnamah will use this DAIP as the blueprint to strive for the highest standards in access and inclusion and to set an example for others to follow.
To assist in this process, we are committed to the following seven desired outcomes of the DAIP: 1.People with disability have the same opportunities as other people to access the services of, and any events organised by, a public authority. 2.People with disability have the same opportunities as other people to access the buildings and other facilities of a public authority. 3.People with disability receive information from a public authority in a format that will enable them to access the information as readily as other people are able to access it. 4.People with disability receive the same level and quality of service from the staff of a public authority as other people receive from the staff of that public authority. 5.People with disability have the same opportunities as other people to make complaints to a public authority. 6.People with disability have the same opportunities as other people to participate in any public consultation by a public authority. 7.People with disability have the same opportunities as other people to obtain and maintain employment with a public authority.
Due to a massive turnover of staff and some poor recordkeeping techniques between 2015 and 2019, the current administration is unable to report on the progress of access and inclusion strategies proposed in the previous DAIP. The Shire will instead work diligently towards implementing the strategies contained in the 2020-2025 DAIP.
Shire of Carnamah - Annual Report 2019/20 34 Code of Conduct The Code of Conduct establishes acceptable standards of ethical conduct for Councillors, committee members and employees. The Code addresses probity and responsibility and encourages greater transparency and accountability. The Code is a commitment to ethical and professional behaviour. The Code performs two functions; it achieves compliance with statutory obligations and provides a framework for achieving high ethical standards. The Code is to be read in conjunction with the Local Government (Rules of Conduct) Regulations 2007 (Conduct Regulations). A copy of the Code of Conduct can be found in the Shire of Carnamah Policy Manual, available publically on the website.
Local Laws Section 3.16 of the Local Government Act 1995 states that a local government must conduct a review of its local laws at least once every eight years. The next review is due in 2021.
Gift Disclosures The Local Government (Rules of Conduct) Regulations 2007 requires elected members to notify the Chief Executive Officer within 10 days of accepting a notifiable gift. A notifiable gift is a gift (or two or more gifts within six months) between $50 and $300 received from a person who is undertaking, seeking to undertake, or who it is reasonable to believe is intending to undertake, an activity involving Council discretion. Elected members and staff are prohibited from accepting gift/s above the value of $300. The CEO is required to maintain a register of notifiable gifts.
Shire of Carnamah’s Gift Register can be found on the Shire of Carnamah website: www.carnamah.wa.gov.au/council/public-documents
Public Interest Disclosures The Public Interest Disclosure Act 2013 (Commonwealth) aims to ensure openness and accountability in government. Disclosures are treated in confidence and persons making a disclosure are protected from detrimental action. The Chief Executive Officer is the appointed Public Interest Disclosure (PID) Officer for the Shire. During 2019/20 the Shire did not receive any disclosures.
Complaints In accordance with section 5.121 of the Local Government Act 1995, Council maintains a register of complaints related to conduct breaches by Council Members. None were recorded for the year 2019/20.
Shire of Carnamah - Annual Report 2019/20 35 Compliance Audit Return The Local Government (Audit) Regulations 1996 requires local governments to carry out an annual compliance audit for the period 1 January to 31 December. The corresponding return includes a range of compliance questions, which are divided into various categories. These categories change from year to year, at the discretion of the Department of Local Government, Sport and Cultural Industries. The categories for this year were: Commercial Enterprises by Local Governments; Delegation of Power/Duty; Disclosure of Interest; Disposal of Property; Elections; Finance; Integrated Planning and Reporting; Local Government Employees; Official Conduct; Optional Questions (relating to CEO reviews of financial management systems and procedures, and risk management, internal control and legislative compliance, and reporting of related party information); and Tenders for Providing Goods and Services.
The 2019 Compliance Audit Return was adopted by Council in 19 February 2020 with a certified copy of the Return, along with the relevant section of the Council resolution, submitted to the Department of Local Government, Sport and Cultural Industries.
Freedom of Information In complying with the Freedom of Information Act 1992, a Freedom of Information statement is reviewed and published annually on the Shire’s website. There were no FOI applications lodged during 2019/20.
Civic and Ceremonial Functions The Shire hosted a number of civic and ceremonial functions which were attended by members of the community and key stakeholders. Some of these events included a volunteer appreciation function and a Citizenship Ceremony. Unfortunately the COVID-19 pandemic meant that the ANZAC Service was cancelled in 2020. The Shire encouraged residents to ‘light up the dawn’ by taking part in their own driveway dawn services. The Shire conducted one Citizenship Ceremony at which four residents became Australian citizens.
Shire of Carnamah - Annual Report 2019/20 36 Contracts and Procurement As a local government delivering services to the community, the Shire buys a range of goods and services. Suppliers may be businesses or individuals who supply equipment, utilities and fleet, or assist with maintenance and construction of buildings, community and sporting facilities, roads, parks and landscaping. Suppliers also assist with delivery of services such as waste management, street cleaning, training programmes, and other consultancy services.
All purchasing is conducted in compliance with the requirements of the Local Government Act 1995 and the Local Government (Functions and General) Regulations 1996, and in accordance with the Shire’s Purchasing Policy, internal protocols and Code of Conduct.
The Shire has systems and processes in place for managing the procurement process with approved suppliers and contractors. Calling for quotations and tenders is a competitive process. Written quotations are required for all purchases with a value ranging from $25,000 to less than $250,000 (previously $150,000). The purchase of goods and services for $250,000 (previously $150,000) and over requires a public tender.
Community Consultations In October 2019, a community-wide economic development workshop was presented by Dr Barbara Maidment from the Margaret River Business Centre, which was attended by over 70 interested locals. The purpose of the workshop was to review the Shire of Carnamah Economic Development Blueprint & Action Plan, which Council had previously adopted. The result of the workshop was that 5 key projects were identified to form the basis of initial economic development activity: 1.Community hardware shop; 2.Recycling plant, including tyre recycling; 3.Worm/compost farm and carbon sequestration; 4.Export hay depot; and 5.Grain processing, such as flour and meal from lesser grains.
The hardware shop and worm farm were prioritised as pilot projects to rejuvenate economic development in Carnamah.
Information on payments to employees for the year ended 30 June 2020. In accordance with Local Government (Administration) Regulation 19b, Council reports that it has two employees entitled to a salary of $100,000 or more. These employee have an annual salary entitlement that falls within the bands between $100,000 - $110, 000 and $130,000 - $140,000 respectively.
Shire of Carnamah - Annual Report 2019/20 37 ANNUAL FINANCIAL REPORT FOR THE YEAR ENDED 30 JUNE 2020
Shire of Carnamah - Annual Report 2019/20 38
INDEPENDENT AUDITOR'S REPORT
Shire of Carnamah - Annual Report 2019/20 93 94 95
ATTACHMENT 10.2.3 (1)
SHIRE OF CARNAMAH AUDIT COMMITTEE TERMS OF REFERENCE
Role
The Shire of Carnamah (Shire) has established the audit committee under section 5.8 of the Local Government Act 1995 (LGA).
The audit committee assists the Shire in fulfilling its oversight responsibilities in relation to systems of risk management and internal control, the Shire’s processes for monitoring compliance with laws and regulations, including the code of conduct, financial and performance reporting, and external audit. The audit committee is not responsible for the management of these functions.
The audit committee will engage with management in a constructive and professional manner to perform its oversight responsibilities.
Members of the audit committee are expected to: • understand the legal and regulatory obligations of the Council for governing the Shire • understand Council’s governance arrangements that support achievement of its strategies and objectives • exercise due care, diligence and skill when performing their duties • adhere to Council’s code of conduct • help to set the right tone in the Shire by demonstrating behaviours which reflect the Shire’s desired culture • be aware of contemporary and relevant issues impacting the local government sector • only use information provided to the audit committee to carry out their responsibilities
Authority
Council authorises the audit committee, in accordance with this Terms of Reference, to: • obtain any information it requires from any official or external party (subject to any legal obligation to protect information) • discuss any matters with the Office of the Auditor General (OAG), or other external parties (subject to confidentiality considerations) • obtain legal or other professional advice when necessary to fulfil its role, at the Shire’s expense, subject to approval by Council • request the attendance of any official at audit committee meetings.
The audit committee may undertake other activities as requested by Council.
Membership
The audit committee comprises the full membership of Council. Members are appointed at the first Council meeting after a Local Government election (refer to section 5.10 of the LGA). Their membership expires on the day of the next ordinary elections day or as otherwise described in section 5.11(2).
Elections of presiding member and deputy presiding member are to be carried out in terms of sections 5.12 and 5.13 of the LGA.
The audit committee will be administratively supported by the Shire.
Responsibilities
Pursuant to Regulation 16 of the Local Government (Audit) Regulations 1996, an audit committee has the following functions — (a) to guide and assist the local government in carrying out — (i) its functions under Part 6 of the Act; and (ii) its functions relating to other audits and other matters related to financial management; (b) to guide and assist the local government in carrying out the local government’s functions in relation to audits conducted under Part 7 of the Act; (c) to review a report given to it by the CEO under regulation 17(3) (the CEO’s report) and is to — (i) report to the council the results of that review; and (ii) give a copy of the CEO’s report to the council; (d) to monitor and advise the CEO when the CEO is carrying out functions in relation to a review under — (i) regulation 17(1); and (ii) the Local Government (Financial Management) Regulations 1996 regulation 5(2)(c); (e) to support the auditor of the local government to conduct an audit and carry out the auditor’s other duties under the Act in respect of the local government; (f) to oversee the implementation of any action that the local government — (i) is required to take by section 7.12A(3); and (ii) has stated it has taken or intends to take in a report prepared under section 7.12A(4)(a); and (iii) has accepted should be taken following receipt of a report of a review conducted under regulation 17(1); and (iv) has accepted should be taken following receipt of a report of a review conducted under the Local Government (Financial Management) Regulations 1996 regulation 5(2)(c); (g) to perform any other function conferred on the audit committee by these regulations or another written law. Administration
Meetings
The audit committee will meet as frequently as necessary. The Chair is required to call a meeting if asked to do so by Council and the CEO. If a meeting is requested by another audit committee member, OAG or chief audit executive, the Chair will decide whether the meeting is necessary. The Chair will oversee the planning and conduct of meetings including the approval of the agenda and draft minutes, and reporting to Council.
A quorum will consist of a majority of committee members. The quorum must be in place at all times during the meeting.
Independence and conflicts of interest
The audit committee must be independent from management of the Shire. At the start of each audit committee meeting, members are required to declare any personal interests that may apply to specific matters on the meeting agenda. The Chair, in consultation with the CEO where appropriate, is responsible for deciding if the members should excuse themselves from the meeting or from the audit committee’s consideration of the relevant agenda item(s). Details of any personal interests declared by the Chair and other audit committee members, and actions taken to manage the conflicts, should be appropriately recorded in the meeting minutes.
Review of terms of reference
The audit committee will ensure that this terms of reference document complies with relevant legislative and regulatory requirements and will propose amendments when necessary to ensure that it accurately reflects the committee’s current role and responsibilities. Any substantive changes will be recommended by the audit committee and formally approved by Council. ATTACHMENT 10.2.3 (2)
Western Australian Auditor General’s Report
Western Australian Public Sector Audit Committees – Better Practice Guide
Report 26: 2019-20 25 June 2020 Office of the Auditor General Western Australia
Report team: Jordan Langford-Smith Mona Loo Jo Stapley Vanessa Kar Financial Audit Directors
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ISSN: 2200-1913 (Print) ISSN: 2200-1921 (Online)
The Office of the Auditor General acknowledges the traditional custodians throughout Western Australia and their continuing connection to the land, waters and community. We pay our respects to all members of the Aboriginal communities and their cultures, and to Elders both past and present. WESTERN AUSTRALIAN AUDITOR GENERAL’S REPORT
Western Australian Public Sector Audit Committees – Better Practice Guide
Report 26: 2019-20 June 2020 THE PRESIDENT THE SPEAKER LEGISLATIVE COUNCIL LEGISLATIVE ASSEMBLY
WESTERN AUSTRALIAN PUBLIC SECTOR AUDIT COMMITTEES – BETTER PRACTICE GUIDE This report has been prepared for submission to Parliament under sections 23(2) and 24(1) of the Auditor General Act 2006. Better practice checklists regularly feature in my Office’s performance audit reports as a means of providing guidance to help the Western Australian public sector perform efficiently and effectively. This is the first comprehensive stand-alone better practice guide we have produced. While prepared primarily as a resource for audit committees in State and local government entities, it also provides Parliament with further insight on the significant role public sector audit committees play in supporting quality public administration.
CAROLINE SPENCER AUDITOR GENERAL 25 June 2020 Contents
Auditor General’s overview ...... 4
Part 1: Introduction ...... 5
1.1 About this guide ...... 5 1.2 Who should use this guide ...... 6 1.3 Lines of defence model ...... 7 1.4 Acknowledgements ...... 8 Part 2: Key challenges to building effective audit committees ...... 9
2.1 Establishing and maintaining effective relationships between the three governance parties ...... 9 2.2 Getting the right balance of skills and experience ...... 11 2.3 Enabling robust discussions at audit committee meetings ...... 13 2.4 Being aware of all assurance activities ...... 14 2.5 Seeking assurance on organisational culture ...... 15 Part 3: Principles for better practice audit committees ...... 18
Part 4: Guidance for audit committee fees...... 24
Part 5: Guidance for smaller entities ...... 25
Part 6: Toolkit ...... 27
Tool 1 Example audit committee charter ...... 28 Tool 2 Audit committee member induction checklist ...... 37 Tool 3 Meeting preparation checklist ...... 39 Tool 4 Meeting agenda template ...... 41 Tool 5 Characteristics of effective meetings ...... 43 Tool 6 Annual work plan template ...... 44 Tool 7 Audit recommendations progress report template ...... 49 Tool 8 Review of OAG audit reports template ...... 50
Western Australian Public Sector Audit Committees – Better Practice Guide | 3 Auditor General’s overview
Audit committees play a fundamental role in assisting directors general, councils and boards to fulfil their governance and oversight responsibilities. They are not a substitute for good management and controls. Instead, they help provide advice and independent assurance to the accountable authority on how effective these controls are. The purpose of this guide is to provide better practice principles and guidance to accountable authorities, audit committee members and senior managers with responsibility for audit committee activities. We have drawn from our experience in interacting with audit committees at State and local government entities, as well as guidance from the Institute of Internal Auditors and other jurisdictions. WA public sector entities range in size and complexity. Service delivery, rigorous compliance requirements and the ability to attract and retain skilled, qualified and experienced staff can be a challenge. To assist smaller entities to address these challenges, we have included some specific guidance to help them implement simple, yet effective practices to strengthen the effectiveness of their audit committees. There is also a toolkit in part 6 of the guide with useful resources for all entities. Maintaining a strong ethical organisational culture is important in promoting excellence and efficiency in public service delivery, as well as minimising the risk of fraud and corruption. Failures in governance and integrity are all too common across sectors and jurisdictions, and recent inquiries into the finance sector have highlighted the important role that audit committees play in challenging management and holding them accountable. Poorly governed entities often have common characteristics, including a lack of an accountability culture that can be evident in such areas as long overdue internal and external audit recommendations. By ensuring that management promptly address weaknesses identified in internal and external audits, and by rigorously overseeing internal audit, risk management and compliance functions, audit committees can help to establish the right tone and culture within entities. The guide provides principle-based guidance for State and local government entities in Western Australia. We recognise that the specific legislative and regulatory requirements for State and local government entities are different, and it is therefore difficult to have a ‘one- size-fits-all’ approach for better practice guidance. Entities need to consider their relevant legal and regulatory requirements as well as operating environment when using this guide. It has been pleasing that the importance of public sector audit committees has been elevated recently, which included the introduction of a revised Treasurer’s instruction for audit committees in State government entities. While our guide is not mandatory or intended to be a prescriptive list of requirements, I hope that it serves as a useful resource for entities in assessing and improving their audit committees for the benefit of the Western Australian community.
4 | Western Australian Auditor General Part 1: Introduction
Audit committees are an essential part of an entity’s governance framework. They provide independent advice and assurance to accountable authorities on systems of risk management and internal control, and financial and performance reporting. (Figure 1). All State and local government entities in Western Australia are required to establish an audit committee that is independent from management influence, a fundamental element of effective audit committees. If they are not independent, objectivity may be compromised, making it difficult for them to perform their oversight roles.
Source: OAG Figure 1: Scope of audit committee oversight responsibilities 1.1 About this guide This guide provides better practice principles and guidance on common key challenges that audit committees face. The guide consists of six parts: Part 1: Introduction outlines the purpose of the guide and explains the lines of defence model. Part 2: Key challenges to building effective audit committees provides insight into the key challenges faced by audit committees based on our observations from attending a wide range of Western Australian public sector audit committees. Part 3: Principles for better practice audit committees outlines core better practice principles for our State public sector audit committees based on guidance from the Institute of Internal Auditors Australia (the IIA). These principles are as follows:
Western Australian Public Sector Audit Committees – Better Practice Guide | 5 Principles for Better Practice Audit Committees 1. Membership: Members have the right experience and leadership skills to be trusted independent advisors. 2. Role and Responsibilities: The roles and responsibilities of the audit committee allow for wholesome oversight of internal audit, governance, risk management and internal control practices. 3. Professional Practices: The audit committee conducts itself professionally to provide independent, sound and valuable advice to the accountable authority. 4. Performance and Accountability: The audit committee is aligned with the entity’s strategic outcomes and is accountable for its performance. 5. Entity Relationships: The audit committee is a trusted, independent partner. 6. Governance and Reporting: The audit committee is governed effectively to enable transparent, objective and timely reporting.
Part 4: Guidance for audit committee fees outlines information to guide fee arrangements for external audit committee members. Part 5: Guidance for smaller entities provides practical measures that smaller entities could apply to build effective audit committees with limited resources. Part 6: Toolkit includes a comprehensive compilation of templates and checklists which can be used to help develop effective audit committees. Throughout the guide, we have used the term ‘accountable authority’ to collectively represent: • for State government entities, the Director General, Commissioner, Board, or other person responsible for the direction and control of the entity as defined in the Financial Management Act 2006 or relevant legislation • for local government entities, Councils. This reflects the direct reporting relationship between the audit committee and Council under the Local Government Act 1995. However, it is important to note that the Chief Executive Officer (CEO) has some responsibilities under the Act, including financial reporting, which instead rests with the accountable authority in State government entities. We have also used the term ‘audit committee’ to represent all public sector audit-related committees. Within the public sector, there is a wide range of names for audit committees, such as, Audit and Risk Committees. 1.2 Who should use this guide While we have tailored this guide for public sector entities in Western Australia, the principles and practices outlined in this guide generally apply to all audit committees. This guide is suitable for members of audit committees, accountable authorities, CEOs, chief audit executives and senior managers with responsibility for audit committee activities, as well as those who are accountable to an audit committee.
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1.3 Lines of defence model The lines of defence model is a visual representation of the different mechanisms (defences) which all work All entities regardless of their size and complexity should together to manage risks and ensure that controls are establish a good understanding implemented and effective. It helps to provide a of their risks and four lines of coordinated approach for managing entities’ risks. defence. The lines of defence model typically identifies the 3 lines of defence within the entity. However, external auditors, regulators, parliamentary committees and other integrity bodies also provide important information and assurance on the implementation of controls within an entity. We have referred to these entities as the fourth line of defence. Figure 2 below illustrates the activities for each line of defence and the general flow of communication between each of the bodies.
Source: OAG Figure 2: WA public sector four lines of defence model
To apply the model, entities need to understand and assess business activities performed by each line of defence. This is often referred to as ‘assurance mapping’. This mapping helps the accountable authority, audit committee and management to understand whether there are any gaps in assurance activities that manage key risks or whether there is duplication of effort. This can help inform the internal audit program, improve efficiency and assist the audit committee in their oversight responsibilities.
Western Australian Public Sector Audit Committees – Better Practice Guide | 7
1.4 Acknowledgements We would like to express our appreciation to the public sector entities and their staff and individual audit committee members and Chairs for sharing their valuable insights. In particular, a number of stakeholders, experienced in governance and accountability roles, willingly shared their views and suggestions for this guide. We highly valued and appreciated their input, guidance, advice and time. In addition, we would like to thank the Institute of Internal Auditors - Australia (and Global) and the Australian National Audit Office who allowed us to use their resources to inform our guide.
8 | Western Australian Auditor General Part 2: Key challenges to building effective audit committees 2.1 Establishing and maintaining effective relationships between the three governance parties High functioning audit committees rely on strong working relationships between the accountable authority, the head of internal audit (the chief audit executive) and the audit committee (Figure 3). To support effective governance of an entity, the communication between them needs to be open, transparent and built on a relationship of trust.
Source: OAG Figure 3: Relationships between the three governance parties
Roles and responsibilities of governance parties Accountable Authority is responsible for establishing an effective audit committee and internal audit function1 which is suitable for the entity. The accountable authority relies on the audit committee to provide independent oversight over the governance of financial and non- financial activities. To be effective, the Chief Audit Chief Audit Executive is the head of internal audit Executive needs to be of a within an entity. To maintain their independence, the sufficiently senior level and Chief Audit Executive (CAE) should not perform key respected by management as a management duties. For example, the Chief Finance key contributor to good Officer should not take on the role of CAE. governance and entity outcomes. This means that they need to be For local government entities, responsibility for the aware of current initiatives and internal audit function rests with the CEO, who also activities within the entity, be reports to the audit committee and council. Given suitably qualified, have open that it is important for internal audit to be access to senior management and independent from management, it is good practice the accountable authority and for the CAE to also have a direct line of adequate resources to carry out internal audits and support the communication to the audit committee (a functional audit committee. reporting relationship). While entities can use different models for their internal audit services (in-house, co-sourced or fully outsourced), it is critical that the entity appoint a CAE who is responsible for the internal audit function. This role should be performed by a capable and respected professional internal to the entity, even if all internal audit services are outsourced. The roles and responsibilities of the CAE should be documented and formally approved in the Internal Audit Charter. Audit Committee provides independent advice and assurance to the accountable authority over the entity’s systems of risk management and internal control, and financial and performance reporting. It consists of a group of members who support the accountable authority to instil strong control and risk practices within the entity by overseeing and probing
1 For State entities only, refer to section 53(1)(d) of the Financial Management Act 2006.
Western Australian Public Sector Audit Committees – Better Practice Guide | 9 activities relating to governance, control, risk management and compliance. The audit committee does not, and should not, hold formal decision-making powers. Rather, it relies on the skills and expertise of members to obtain sufficient appropriate information, through the CAE and internal auditors as their “eyes and ears”, as well as reports from management and external auditors and advisers. For local government entities, the role of audit committee is prescribed by the Local Government Act 1995 and Local Government (Audit) Regulations 1996. They do not have powers or authority to implement actions in areas over which the CEO has legislated responsibility and they do not have any delegated financial responsibility. The committee does not have management functions and cannot involve itself in management processes or procedures.
Key aspects for effective relationships between the governance parties
Supporting the independence of the CAE The accountable authority and audit committee must take an active role in promoting the independence of internal audit and protect them from pressure from senior management. There are some cases where the accountable authority and audit committee need to increase their support for the CAE. For example, if management seeks to limit internal audit activities and scope, takes an overly defensive attitude towards audit findings, attacks the credibility of the CAE or fails to respond to audit enquiries and recommendations.
The audit committee needs to receive and request the It is important that the audit right information committee and CAE are clear about the expectations of The audit committee may struggle to effectively perform its internal audit. Having clear duties if it does not receive or request the right expectations about the information. The committee needs to know what content, format and frequency information to “pull” from internal audit and the CAE needs of internal audit reports and to know what information to “push” forward to the audit other reporting is crucial to committee. To establish this flow of information, there having an effective must be strong working relationships between the audit relationship. committee and CAE and an understanding of what information both parties need. A good example of this is the CAE and audit committee Chair working effectively together, where possible, to establish an agenda for the audit committee meeting. The agenda should not be set by one party in isolation. Instead, the Chair needs to be comfortable obtaining information from the CAE to inform and direct the meeting. Similarly, the CAE needs to be confident in raising matters or concerns with the Chair and helping to guide the agenda and discussions. Figure 4 provides some practical examples of common challenges faced by entities and how the 3 governance parties can work together to overcome the challenge.
Better practice activity Example scenario Timely and open The entity is subject to a cybersecurity attack and activates its incident engagement with the response plan. As part of the response, senior management writes to audit committee on an the Chair of the audit committee to inform them of the breach and to emerging issue seek their input on management’s planned response. At the next audit committee meeting, management provides an update on the incident and key decisions and outcomes agreed by management as part of their regular reporting on cybersecurity incidents. The audit committee evaluates risk management actions and internal audit plans based on this information.
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Better practice activity Example scenario The timely and open discussion at the audit committee meeting provides additional independent assurance to the accountable authority that the measures the entity took to address the major incident are sound and based on informed decisions. Treating the CAE as a A senior executive decided not to implement recommendations from trusted partner an internal audit on project management because the project was completed. The senior executive sought the accountable authority’s approval to close the recommendations, without seeking input from the CAE. The accountable authority then checked whether the CAE was consulted on the decision. When the accountable authority became aware that the CAE was not consulted, the accountable authority sought advice from the CAE prior to deciding on the matter. The accountable authority reminded senior executives of the need to engage with the CAE when considering internal audit recommendations. CAE reporting directly The CAE administratively reported to a senior executive who was to the audit committee trying to limit the scope of an internal audit in the executive’s area, and accountable without informing the audit committee. authority The CAE reminded the senior executive that they also need to report to the accountable authority and audit committee. The CAE raised the matter with the Chair of the audit committee and accountable authority and sought their advice. The accountable authority informed the executive team about the independence of internal audit, and allowed the CAE and audit committee to determine the scope of the internal audit to obtain the necessary assurance on priority risks. Source: OAG Figure 4: Examples of effective relationships between the governance parties 2.2 Getting the right balance of skills and experience It is essential that audit committee members have the right experience, personal qualities and independence to effectively perform their duties.
Independence is key Having independent audit committee members who are free from management oversight and responsibility will help to bring an objective perspective and fresh insights to audit committee discussions. Audit committees that fully or predominately consist of senior management members will have difficulties in setting aside their management responsibilities to perform their oversight role. While local government entities and statutory authorities have a natural division between those charged with governance and management, this is not the case for State government departments. Changes to Treasurer’s Instruction 1201: ‘Internal Audit’ The audit committee Chair (TI 1201), in 2019 have strengthened the independence plays an important role in of audit committees. All State government entities subject leading and guiding to the Treasurer’s instructions are required to have an discussions at audit audit committee Chair who is not employed by the entity committee meetings. The and is suitably qualified. The guidelines in TI 1201 also Chair should be independent, recommend having a majority of members who are free of and have the right management responsibility and oversight. interpersonal skills to guide discussions on complex and For local government entities and statutory authorities sensitive matters. whose audit committee members comprise of selected
Western Australian Public Sector Audit Committees – Better Practice Guide | 11 board or council members, having at least 1 appropriately skilled audit committee member who is completely independent of the board or council can bring fresh insight or bridge gaps in the experience needed by the audit committee to perform their duties. While the Director General or CEO should not be a member of the audit committee, it is important that they can attend meetings as an observer to provide context on important issues impacting the entity where useful or necessary, preferably meeting with the committee at least annually.
Collective expertise that is relevant to the entity The audit committee must collectively have the knowledge, skills, qualifications and experience to perform its functions. As a minimum, the committee should comprise members with financial, risk management and relevant public sector or industry experience. Having a broad range of members from differing backgrounds helps to bring diverse perspectives to important issues and minimises group-think. Members should have senior governance and leadership experience in operating environments similar in complexity to that of the entity the audit committee is overseeing. Familiarity with the public sector environment of heightened probity, transparency and accountability is essential. If a new member does not have demonstrated experience working in or with the public sector, they must at all times fully inform themselves of their obligations and those of the entity. In these circumstances, induction and ongoing mentoring by the CAE, Chair and other members is important to support their contribution to committee effectiveness. The skills and capabilities needed can vary over time, and will vary depending on the nature of the entity’s activities. For example, if the entity is undergoing significant changes to information systems, the accountable authority may wish to consider appointing a member with IT operations or project leadership experience. Alternatively, audit committees can also use specialists or experts to help in the discussion of complex matters.
Leadership and interpersonal skills Members, and in particular the Chair, need the right leadership and interpersonal skills to make committee meetings effective. Members need to feel confident to respectfully and, where necessary, persistently probe management, and to make useful contributions throughout the meeting. Much has been written on the qualities that make an effective committee member and these are relevant to public sector audit committees, recognising that public sector audit committees do not have decision-making authority or formal governance responsibility.
The committee needs at least three members There is no specific number of members for a strong effective audit committee. However, audit committees should have at least 3 members2. In determining the appropriate number of members, the accountable authority should consider what skills and experience is required based on the nature of the entity and its operations. Too few members may mean the committee does not have the extent of experience and knowledge to make informed decisions, and too many members may hinder robust discussion and debate. Large complex State entities may choose to consider whether it is appropriate to establish the role of special advisers to the audit committee, within their charter. Senior managers appointed as special advisers participate like other audit committee members, but do not have formal membership status or ‘voting’ rights. They are there to provide operational context and detail to the committee. This is particularly important for audit committees
2 For State entities refer to Treasurer’s instruction 1201: ‘Internal Audit’ guidelines. For local government entities refer to section 7.1A of the Local Government Act 1995.
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comprising mainly external members. These senior executives gain a valuable professional development opportunity from working closely with the committee, who are often senior governance professionals, and the opportunity to view their organisation from an oversight perspective. 2.3 Enabling robust discussions at audit committee meetings Robust and respectful discussions between the audit committee, management and auditors are essential to good audit committee outcomes. It is important that the secretariat and CAE spend sufficient time planning audit committee meetings to facilitate these important discussions and achieve required outcomes.
Merely providing data/information versus delivering clear messages Overwhelming the committee with data or information is unlikely to result in effective meetings and discussions. Information must be meaningful and fit for purpose. The CAE role in the audit committee meeting is more than simply gathering and transmitting information between management and the audit committee. The CAE should apply their professional expertise to deliver clear messages for audit committee deliberations. This is particularly important when the internal audit function is outsourced, as the CAE needs to ensure that the information meets the needs of the entity. Summary papers, which succinctly explain the issue and actions for the audit committee, are a good way to achieve this.
Having the courage to challenge A good indicator of an effective audit committee is whether management feel that they have been When management attend audit appropriately challenged during audit committee committee meetings, they should discussions. This requires courage from members to be prepared to answer challenging and difficult questions from audit question and probe management when necessary. committee members. Members should not take management assertions at face value, they should ask probing questions to ensure that the issue is not more significant than they are led to believe, or to make sure that a management action has actually been performed.
“Show me, don’t tell me” Audit committees will need a level of evidence for assertions made by management, particularly around implementation of audit and review recommendations. They should be prepared to request from management all documentary information that the committee reasonably requires to satisfy themselves that key risks have been appropriately managed. The rigour and openness around evidencing management actions provides the audit committee insight into organisational culture and the commitment to accountability and transparency.
Having open discussions Due to the advisory nature of the audit committee, they need capacity to discuss other matters which may not be included in the formal agenda. The agenda should allow for open discussion on other matters, as well as closed sessions with the CAE, internal audit teams or Office of the Auditor General (OAG). This will provide an opportunity for members to consider other matters which they would like to discuss and clarify.
Western Australian Public Sector Audit Committees – Better Practice Guide | 13 2.4 Being aware of all assurance activities It is vital that the audit committee has a sound understanding of the entity’s assurance activities When developing an internal audit plan, the committee should consider overall, as this provides valuable insights and direction the following question: to internal audit for its work program. ‘Is internal audit providing Assurance mapping can help to identify all assurance assurance on high risk activities, activities to ensure that the proposed internal audit and considering where there are plan focuses on areas where assurance is most gaps in assurance?’ needed.
Using the fourth line of defence Entities that use the fourth line of defence (external assurance) will be in a better position to coordinate their assurance activities. Having a complete picture of other assurance activities performed by the OAG, regulators or oversight committees, can help to identify gaps in assurance or potential risk exposures. The audit committee should be aware of all external assurance activities, including OAG performance and focus audits and reports by other regulators or committees. Some examples of good practice behaviours we have observed at audit committees include: • tracking and following-up the implementation of findings from OAG performance audits conducted within the entity • performing self-assessments using the better practice information included in OAG focus and performance audits, and reporting the results back to the audit committee • including the OAG audit committee briefing paper as part of meeting papers. This paper provides a regular snapshot of recently completed audits and audits in progress • having a standing agenda item on fraud which provides a summary of relevant points from recently tabled Corruption and Crime Commission, Public Sector Commission or Parliamentary reports, or recent media coverage on fraud.
Understanding important financial reporting matters Audit committees have an important role in overseeing financial and performance reporting within the entity. To perform this role effectively, it is critical that the audit committee has at least one member with a sound level of organisational-scale financial literacy. Audit committee responsibilities for financial and performance reporting include reviewing financial statements and key performance indicators (State government entities) and recommending them for signature by the accountable authority, engaging with the OAG auditors during the financial audit, and reviewing and overseeing key controls related to financial reporting. It is a good idea to incorporate these reviews into the audit committee’s annual work plan. In order to review and endorse Best practice audit committees typically receive financial statements, audit committees briefings on important matters or issues impacting need complete and accurate risks, controls, financial and non-financial information about changes in reporting. Figure 5 provides an example of how to accounting standards, accounting report important control matters to the audit policies, judgements, estimates and committee. errors.
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Reporting a significant control matter to the audit committee If an entity became aware that there was a significant payroll error or inappropriate use of a purchasing card, even if the amount in question was immaterial in value for the financial statements, such a matter would always be considered material in nature due to it representing a significant control breakdown or fraudulent activity. In addition to reporting the matter to the Director General or CEO, the chief finance officer (CFO) would discuss the matter with the CAE and initially advise the Chair of the audit committee of the error and the actions taken or proposed to resolve it. The CFO should also raise the matter with the OAG financial audit team. For the next audit committee meeting, the CFO and CAE should prepare a briefing for the committee on the matter, the likely impact and the actions taken or needed to correct the issue. The audit committee would consider the impact of the matter on risk assessments, external reporting and planned assurance activities. The committee would invite the CFO and representatives from human resources to the meeting to discuss the matter and obtain confidence around actions and improvements. The committee would follow up to make sure control weaknesses were appropriately addressed and outcomes of any relevant investigations, disciplinary processes or referrals to integrity agencies.
Source: OAG Figure 5: Advising the audit committee of significant control matters
Sharing information between the lines of defence Management, in both the first and second lines of A central register for defence, frequently organise reviews and audits to management reviews is useful assess maturity of their environment and identify to provide timely and collective business improvement opportunities. It is important that information of past and current these activities are captured and shared with the CAE to activities to improve controls help inform assurance mapping and allow for and business performance. consolidated reporting of assurance activities to the audit committee. Visibility by the audit committee on management-initiated reviews helps to understand areas of risk management concern for management, systemic issues requiring improvement, and allows monitoring to ensure that internal auditors are not being used excessively by management and thus impairing their independence. 2.5 Seeking assurance on organisational culture Even though the culture of an entity cannot be seen, it is a fundamental part of strong governance (Figure 6). Forward thinking accountable authorities and audit committees strive to maintain a sound culture within the entity to protect it from breakdowns in controls or fraud.
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Source: OAG Figure 6: Factors that contribute to a healthy organisational culture
Internal audit is in a good position to assess culture Despite culture being a complex area to audit, internal audit is in a good position to provide assurance to the audit committee on it.
Culture auditing involves evaluating factors that influence Do you know your behaviour and attitudes (soft controls) and examining hard culture indicators? evidence such as policies and employee surveys. Internal audit They include: can assess culture in many ways. They can perform a specific • trust audit covering culture, embed consideration in all potential • openness internal audits, provide a general observation on culture in all • honesty audit reports or use it in root cause analysis for audit findings. • values • behaviours To embed culture into assurance practices, the 3 governance • leadership parties should:3 • ethics. • give internal audit a clear mandate to audit entity culture and include the requirement in the internal audit charter • set the right tone and demonstrate expected behaviours among others by practicing, measuring and assessing the culture of compliance with policies, procedures and controls • understand the entity’s culture risks including signs of negative leadership styles (autocratic, narcissistic, secretive, hypocritical, deflecting) • observe culture indicators while performing internal audits • have candid discussions on culture matters, e.g. being comfortable to talk about ‘gut feel’ and subjective judgements • use a mapping tool to understand and assess the entity’s culture and identify improvement opportunities. An example of such a tool is The Cultural Web4.
Reporting culture to audit committees Reporting to the audit committee about culture can be daunting for CAEs. Auditors typically like using hard, objective evidence to support findings. However, auditing organisational
3 Organisational Culture: Evolving Approaches to Embedding and Assurance, the Chartered Institute of Internal Auditors UK. 4 The Cultural Web is a tool used to map the culture of organisation, developed by Gerry Johnson and Kevan Scholes.
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culture involves looking at soft indicators based on subjective judgements. To assist with this, internal audit can use metrics to support culture reporting. These are included in Figure 75.
Objective metrics Employee survey results, complaints, frequency and nature of legal issues, turnover statistics, frequency of repeat audit findings, frequency of large projects failing, timeliness and effectiveness of corrective actions, whistleblowing reports, loss events, compensation claims.
Subjective metrics Lack of open communication (caused by fear, lack of trust, or information hoarding), excessive focus on short-term results, chronic grumbling by employees, gossip and rumours that lead to repercussions, ‘my way or the highway’ management approach that inhibits input and healthy debate, competition to get ahead rather than cooperation, lack of accountability from senior management.
Source: Institute of Internal Auditors Australia Figure 7: Metrics for auditing culture
Audit committees and internal auditors should feel comfortable discussing aspects of culture. These include receptiveness by managers to scrutiny, the extent to which line areas view audit as a continuous improvement opportunity and management’s general understanding of accountability and probity obligations in the public sector. Discussions of this nature may be more constructive during the routine closed-door sessions between independent committee members and auditors, without management present.
5 The Institute Internal Auditors Auditing Culture: Observation and Data, article by James Roth.
Western Australian Public Sector Audit Committees – Better Practice Guide | 17 Part 3: Principles for better practice audit committees The following section outlines better practice principles for public sector entity audit committees. These principles are based on the IIA’s six key elements of effective audit committees which they use in their maturity model. The requirements for State and local government entities can be different, and entities should adapt these principles accordingly.
1. Membership: Members have the right experience and leadership skills to be trusted independent advisors. 1.1 Members are independent: 1.4 Membership terms are appropriate: • The audit committee has an • Members are appointed for a minimum independent external Chair. term of at least 3 years. To ensure that • Members are independent from the day- the committee has fresh insight and to-day management of the entity. This perspective, we would not recommend may not always be possible, but we exceeding a term of around 6 years. recommend that the majority of • The accountable authority can terminate members are independent of committee members for poor management. performance. • The Director General, CFO or CEO are • Appointments are staggered where not members of the audit committee. possible to ensure continuity and clear However, they may attend meetings as succession for the audit committee observers or advisors. Chair. 1.2 The Committee has the right number of 1.5 Members receive a formal induction: members: • The entity has a formal induction • The committee consists of at least 3 process for members that includes an members. information briefing, site visits (where • For entities with boards/councils, the relevant) and discussions with the CAE audit committee acts as a sub- and accountable authority, including committee and is not the entire around the applicable legislative board/council. We recommend a framework, probity, transparency and maximum of 5 members. accountability obligations and 1.3 Members have the right skills and expectations. experience: • The Chair meets with new members to • All audit committee members and the provide an overview of the committee CAE are formally appointed by the and outline member expectations. accountable authority. 1.6 The committee has access to external • As a collective group, members have auditors: the right skills, experience and • The committee requests an external knowledge to competently perform their auditor to attend meetings as an duties. At a minimum, the committee observer. should comprise of members with 1.7 The Committee can seek advice when financial, risk management and relevant needed: industry or public sector experience. • The audit committee charter allows the • The independent Chair should have the committee to obtain expert advice when right interpersonal and leadership skills needed. to effectively run the committee. An • The committee uses existing expertise understanding of financial and other within the entity to provide briefings on reporting requirements is also important. emerging risks, issues or matters which For State entities, the Chair should have can help improve the member’s membership in a professional understanding of the entity. accounting body or the IIA, or appropriate financial experience.
18 | Western Australian Auditor General 2. Roles and responsibilities: The roles and responsibilities of the audit committee allow for wholesome oversight of internal audit, governance, risk management and internal control practices. 2.1 Roles and responsibilities are clearly • The CAE monitors changes in practice documented in the audit committee (e.g. changes in the Institute of Internal charter: Auditors’ Professional Practice • The audit committee charter clearly Framework (IPPF)) or other legislative or defines the independence, accountability, regulatory changes and suggest role and responsibilities and reporting amendments to the committee as arrangements for the committee. appropriate. • The roles and responsibilities of the 2.4 Audit committee members seek to committee are consistent with legislated continuously improve their skills and power and duties. understanding: • The internal audit charter aligns with the • The CAE provides the committee with audit committee charter. regular information on trends and emerging issues relating to governance, 2.2 Audit committee roles and risk and compliance. responsibilities allow for comprehensive • Audit committee members endeavour to oversight: maintain current and relevant knowledge • The charter clearly outlines the by seeking additional information where committee’s responsibility for overseeing required. For example, requesting governance, risk management, internal information from management about a controls and compliance. particular function performed by an entity • The audit committee functions include or by attending staff training on overseeing activities that help entities governance matters. achieve their strategic objectives. 2.5 Members are aware of legislative and • The charter allows the audit committee to regulatory requirements, standards and consider innovation and improvement guidance: ideas. • Members are aware of all regulatory • The committee’s charter allows it to requirements, standards and guidance monitor emerging risks and business relevant to the entity. Four important practices. requirements include: • Where controls are managed by another o State Financial Framework - entity under a shared service Financial Administration Bookcase, arrangement, the audit committee has a including Treasurer’s instruction process to obtain comfort from the service 1201: ‘Internal Audit’ for State provider that the controls are operating government entities effectively. For example, the service level o Local Government Act 1995 and agreement or memorandum of associated regulations understanding for the arrangement allows Requirements of effective internal the entity’s audit committee to request o audit functions as prescribed by the appropriate assurance from the service IPPF provider. Entity-specific legislation and • Arrangements for shared audit o regulatory compliance obligations. committees or internal audit functions are This can be found in the entity’s clearly documented in the audit annual report. committee charter (if applicable). 2.6 The committee does not make 2.3 The audit committee charter is management decisions: appropriately approved and regularly • The Audit Committee does not, and updated: cannot, get involved in the day-to-day • The audit committee and accountable decision making by the entity. The authority formally approve the audit committee can provide advice on committee charter. important matters, but the responsibility • The audit committee review and update for approving decisions must rest with the audit committee charter annually. the accountable authority or the CEO.
Western Australian Public Sector Audit Committees – Better Practice Guide | 19 3. Professional practices: The audit committee conducts itself professionally to provide independent, sound and valuable advice to the accountable authority. 3.1 Conflicts of interest are considered and 3.3 Key activities are scheduled in a forward managed: work plan: • Potential new members are required to • Key activities of the audit committee are declare any actual or perceived conflicts planned and scheduled in a forward of interest. work plan. • Processes for declaring and managing • CAEs monitor the forward work plan to conflicts of interest are included in the determine what information and support audit committee charter and the service the audit committee might need. agreement (where relevant) for audit 3.4 Members attend all meetings where committee members. possible: • Members declare any conflicts of • Meetings are scheduled in advance to interest at the start of each meeting. facilitate 100% attendance of audit committee members. 3.2 Meetings are regularly scheduled and include private sessions with important 3.5 Members share responsibility and act stakeholders: independently: • The audit committee meets at least four • Audit committee members function as a times a year, with capacity to meet at collective advisory group and share other times when necessary to perform responsibilities equally. a function (such as reviewing the • All members maintain their independent financial statements and key stance at all times, even if they are not performance indicators). independent of management. • The CAE regularly meets with the audit committee privately to discuss issues, management attitudes and risks. • During the financial audit exit meeting with the OAG, the audit committee has a closed-door session with the auditors without management present. This provides a frank and open opportunity for the auditors to discuss how the audit went, whether they received the information they needed and whether there are any concerns with management behaviour that the committee should be aware of. • The audit committee schedules private meetings with the accountable authority from time to time.
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4. Performance and accountability: The audit committee is aligned with the entity’s strategic outcomes and is accountable for its performance. 4.1 The audit committee has mechanisms to 4.5 The committee has unrestricted access assess its performance: to the governing body and senior • The charter outlines expectations of the management: audit committee and includes processes • The audit committee charter allows the to monitor and measure performance. audit committee to access the Board, These can include an annual self- Council, CEO and senior management assessment and regular independent where necessary to discuss important reviews of the audit committee. matters. 4.2 Meeting minutes are prepared and 4.6 Annual self-assessment by members: distributed to members quickly: • The audit committee performs an • Meeting minutes are distributed to annual self-assessment to ensure it is members within the agreed timeline in operating effectively. the audit committee charter. A 2-week • The committee seeks feedback from timeframe is commonly used in practice. observers from time-to-time to inform 4.3 Attendance is monitored: this assessment. • The CAE or secretariat monitors 4.7 Periodic, independent assessment of attendance by audit committee committee performance: members and implements alternative • There is an independent assessment of measures (e.g. virtual meetings) where the audit committee periodically (e.g. necessary. every 3 to 5 years) in conjunction with • The charter clearly outlines the the independent assessment of the minimum number of members for a internal audit function. quorum. The CAE or secretariat actively monitor whether there will be a quorum 4.8 The committee models the values and and reschedule the meeting if desired culture of the entity: necessary. • The audit committee demonstrates the right tone and culture for the entity. For 4.4 Action items are followed-up and example, holding management to addressed promptly: account for delays in implementing • Any action items arising from audit actions is one way to set a good tone committee meetings are recorded and within the entity. promptly distributed to the responsible • Committee members adhere to the officer for actioning. entity’s code of conduct. For example, • The implementation of action items is members keep information confidential monitored and evidenced. and conduct themselves in a • The audit committee papers include a professional and respectful manner. standing agenda item on the status of 4.9 Activities are aligned to the strategic action items. There should be enough mission of the entity: information in the papers to allow the • audit committee to understand the The committee understands the entity’s nature of actions taken to date and the strategic plan and direction and reflects real reasons for any delays. on this when discussing the internal audit plan or risks.
Western Australian Public Sector Audit Committees – Better Practice Guide | 21 5. Entity relationships: The audit committee is a trusted, independent partner. 5.3 The committee uses expert advice where 5.1 There are regular meetings to build and necessary: maintain effective relationships: • The audit committee accesses external • The audit committee Chair regularly expert advice when needed to support meets with the accountable authority. their deliberations. For example, the • The accountable authority sees the audit committee may wish to obtain audit committee as a strategic partner independent legal advice to help them and communicates with the Chair understand a significant issue raised in openly. an internal audit report. • The accountable authority shares 5.4 Entity staff are aware of the audit important information about issues or committee and internal audit: risks openly with the audit committee, • Information on the audit committee’s and meets with the committee at least role, functions and responsibilities, as annually. well as the services offered by internal 5.2 The committee obtains information from audit, is available on the entity’s executive management: intranet. • The audit committee receives regular • The induction process for senior briefings from executive management executives includes a meeting with the on key matters related to their CAE and the Chair of the audit operations. For example, information on committee. significant projects, long outstanding audit recommendations or emerging risks. • Senior management use the collective experience and wisdom of the audit committee to guide their actions on important matters.
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6. Governance and reporting: The audit committee is governed effectively to enable transparent, objective and timely reporting. 6.1 There are dedicated secretariat 6.4 Audit recommendations are recorded resources: and monitored: • The committee has sufficient secretariat • A log of outstanding audit support to plan and document meetings. recommendations is prepared for each • The CAE oversees the secretariat in audit committee meeting. This log preparing agendas, meeting papers and should include the recommendations reviewing minutes and discusses these from all internal, financial and with the Chair for approval. performance audits conducted within the entity. 6.2 The committee maintains independence • Agreed actions to address the safeguards: recommendations are clearly articulated • The audit committee always acts to and reported accurately to the audit protect the independence of the internal committee in the log. audit function and the CAE. • Internal audit has a framework to review 6.3 Conflict of interest procedures are and close-out audit recommendations adhered to: that suits the entity’s needs. This • Members declare all actual, perceived framework should be approved by the and potential conflicts of interest at the audit committee. start of each meeting. • Audit committee members monitor the • Other conflict of interest processes, implementation of recommendations such as annual declarations, are and challenge management to ensure adhered to and monitored by the audit that actions are actually implemented. committee and CAE. 6.5 The accountable authority is adequately briefed: • The audit committee, with the assistance of the CAE, provides a briefing to the accountable authority after each meeting on key issues or risks. 6.6 The Audit committee regularly reports on its performance: • The entity’s annual report includes information about the audit committee and outcomes delivered during the period.
Western Australian Public Sector Audit Committees – Better Practice Guide | 23 Part 4: Guidance for audit committee fees
The appointment of independent audit committee members, who are external to the entity, will raise consideration of whether they are entitled to be reimbursed for their services.
There is some guidance in the Premier’s Circular 2019/07 - State Government Boards and Committees regarding the payment of fees to committee members. Generally, fees cannot be paid to people who are full time State, Commonwealth and local government employees, Members of Parliament, current and retired judicial officers (except Magistrates) and current non-academic employees of public academic institutions. Entities should be aware of the requirements of this circular, and other legislation and regulations, when determining whether a fee can be paid to an external member.
Guidance for determining fees Any fees paid to external audit committee members should reflect their role on the committee and associated responsibilities and expertise. For example, the audit committee Chair may need a different level of remuneration to other external members as they perform additional duties, such as having regular discussions with key governance parties, including the CAE and accountable authority. Some items which entities may wish to reimburse members for include: • meeting attendance and preparation time (this could be a fixed amount per meeting or an hourly rate) • travelling expenses • accommodation expenses. When determining fees paid to external members, the entity and the member need to clearly agree on the hourly rates, generally with an upper limit of the amount of hours required to perform their duties, or a fixed annual fee, and the extent of reimbursements allowed. Entities should clearly document State entities can use the these arrangements in a services agreement. TI 1201 Common Use Agreement on includes a template services agreement for engaging an Audit and Financial Advisory independent external Chair. The template includes set terms Services as a guide or and conditions relating to payment of fees. While this is not benchmark for remuneration. compulsory, entities should consider using it to help develop service agreements. Entities should ensure that they comply with relevant procurement policies or requirements when obtaining external members.
24 | Western Australian Auditor General Part 5: Guidance for smaller entities
We recognise that it is difficult for smaller entities, particularly those located in regional or remote locations, to establish audit committees that meet all of the better practice principles outlined in this guide. However, the risks to good governance remain very real in these entities too. This section provides guidance for smaller entities to help them improve the effectiveness of their audit committee.
Financial risk expertise is essential While the functions of the audit committee are diverse, overseeing financial and performance reporting processes, and their associated internal controls, are incredibly important. Audit committees can help to prevent fraud by: • understanding and challenging management about the accounting treatments, judgements and estimates used to prepare financial statements • engaging with the OAG and management about deficiencies in internal controls and the actions needed to remediate these. To do this effectively, at least one audit committee member needs to have an understanding of financial reporting and accounting standards, and the role of internal and external audit. When trying to find members with financial reporting experience, smaller entities may wish to consider sharing resources with similarly sized entities. For example, a local government entity could consider the suitability of an accountant from a neighbouring shire as an independent audit committee member, or a suitably experienced person from a larger local government entity could be an audit committee member if they can perform their role remotely.
Smaller size does not mean smaller risk The meeting agenda and annual work Smaller entities are often exposed to unique inherent plan templates, provide additional risks such as limited segregation of duties and guidance on the matters which should potential conflicts of interest issues associated with a be considered in audit committee limited number of suppliers in regional areas. Not meetings. These templates are managing these risks properly can increase the risk included in the toolkit. of fraud or error. Audit committees need to be aware of these risks and ensure that there is independent oversight of the processes to manage them. For example, regular internal audits on procurement which look at the processes for managing conflicts of interest can help provide assurance to the committee. In addition, risk management training for audit committee members can help them understand and assess risks relevant to smaller entities.
Sharing resources may help bridge gaps Smaller entities, who deliver similar services to the community, may benefit from sharing resources to help build the capability of their internal audit function and audit committee. This could be achieved by using a shared internal audit service. State government entities have the option to consider sharing their audit committee with another entity, provided that committee members have a sound understanding of both entities’ operations, culture and goals and devote adequate time to oversee each entity.
Roles and responsibilities must be clearly communicated during induction The audit committee may include members with varied experience that bring valuable insights to entities. However, there is a chance that members may not have any previous
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audit committee experience. This means that having an To assist smaller entities effective induction process, which clearly explains roles, with their induction responsibilities and expectations is vital. Smaller entities processes, we have may wish to consider additional training or guidance to included an induction help them understand their important role. checklist in the Toolkit.
Getting the most from the fourth line of defence Smaller entities should use information and guidance from external sources, such as the OAG, parliamentary committees, Public Sector Commission and Corruption and Crime Commission as much as possible to assess their systems of risk management and internal controls. For example, information from OAG audit reports can help entities understand common risks in the sector, and frequently contain better practice guidance which smaller entities can self-assess against.
External auditors can provide valuable perspective The OAG, and their contracted auditors are independent, and can provide information on whether controls are operating effectively. To facilitate good discussions between the OAG, management and the audit committee, it is essential that all parties discuss issues openly and frankly. For example, local government entities may wish to consider suspending standing orders at audit entrance and exit meetings to allow the audit committee, management and the auditors to have robust discussions.
Seeking independent assurance when one person performs many roles Smaller entities may have one person (such as the CEO or executive manager of corporate services) responsible for multiple functions such as risk management, compliance and internal audit. This can create a self-review risk, if they are being asked to report on the effectiveness of all of these processes to the audit committee. Audit committees need to be aware of these risks and put strategies in place to provide a level of independent assurance about these important functions.
Audit recommendations need prompt action Smaller size entities have fewer staff and this may make it more difficult to resolve audit recommendations quickly. Given the inherent risks associated with smaller entities mentioned above, it is vital that the audit committee insists that control deficiencies, particularly those that could result in the misappropriation of assets, are prioritised and actioned and documented promptly.
Audit committees need good support Timely and succinct reporting is important to demonstrate that the audit committee is accountable for its governance role. This means that it is important that minutes of meetings and any action items, or requests for further information are actioned and documented promptly.
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Part 6: Toolkit
The toolkit contains a number of templates that public sector entities may find useful to help establish and maintain an effective audit committee. The templates help to promote the better practice principles included in the guide and are designed to be easily tailored to meet the entity’s specific circumstances. Entities should take care to modify the tools to reflect their legal or regulatory requirements. For example, local government entities will need to adapt these templates to address the specific requirements of the Local Government Act 1995 and relevant regulations. These tools may be updated from time to time. Please check our website for the latest version.
List of tools 1 Example audit committee charter 2 Audit committee member induction checklist 3 Meeting preparation checklist 4 Meeting agenda template 5 Characteristics of effective meetings 6 Annual work plan template 7 Audit recommendations progress report template 8 Review of the OAG audit reports template
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Tool 1 Example audit committee charter The following example is designed to assist accountable authorities and audit committees develop an audit committee charter that reflects our better practice principles. Source: OAG using information from the Institute of Internal Auditors Australia and Australian National Audit Office
ENTITY NAME AUDIT [AND RISK ASSURANCE6] COMMITTEE CHARTER
Role The accountable authority has established the audit committee under [Insert the related legislative/regulatory reference]. The audit committee assists the accountable authority in fulfilling their oversight responsibilities in relation to systems of risk management and internal control, the entity’s processes for monitoring compliance with laws and regulations, including the code of conduct, financial and performance reporting and external and internal audit. The audit committee is not responsible for the management of these functions. The audit committee will engage with management in a constructive and professional manner to perform its oversight responsibilities. The Chair of the audit committee is responsible to, and reports to the accountable authority. Members of the audit committee are expected to: • understand the legal and regulatory obligations of the accountable authority for governing the entity • understand the department’s/statutory authority’s/council’s governance arrangements that support achievement of the department’s/statutory authority’s/council’s strategies and objectives • exercise due care, diligence and skill when performing their duties • adhere to the entities code of conduct and the code of ethics of any professional body which they are a member of • help to set the right tone in the entity by demonstrating behaviours which reflect the entity’s desired culture • be aware of contemporary and relevant issues impacting the public sector • only use information provided to the audit committee to carry out their responsibilities, unless expressly agreed by the accountable authority. To help support the audit committee’s role in overseeing the internal audit function, the Chief Audit Executive will functionally report to the audit committee. The audit committee will prepare an annual work plan that outlines when it will perform key activities, in consultation with the accountable authority.
6 Most public sector entities do not have a separate sub-committee for overseeing risk management in the entity. It is therefore common for the audit committee to take on this role.
28 | Western Australian Auditor General Authority The accountable authority authorises the audit committee, in accordance with this Charter, to: • obtain any information it requires from any official or external party (subject to any legal obligation to protect information) • discuss any matters with the internal auditors, Office of the Auditor General (OAG), or other external parties (subject to confidentiality considerations) • request the attendance of any official, including the accountable authority, at audit committee meetings • obtain legal or other professional advice when necessary to fulfil its role, at the entity’s expense, subject to approval by the accountable authority or delegate • provide advice to the accountable authority on the appointment and replacement of the chief audit executive of the department/statutory authority/council. The audit committee may undertake other activities as requested by the accountable authority.
Membership The audit committee comprises [insert number/up to] members of whom [insert number/at least] must be independent, appointed by the accountable authority. The committee will be led by an independent Chair, appointed by the accountable authority. The Chair will be appointed for an initial period of [insert number of years] and may be extended or reappointed for further periods as determined by the accountable authority. Audit committee members will be appointed for an initial period of [insert number of years] as determined by the accountable authority. The accountable authority will review the membership of the committee every [insert number of years] to ensure that there is an appropriate balance between continuity of membership, the contribution of fresh perspectives and a suitable mix of qualifications, knowledge, skills and experience. The accountable authority may choose to re-appoint members based on their ability to contribute to the work of the audit committee. However, the total length of time a member can sit on the committee will not exceed [insert number of years]. The accountable authority may remove an audit committee member at any time before their term expires, or a member may resign. Audit committee members will collectively have a broad range of skills and experience relevant to the operations of the department/statutory authority/council. At least one member of the audit committee will have accounting or related financial management experience, with an understanding of accounting and auditing requirements in the public sector. To support the skills and experience of committee members, the committee will implement an induction and training program for new members. The audit committee may invite the accountable authority, chief executive officer, chief financial officer, chief information officer, chief audit executive, or other management representatives to present information and participate in the meeting. An officer from the OAG will be invited to attend audit committee meetings as an observer. The audit committee will be administratively supported by a secretary who is appointed by management.
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Responsibilities The audit committee will be responsible for the following:
The following part of the model charter provides an extensive list of many functions that the audit committee can perform. It is not intended that entities copy all of the functions in these lists. Instead, the accountable authority should review and modify the functions to suit the entity. It is important that the accountability authority and the audit committee agree on these functions.
Risk management, fraud and internal control The audit committee oversees the entity’s system of risk management and internal controls. Its responsibilities include, but are not limited to: • providing oversight on significant risk exposures and control issues, including fraud risks, governance issues and other matters as necessary or requested by senior management and the accountable authority • considering the impact of department’s/statutory authority’s/council’s culture on risk management and internal controls • annually reviewing the department’s/statutory authority’s/council’s assurance map to ensure that risk and control activities are coordinated, communicated and managed effectively • annually reviewing the department’s/statutory authority’s/council’s risk management framework • monitoring changes in government strategies, the economic and business environment and other trends and factors related to the department/statutory authority/council’s risk profile. This includes meeting periodically with key management, internal auditors, the OAG, and compliance staff, to understand and discuss the impact of these changes or trends on the risk profile • reviewing whether the department/statutory authority/council has an effective risk management framework, and, based on knowledge and understanding of the entity’s risks, that material business risks are appropriately reflected in the risk profile and reported to the accountable authority • reviewing and assessing the effectiveness of processes for identifying, managing, treating and mitigating the department/statutory authority/council’s risks and ensuring that remaining risks align with the entity’s risk appetite. The committee should prioritise risks involving:
o significant business risks, including environmental and occupational health and safety risks
o potential non-compliance with laws, regulations and standards o fraud and theft o litigation and claims. • considering the adequacy and effectiveness of internal controls and the risk management framework by:
o reviewing reports from management, internal audit, consultants, regulators and the OAG
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o ensuring risk registers consider risks that may impact whether the entity will achieve its strategic objectives
o reviewing management’s response to IT risks, including cyber risks o monitoring management responses and ensuring timely correction actions are taken by management
o understanding the process of managing insurable risks and assessing whether the department/statutory authority/council has adequate insurance cover for these risks
o assessing the effectiveness of, and compliance with, the entity’s code of conduct o assessing whether management has controls in place for non-routine types of transactions and/or any potential transactions that might carry an unacceptable degree of risk
o enquiring with management and the OAG regarding their assessment of the risk of material misstatement in the financial report due to fraud
o enquiring with management, internal auditors and the OAG about whether they are aware of any actual, suspected or alleged fraud or corruption affecting the department/statutory authority/council including the entity’s response to the matters
o reviewing the department/statutory authority/council’s processes and systems to detect, capture and respond to fraud risks, including preventative measures
o reviewing the business continuity planning process and be assured that material risks are identified and appropriate business continuity plans, including disaster recovery plans, are in place. • reviewing summary reports from management on all suspected, alleged and actual frauds, thefts and breaches of laws and ensuring these are reported to the accountable authority and/or relevant authorities • reviewing summary reports from management on communication from external parties including regulators that indicate problems in the internal control system or inappropriate management actions • liaising with other subcommittees on matters relating to risk management, fraud and internal control • [for entities who use a shared service arrangement] reviewing comfort letters and other assurance reports regarding the effectiveness of controls managed by shared service providers on behalf of the entity.
Internal audit The audit committee is responsible for guiding and overseeing the activities, resources and structure of the internal audit function. The audit committee’s responsibilities include, but are not limited to: • annually reviewing internal audit’s mission, resources and budget and protecting internal audit’s independence from management • reviewing the internal audit structure, composition, skills and experience, service delivery model, independence and access to the accountable authority/board of directors
Western Australian Public Sector Audit Committees – Better Practice Guide | 31
• advising the accountable authority on the appointment and replacement of the chief audit executive • advising the accountable authority on the adequacy of internal audit resources or budget to perform the approved internal audit plan • ensuring that the internal audit function, through the chief audit executive, has a direct reporting relationship with the audit committee and accountable authority (functional reporting relationship) and has access to all levels of management needed to perform their duties • monitoring internal audit’s participation in non-assurance roles to assess whether it impacts their independence or interferes with the delivery of the internal audit program • assessing the internal audit plan to ensure that it comprehensively covers material business risks that may threaten the achievement of strategic objectives and allows internal audit to assess culture • reviewing and recommending the approval of the internal audit plan and work program by the accountable authority • communicating the audit committee’s expectations to the chief audit executive in writing through the internal audit charter • reviewing the internal audit charter annually for the accountable authority’s approval • reviewing the quality and timeliness of internal audit reports • considering the implications of internal audit findings on the business, its risks and controls • monitoring management’s implementation of internal audit recommendations • monitoring the progress of the internal audit plan and work program • monitoring the quality of internal audit services delivered and compliance with the Institute of Internal Auditors’ International Professional Practices Framework • overseeing the coordination of planned activities between the 4 lines of defence • reviewing the annual report from the chief audit executive or the internal audit service provider on the overall state of the department/statutory authority/council’s internal controls • ensuring that internal audit has complete and timely access to all accounts, information, documents and records of the entity as needed to effectively perform their duties. This also includes discussing whether management was cooperative and provided timely responses to internal audit requests • meeting privately with the chief audit executive at least once per year.
Compliance and ethics The audit committee oversees the department/statutory authority/council’s processes to ensure compliance with relevant laws and regulations and for promoting a strong governance culture within the entity. This includes, but is not limited to: • understanding the department/statutory authority/council’s compliance framework including its obligations, the officers responsible for compliance activities and management oversight and review of these processes
32 | Western Australian Auditor General
• considering the impact of department/statutory authority/council’s culture on compliance processes • overseeing compliance by reviewing arrangements that monitor the impact of changes in key laws, regulations, internal policies and accounting standards affecting the department/statutory authority/council’s operations • reviewing management’s investigation of non-compliance matters and obtaining assurance from management that appropriate follow-up action was taken • obtaining updates from management on matters of compliance and ethical matters that may have material impact on the department/statutory authority/council’s financial statements, strategy, operations, health and safety or reputation • reviewing and monitoring related party transactions and conflicts of interest • enquiring with management, internal audit and the OAG on their assessment of the compliance culture, the risk of non-compliance, or whether they have any knowledge of any actual, suspected or alleged non-compliance affecting the entity • overseeing complaints management and whistleblowing policies to ensure that they are recorded and actioned effectively • reviewing the department’s/statutory authority’s/council’s processes for communicating, and assessing the effectiveness of, the entity’s code of conduct • meeting with management to discuss regulatory compliance matters the department/statutory authority/council has considered in the preparation of the financial statements, such as compliance with accounting standards.
Financial and performance reporting The audit committee oversees the integrity of financial and performance reporting processes within the entity. The committee’s responsibilities include: • reviewing the financial statements and providing advice to the accountable authority about whether they should be signed by the accountable authority. The review includes assessing:
o whether the financial statements are consistent with the knowledge of the audit committee members
o whether the financial statements comply with [Insert the related legislative/regulatory reference]
o whether the financial statements accurately reflects the entity’s financial position and performance, and if not, whether additional disclosures are required
o the appropriateness of accounting policies and disclosures, including changes to accounting policies
o areas of significant judgement, estimation and significant or non-routine transactions
o whether appropriate management action has been taken in response to any issues raised by the OAG, including financial statement adjustments or revised disclosures
o the quality of the entity’s processes for preparing the financial statements, including how management has checked that they comply with relevant requirements
Western Australian Public Sector Audit Committees – Better Practice Guide | 33 o significant issues, errors or discrepancies in the draft financial statements and ensuring members understand the reasons why these occurred
o the representation letter to be provided to the OAG to confirm that the assertions, including any immaterial errors collated during the audit, are appropriate. • acting as a forum for communication between management and the OAG • reviewing the entity’s process to ensure the financial information included in the annual report is consistent with the audited financial statements • [For State government entities only] reviewing the entity’s systems and procedures for assessing and reporting on the department’s/statutory authority’s performance through key performance indicators. This includes determining whether:
o the key performance indicators are relevant and appropriate to assess the entity’s performance and take into account guidance issued by the Department of Treasury
o the department/statutory authority has sound processes and controls for measuring and reporting on key performance indicators in its annual report
o the key performance indicators are consistent with the entity’s financial information, including its financial statements, that it proposes to include in its annual report
o there are reasonable disclosures to explain why there is a significant variation in performance.
External audit The audit committee is responsible for communicating and liaising with the OAG. This includes understanding the results of financial and performance audits conducted within the entity and overseeing whether recommendations are implemented by management. The committee’s responsibilities include, but are not limited to: • meeting with the OAG to discuss the audit plan (audit entrance meeting) and the results of the financial audit (audit exit meeting) • discussing with the OAG any significant resolved or unresolved disagreements with management • monitoring and critiquing management’s response to OAG findings and recommendations • reviewing reports from the OAG including auditor’s reports, closing reports and management letters • reviewing all representation letters signed by management to assess whether the information appears complete and appropriate • meeting with the OAG at least once per year without management presence. At this meeting, the committee will discuss matters relating to the conduct of the audit, including any difficulties encountered, restrictions on scope of activities or access to information, significant disagreements with management and adequacy of management responses • reviewing performance audits conducted at the entity and ensuring that agreed recommendations are implemented • monitoring the relationship between internal auditors and the OAG
34 | Western Australian Auditor General • reviewing results of relevant OAG audit reports and better practice publications for guidance on good practices, including any self-assessment by management • reviewing the form and content of the proposed auditor’s report on the entity’s financial and performance report. This may include any proposed modification, emphasis of matter, key audit matters, other matters and uncorrected misstatements in other information.
Other responsibilities Perform other activities related to the role of this charter as requested by the accountable authority.
Administrative responsibilities
Meetings The audit committee will meet at least 4 times a year or more frequently as necessary, depending on the size and complexity of the entity. The Chair is required to call a meeting if asked to do so by the accountable authority. If a meeting is requested by another audit committee member, OAG or chief audit executive, the Chair will decide whether the meeting is necessary. The Chair will oversee the planning and conduct of meetings including the approval of the agenda and draft minutes, and reporting to the accountable authority. A quorum will consist of a majority of committee members. Where there is more than 1 external member on the audit committee, a quorum will include at least 1 external member. The quorum must be in place at all times during the meeting.
Secretariat The accountable authority, in consultation with the audit committee, will formally appoint an officer to provide secretariat services to the committee. The secretariat will provide services as required by the audit committee that includes: • preparing a meeting agenda for each meeting that is approved by the Chair • circulating the meeting agenda and supporting papers at least 1 week before the meeting • preparing minutes of the meetings and circulating them no later than 2 weeks after the meeting • maintaining final meeting papers and minutes in accordance with the recordkeeping requirements of the department/statutory authority/council.
Independence and conflicts of interest The audit committee must be independent from management of the department/statutory authority/council. Once a year, audit committee members will provide written declarations of any actual or perceived conflicts of interest to the accountable authority. External members should consider past employment, consultancy arrangements and related party issues when making these declarations to the accountable authority. In consultation with the Chair, the accountable authority should be satisfied that there are sufficient processes in place to manage any actual, perceived or potential conflicts of interest.
Western Australian Public Sector Audit Committees – Better Practice Guide | 35
At the start of each audit committee meeting, members are required to declare any personal interests that may apply to specific matters on the meeting agenda. The Chair, in consultation with the accountable authority where appropriate, is responsible for deciding if the members should excuse themselves from the meeting or from the audit committee’s consideration of the relevant agenda item(s). Details of any personal interests declared by the Chair and other audit committee members, and actions taken to manage the conflicts, should be appropriately recorded in the meeting minutes and the department/statutory authority/council register of conflicts of interest in accordance with its policy.
Audit committee performance assessment arrangements The Chair of the audit committee, in consultation with the accountable authority, will review the performance of the audit committee annually, together with the annual review of this charter. The review is performed using the approved assessment tool with appropriate input from the accountable authority, committee members, senior management, chief audit executive, and any other relevant stakeholders. The Chair will provide advice to the accountable authority on the members’ performance, particularly for external members, or members where an extension of tenure is being considered. The Chair will always consider the costs and benefits of the activities that the audit committee performs.
Reporting The audit committee will, as often as necessary, and at least once a year, report to the accountable authority on its operations and activities during the year and confirm to the accountable authority that all functions outlined in this charter have been satisfactorily addressed. The audit committee may at any time, report to the accountable authority on any other matters it deems to be sufficiently important. In addition, any individual audit committee members may request a meeting with the accountable authority at any time.
Review of charter The audit committee will ensure that this charter complies with relevant legislative and regulatory requirements and will propose amendments when necessary to ensure that it accurately reflects the committee’s current role and responsibilities. The audit committee will review this charter once a year and more frequently if required. The review will include consultation with the accountable authority. Any substantive changes to the charter will be recommended by the audit committee and formally approved by the accountable authority.
Endorsed: Approved: Audit committee Chair Accountable Authority [Signature] [Signature] [Date] [Date]
36 | Western Australian Auditor General
Tool 2 Audit committee member induction checklist This checklist includes a list of activities the Chief Audit Executive can use for inducting new audit committee members. Source: OAG using information from the Institute of Internal Auditors Australia
Activity Completed
Authority, composition and meetings
Meet with all members of executive management.
Read and understand the audit committee and internal audit charters.
Read audit committee minutes for the last 3 years.
External reporting
Read and understand the entity’s summary of significant accounting policies and
significant judgements made in preparing the financial statements. Read and understand management’s summary of processes for monitoring
compliance with laws, regulations and other requirements. Read and understand the entity’s processes for reporting to regulatory or oversight
bodies (if any). Read and understand the entity’s main corporate governance practices reported in its
annual report for the last 3 years. Read the financial reports and any associated non-financial disclosures for the past 3
years.
External audit
Meet with the senior members of the OAG financial audit team.
Read and understand the OAG’s findings and recommendations, and management’s response, for the last 3 years. This includes performance audits conducted at the entity.
Internal audit
Meet with the Chief Audit Executive (head of internal audit) and key audit team
members (in-house, or outsourced firm partners and managers). Read and understand internal audit’s mission, including its resources and budget
structure.
Read and understand the internal audit plan for the last 3 years.
Understand the audit committee’s expectations of the Chief Audit Executive.
Read and understand all internal audit’s findings and recommendations which remain unresolved.
Western Australian Public Sector Audit Committees – Better Practice Guide | 37
Activity Completed
Read a sample of audit reports prepared by the internal audit area during the last 3
years.
Read and understand the process the entity has in place for monitoring and
assessing the effectiveness of the internal audit function.
Read and understand the process for coordinating the planned activities of internal
audit and the OAG, and risk and compliance management.
System of internal control and risk management
Meet with the Chief Risk Officer.
Read and understand the risk management framework, assurance mapping and
strategic plan. Meet with the Chief Information Officer to discuss information security processes and
controls.
Read and understand information related to the entity’s identified tolerance for risk.
Read and understand entity processes for identifying and managing material risks
including business, financial, legal and compliance risks.
Read summary reports from management on all suspected, alleged and actual
frauds, thefts and material breaches of laws for the last 3 years.
Compliance and ethics
Read and understand the entity’s processes for managing complaints and
whistleblowing. Read significant issues, independent investigations and disciplinary action as
reported to the accountable authority in the last 3 years. Attend a briefing or training on public sector probity and accountability requirements,
including ethical considerations.
Fraud
Read and understand the entity’s fraud prevention and detection framework and
monitor suspected, alleged and actual instances of fraud.
Read any instances of fraud reported during the last 3 years.
Related-party transactions
Read and understand processes for related-party transactions.
Read related-party transaction reporting for the last 3 years.
Governance framework
Read and understand the governance framework and charter of the entity’s other
committees.
Read and understand the organisational structure.
Read and understand the entity’s delegation schedule/register.
38 | Western Australian Auditor General Tool 3 Meeting preparation checklist This checklist is to assist the secretariat in planning audit committee meetings. It’s important to plan the date for each activity, working backwards from the meeting date, to ensure timely distribution of meeting papers to members and attendees. Source: Australian National Audit Office
[Entity’s name] Audit committee meeting Meeting preparation checklist Meeting Date: [insert date]
Planned Completed Audit Committee meeting Date Date Members and observers’ attendance confirmed.
Room and required equipment booked (including ‘members only’ session). Chair and Chief Audit Executive discuss draft agenda based on committee work program and priority risks and issues Draft agenda circulated to Chair and members.
Agenda confirmed with Chair
Required papers collated. This includes, as appropriate:
• list of attendees and apologies
• minutes of previous meeting for review and confirmation
• updated audit committee action item list with the status of actions arising from the previous meeting minutes
• relevant information/papers from management
• reports from internal audit • status report on implementation of previous internal and external audit, consultant and regulator report recommendations • reports from the OAG
• compliance audit return (for local government entities) • report from the Chief Executive Officer under Regulation 17 of the Local Government (Audit) Regulations 1996 (local government entities) • reports prepared under section 7.12A of the Local Government Act 1995 (local government entities)
• other papers/information as reflected in the audit committee annual work plan.
All papers marked with appropriate security classification.
Western Australian Public Sector Audit Committees – Better Practice Guide | 39
Planned Completed Audit Committee meeting Date Date Agenda and papers distributed to members and attendees at least 7
days prior to meeting.
Draft minutes prepared and circulated to members within 14 days of
meeting.
Revised minutes, reflecting changes made by committee members,
sent out for final review.
40 | Western Australian Auditor General Tool 4 Meeting agenda template This tool provides an example agenda for an audit committee meeting. The agenda should be based on the committee’s annual work program, with flexibility for additional emerging risks and issues. Source: OAG
[Entity’s Letterhead] [Entity’s name] Audit Committee Meeting [Date and time] [Venue] Attendees
Name Role / Position
Committee members:
1. [List attendees and apologies – include name, state if Chair or secretary and if external or internal member]
Observers
2. [List attendees and apologies – include name and position]
Apologies
3. [List attendees and apologies – include name and position]
Agenda Owner Action (Noting, (Insert name) Discussion, Approval) 1. Welcome and apologies
2. Confirmation of minutes
3. Declaration of conflicts of interest by audit committee members and observers
4. Issues brought forward from previous meeting 5. Action items from previous meeting 6. Reports to be tabled (refer to annual work plan) • Risk management • Internal control • Internal audit • Compliance • Financial reporting • Performance reporting • External audit
Western Australian Public Sector Audit Committees – Better Practice Guide | 41 Agenda Owner Action (Noting, (Insert name) Discussion, Approval) • [name other items].
7. Status of recommendations from internal audit, OAG and consultant or regulator reports
8. Review of audit committee charter (annual item)
9. Assessment of audit committee performance (annual item)
10. Review of annual work plan (to identify issues and prepare for next meeting)
11. Other business
12. Next meeting
13. Meeting close
42 | Western Australian Auditor General
Tool 5 Characteristics of effective meetings This tool contains guidance on how to conduct an effective meeting. Audit committees can use this guidance to assess how well the meeting was run. Source: OAG
Characteristics of an effective meeting include a combination of the following:
Pre-meeting • the audit committee Chair discusses key issues with the chief audit executive and approves the agenda before it is issued and members agree on key discussion points for each agenda item at the beginning of each meeting (‘starring’ of key items) • meeting papers are presented in an agreed form and provided to audit committee members at least 1 week prior to the meeting. Meeting papers may need to be distributed to members earlier when there are complex matters to be discussed or approved • each member is briefed before each meeting by the audit committee secretariat on major issues • agenda items clearly indicate what action is required from the audit committee members, such as discussion, noting, endorsement, approval, presentation. This ensures that audit committee members know what is required at the meeting • the Chair and Chief Audit Executive meet before each meeting to discuss the agenda and any priority issues they wish to discuss with management.
Meeting • the audit committee meets privately before each meeting to discuss issues without management and other observers present • meetings facilitate open and robust discussions • all members are responsible for effective meetings and raising continuous improvement opportunities to the Chair, when identified • meetings are not used to edit documents received by the committee for approval or endorsement. Minor edits should be provided to the Secretariat before or after the meeting • at the start of each meeting, members declare any actual, potential or perceived conflicts of interest that they have with any agenda item • any private meetings (i.e. with internal auditors or the OAG) should be held at the start or end of the meeting • all audit committee members have read, and engaged with the meeting papers prior to the meeting • important or contentious agenda items are first on the agenda to ensure that they are addressed in the meeting • members reflect on what went well, or what needs improvement.
Western Australian Public Sector Audit Committees – Better Practice Guide | 43 Tool 6 Annual work plan template The following tool is an example of an annual work plan for audit committees to help schedule activities across the year. A minimum of four meetings per annum is recommended, often with a fifth focussed meeting for the financial statements. Source: OAG using information from the Australian National Audit Office
[Entity Name] Audit Committee Annual Work Plan 202X- 202X7,
Functions, responsibilities and associated Mar Jun Aug Sept Dec activities
1. Governance arrangements
If required by the accountable authority, review the entity’s governance arrangements or elements of the X arrangements and suggest improvements where appropriate.
Ensure that appropriate mechanisms are in place to review and implement relevant parliamentary committee reports, external reviews and evaluations of the entity, X and recommendations arising from these reports and reviews.
2. Risk management
Review the risk management framework, risk register and fraud and corruption control plans to see that the risks represent and address the current environment and X strategic direction of the entity, and meet legislative compliance and better practice principles. Consider the findings of the entity’s occupational work health and safety reviews and enquire of management X the arrangements to address these. Consider emerging risks and current issues arising from X X X X major projects. Determine whether the entity has a sound and effective approach for business continuity planning arrangements, including whether business continuity and disaster X recovery plans have been periodically reviewed and tested. Review reports on fraud that outline any identified allegations of fraud, the status of any ongoing X X X X X investigations and any changes to identified fraud risk.
7 The marking of ‘X’ is an example only.
44 | Western Australian Auditor General
Functions, responsibilities and associated Mar Jun Aug Sept Dec activities
3. System of internal control
Review management’s approach to maintaining an effective system of internal control. This should include internal controls in relation to functions performed by X external parties such as shared services providers, contractors and advisers. Obtain management assurances on the adequacy of internal controls and compliance by staff. X Review advice from work areas e.g. human resources, finance and information technology on incidents where there was a breakdown in internal controls. X X Consider standing reports from CFO, CIO and HR on key risks, issues and incidents at each meeting except the financial statement meeting. Consider how findings in internal audit and OAG audit X X reports impact on the entity’s internal controls.
Satisfy itself that management periodically assesses the adequacy of information security arrangements. X
Review whether appropriate policies and procedures are in place for the management and exercise of delegations. X
Review the assurance map. X X
Review whether management has taken steps to embed
X a culture which is committed to ethical and lawful behaviour.
4. Compliance and ethics
Review the effectiveness of processes to monitor X X compliance with relevant laws and regulations.
5. Internal audit
Review the proposed internal audit plan for the next financial year, ensuring the coverage is aligned with key X risks and recommend approval of the internal audit plan by the accountable authority.
Review progress of the internal audit plan. X X X X
Review internal audit reports and provide advice to the accountable authority on significant issues identified and X X X X X actions required. Review the implementation status of internal audit X X X X X recommendations.
Western Australian Public Sector Audit Committees – Better Practice Guide | 45
Functions, responsibilities and associated Mar Jun Aug Sept Dec activities
Review the Internal Audit Charter to ensure appropriate authority, access and reporting arrangements are in X place.
Review the performance of internal audit. X
Advise the accountable authority on the adequacy of internal audit resources and budget to carry out X responsibilities, including completion of the audit work plan.
Meet privately with the Chief Audit Executive. X
Provide advice to the accountable authority on the appointment of internal audit service providers (if X applicable).
6. Financial reporting
Receive advice on changes in accounting standards, X X X X legislation, and regulations. Review progress in preparing the financial statements X X against the preparation plan/timetable.
Review briefing from management on significant emerging issues, judgements and estimates impacting the financial statements. Review accounting policy X X papers on key matters prior to management’s provision to OAG.
Review financial management reports, where required. X X X Review of financial statements including: X
• consistency with members’ understanding and
knowledge of the entity X
• review compliance with accounting standards, Financial Management Act 2006, Treasurer’s
Instructions, Local Government Act 1995 and X relevant regulations
• review the appropriateness of accounting policies X including any significant changes in policies
• review areas subject to significant judgement and/or X estimates
• review significant or non-routine transactions X • review the CFO certification in relation to the quality of the financial statements, internal controls and X compliance (State government entities)
46 | Western Australian Auditor General Functions, responsibilities and associated Mar Jun Aug Sept Dec activities
• review draft management representation letter X
• review whether management has addressed issues raised by the OAG including financial statement X X X X X adjustments or revised disclosures
• discuss the adequacy of the entity’s accounting policies and quality of processes for preparing the X financial statements with the OAG
• draft the advice to the accountable authority recommending the signing of the financial X statements and management representation letter. Discuss lessons learned from the current year financial statement process and the proposed strategy and X timetable for next year. Review the processes for ensuring that financial information included in the annual report is consistent X with the audited financial statements.
7. Performance reporting (mainly State government entities)
Review systems and procedures for developing, measuring and reporting the entity’s key performance X X indicators. Review the key performance indicator results and associated disclosures to ensure they are reasonable, X clearly disclosed and consistent with financial and other information about the entity’s performance. Review whether key performance indicators are consistent with members’ understanding and knowledge of the entity. Ensure that there are adequate documentation and records to support the measurement of key performance X X indicators.
8. External audit (OAG)
Discuss OAG audit planning summary for financial X audits. Receive OAG updates on issues arising from financial or X X X X X performance audits. Review the OAG interim management letter for the financial audit and assess the appropriateness of X management’s responses to recommendations.
Discuss OAG exit brief and final management letter for X
Western Australian Public Sector Audit Committees – Better Practice Guide | 47 Functions, responsibilities and associated Mar Jun Aug Sept Dec activities the financial audit and assess the appropriateness of management’s responses to recommendations. Review the status of implementation of OAG financial X X X X X and performance audit recommendations.
Review form and content of the OAG draft audit report. X
Satisfy itself that the appropriate mechanisms are in place to review and implement, where appropriate, issues raised in OAG better practice guides and X performance audits of other State and local government entities.
Meet annually with OAG without management present. X
9. Committee operations
Provide a report to the accountable authority on audit committee operations and activities. X Conduct an assessment of the performance of the audit committee and ensure that the committee complies with X its charter. Agree on the annual work plan; and set priority areas for X the coming year. Review the audit committee charter and recommend any X substantive changes to the accountable authority.
48 | Western Australian Auditor General Tool 7 Audit recommendations progress report template This template is designed to assist audit committees with monitoring the implementation of recommendations from the OAG, internal audit and external reviews, including consultant and regulator reports. Audit committees should review this report at every audit committee meeting. Source: OAG
(Name of Entity)
Objective This report is to provide the audit committee with an update on the progress of actions taken by management to implement audit recommendations. The information is to help the audit committee monitor the timeliness of agreed actions and understand the reasons for any delay.
Source and Report Recommendation Risk Manager Original Revised Status Management year date [record details] rating responsible completion completion Comments (Internal date date on action audit/ the taken OAG / other external reviewer’s name)
Western Australian Public Sector Audit Committees – Better Practice Guide | 49 Tool 8 Review of OAG audit reports template Entities can use the following template to capture information from OAG published audit reports to help self-assess their performance. Source: OAG
Objective This table is to inform the audit committee about audit recommendations from the OAG audits that may be relevant and beneficial for the entity to help identify risks and improvement opportunities.
Name of the Finding or Impact to the Entity’s existing Action taken audit report recommendation entity policy, (describe the (include link to (describe if this framework, action taken by the report) applies to your procedures that the entity or if no entity) manage the action required, related risk provide justification)
50 | Western Australian Auditor General
Auditor General’s reports
Report 2019-20 reports Date tabled number
25 WA’s Transition to the NDIS 18 June 2020
24 Opinion on Ministerial Notification 16 June 2020
23 Opinion on Ministerial Notification 29 May 2020
22 Regulation of Asbestos Removal 21 May 2020
21 Audit Results Report – Annual 2019 Financial Audits 12 May 2020
Local Government Contract Extensions and Variations 20 4 May 2020 and Ministerial Notice Not Required
19 Control of Monies Held for Specific Purposes 30 April 2020
Information Systems Audit Report 2020 – State 18 6 April 2020 Government Entities
17 Controls Over Purchasing Cards 27 March 2020
Audit Results Report – Annual 2018-19 Financial Audit of 16 11 March 2020 Local Government Entities
15 Opinion on Ministerial Notification 28 February 2020
14 Opinion on Ministerial Notification 31 January 2020
Fee-setting by the Department of Primary Industries and 13 Regional Development and Western Australia Police 4 December 2019 Force
Audit Results Report – Annual 2018-19 Financial Audits 12 14 November 2019 of State Government Entities
11 Opinion on Ministerial Notification 30 October 2019
10 Working with Children Checks – Follow-up 23 October 2019
An Analysis of the Department of Health’s Data Relating 9 to State-Managed Adult Mental Health Services from 9 October 2019 2013 to 2017
8 Opinions on Ministerial Notifications 8 October 2019
7 Opinion on Ministerial Notification 26 September 2019
6 Opinions on Ministerial Notifications 18 September 2019
5 Fraud Prevention in Local Government 15 August 2019
Report 2019-20 reports Date tabled number
4 Access to State-Managed Adult Mental Health Services 14 August 2019
Delivering Western Australia’s Ambulance Services – 3 31 July 2019 Follow-up Audit
2 Opinion on Ministerial Notification 26 July 2019
1 Opinions on Ministerial Notifications 19 July 2019 Office of the Auditor General Western Australia
7th Floor Albert Facey House 469 Wellington Street, Perth
Perth BC, PO Box 8489 PERTH WA 6849
T: 08 6557 7500 F: 08 6557 7600 E: [email protected] W: www.audit.wa.gov.au
@OAG_WA
Office of the Auditor General for Western Australia ATTACHMENT 10.2.4 (1)
Western Australia
Local Government Act 1995
Local Government (Model Code of Conduct) Regulations 2021
As at 03 Feb 2021 Version 00-a0-01 Published on www.legislation.wa.gov.au
Western Australia
Local Government (Model Code of Conduct) Regulations 2021
Contents
Part 1 — Preliminary 1. Citation 1 2. Commencement 1 Part 2 — Model code of conduct 3. Model code of conduct (Act s. 5.103(1)) 2 Part 3 — Repeal and consequential amendments Division 1 — Repeal 4. Local Government (Rules of Conduct) Regulations 2007 repealed 3 Division 2 — Other regulations amended 5. Local Government (Administration) Regulations 1996 amended 3 Part 9A — Minor breaches by council members 34D. Contravention of local law as to conduct (Act s. 5.105(1)(b)) 3 6. Local Government (Audit) Regulations 1996 amended 4 7. Local Government (Constitution) Regulations 1998 amended 4 Schedule 1 — Model code of conduct Division 1 — Preliminary provisions 1. Citation 5
As at 03 Feb 2021 Version 00-a0-01 page i Published on www.legislation.wa.gov.au Local Government (Model Code of Conduct) Regulations 2021
Contents
2. Terms used 5 Division 2 — General principles 3. Overview of Division 5 4. Personal integrity 5 5. Relationship with others 6 6. Accountability 6 Division 3 — Behaviour 7. Overview of Division 7 8. Personal integrity 7 9. Relationship with others 7 10. Council or committee meetings 8 11. Complaint about alleged breach 8 12. Dealing with complaint 8 13. Dismissal of complaint 10 14. Withdrawal of complaint 10 15. Other provisions about complaints 10 Division 4 — Rules of conduct 16. Overview of Division 11 17. Misuse of local government resources 11 18. Securing personal advantage or disadvantaging others 11 19. Prohibition against involvement in administration 12 20. Relationship with local government employees 12 21. Disclosure of information 13 22. Disclosure of interests 14 23. Compliance with plan requirement 15 Notes Compilation table 16 Defined terms
page ii Version 00-a0-01 As at 03 Feb 2021 Published on www.legislation.wa.gov.au Local Government Act 1995
Local Government (Model Code of Conduct) Regulations 2021
Part 1 — Preliminary
1. Citation These regulations are the Local Government (Model Code of Conduct) Regulations 2021.
2. Commencement These regulations come into operation as follows — (a) Part 1 — on the day on which these regulations are published in the Gazette; (b) the rest of the regulations — on the day on which the Local Government Legislation Amendment Act 2019 sections 48 to 51 come into operation.
As at 03 Feb 2021 Version 00-a0-01 page 1 Published on www.legislation.wa.gov.au Local Government (Model Code of Conduct) Regulations 2021 Part 2 Model code of conduct r. 3
Part 2 — Model code of conduct
3. Model code of conduct (Act s. 5.103(1)) The model code of conduct for council members, committee members and candidates is set out in Schedule 1.
page 2 Version 00-a0-01 As at 03 Feb 2021 Published on www.legislation.wa.gov.au Local Government (Model Code of Conduct) Regulations 2021 Repeal and consequential amendments Part 3 Repeal Division 1 r. 4
Part 3 — Repeal and consequential amendments
Division 1 — Repeal
4. Local Government (Rules of Conduct) Regulations 2007 repealed The Local Government (Rules of Conduct) Regulations 2007 are repealed.
Division 2 — Other regulations amended
5. Local Government (Administration) Regulations 1996 amended (1) This regulation amends the Local Government (Administration) Regulations 1996. (2) After regulation 34C insert:
Part 9A — Minor breaches by council members
34D. Contravention of local law as to conduct (Act s. 5.105(1)(b)) (1) In this regulation — local law as to conduct means a local law relating to the conduct of people at council or committee meetings. (2) The contravention of a local law as to conduct is a minor breach for the purposes of section 5.105(1)(b) of the Act.
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6. Local Government (Audit) Regulations 1996 amended (1) This regulation amends the Local Government (Audit) Regulations 1996. (2) In regulation 13 in the Table: (a) under the heading “Local Government Act 1995” delete “s. 5.103” and insert:
s. 5.104
(b) delete:
Local Government (Rules of Conduct) Regulations 2007 r. 11
7. Local Government (Constitution) Regulations 1998 amended (1) This regulation amends the Local Government (Constitution) Regulations 1998.
(2) In Schedule 1 Form 7 delete “Local Government (Rules of Conduct) Regulations 2007.” and insert:
code of conduct adopted by the 3 ...... under section 5.104 of the Local Government Act 1995.
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Schedule 1 — Model code of conduct [r. 3]
Division 1 — Preliminary provisions
1. Citation This is the [insert name of local government] Code of Conduct for Council Members, Committee Members and Candidates.
2. Terms used (1) In this code — Act means the Local Government Act 1995; candidate means a candidate for election as a council member; complaint means a complaint made under clause 11(1); publish includes to publish on a social media platform. (2) Other terms used in this code that are also used in the Act have the same meaning as they have in the Act, unless the contrary intention appears.
Division 2 — General principles
3. Overview of Division This Division sets out general principles to guide the behaviour of council members, committee members and candidates.
4. Personal integrity (1) A council member, committee member or candidate should — (a) act with reasonable care and diligence; and (b) act with honesty and integrity; and (c) act lawfully; and (d) identify and appropriately manage any conflict of interest; and (e) avoid damage to the reputation of the local government.
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(2) A council member or committee member should — (a) act in accordance with the trust placed in council members and committee members; and (b) participate in decision-making in an honest, fair, impartial and timely manner; and (c) actively seek out and engage in training and development opportunities to improve the performance of their role; and (d) attend and participate in briefings, workshops and training sessions provided or arranged by the local government in relation to the performance of their role.
5. Relationship with others (1) A council member, committee member or candidate should — (a) treat others with respect, courtesy and fairness; and (b) respect and value diversity in the community. (2) A council member or committee member should maintain and contribute to a harmonious, safe and productive work environment.
6. Accountability A council member or committee member should — (a) base decisions on relevant and factually correct information; and (b) make decisions on merit, in the public interest and in accordance with statutory obligations and principles of good governance and procedural fairness; and (c) read all agenda papers given to them in relation to council or committee meetings; and (d) be open and accountable to, and represent, the community in the district.
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Division 3 — Behaviour
7. Overview of Division This Division sets out — (a) requirements relating to the behaviour of council members, committee members and candidates; and (b) the mechanism for dealing with alleged breaches of those requirements.
8. Personal integrity (1) A council member, committee member or candidate — (a) must ensure that their use of social media and other forms of communication complies with this code; and (b) must only publish material that is factually correct. (2) A council member or committee member — (a) must not be impaired by alcohol or drugs in the performance of their official duties; and (b) must comply with all policies, procedures and resolutions of the local government.
9. Relationship with others A council member, committee member or candidate — (a) must not bully or harass another person in any way; and (b) must deal with the media in a positive and appropriate manner and in accordance with any relevant policy of the local government; and (c) must not use offensive or derogatory language when referring to another person; and (d) must not disparage the character of another council member, committee member or candidate or a local government employee in connection with the performance of their official duties; and (e) must not impute dishonest or unethical motives to another council member, committee member or candidate or a local
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government employee in connection with the performance of their official duties.
10. Council or committee meetings When attending a council or committee meeting, a council member, committee member or candidate — (a) must not act in an abusive or threatening manner towards another person; and (b) must not make a statement that the member or candidate knows, or could reasonably be expected to know, is false or misleading; and (c) must not repeatedly disrupt the meeting; and (d) must comply with any requirements of a local law of the local government relating to the procedures and conduct of council or committee meetings; and (e) must comply with any direction given by the person presiding at the meeting; and (f) must immediately cease to engage in any conduct that has been ruled out of order by the person presiding at the meeting.
11. Complaint about alleged breach (1) A person may make a complaint, in accordance with subclause (2), alleging a breach of a requirement set out in this Division. (2) A complaint must be made — (a) in writing in the form approved by the local government; and (b) to a person authorised under subclause (3); and (c) within 1 month after the occurrence of the alleged breach. (3) The local government must, in writing, authorise 1 or more persons to receive complaints and withdrawals of complaints.
12. Dealing with complaint (1) After considering a complaint, the local government must, unless it dismisses the complaint under clause 13 or the complaint is page 8 Version 00-a0-01 As at 03 Feb 2021 Published on www.legislation.wa.gov.au Local Government (Model Code of Conduct) Regulations 2021 Model code of conduct Schedule 1 Behaviour Division 3 cl. 12
withdrawn under clause 14(1), make a finding as to whether the alleged breach the subject of the complaint has occurred. (2) Before making a finding in relation to the complaint, the local government must give the person to whom the complaint relates a reasonable opportunity to be heard. (3) A finding that the alleged breach has occurred must be based on evidence from which it may be concluded that it is more likely that the breach occurred than that it did not occur. (4) If the local government makes a finding that the alleged breach has occurred, the local government may — (a) take no further action; or (b) prepare and implement a plan to address the behaviour of the person to whom the complaint relates. (5) When preparing a plan under subclause (4)(b), the local government must consult with the person to whom the complaint relates. (6) A plan under subclause (4)(b) may include a requirement for the person to whom the complaint relates to do 1 or more of the following — (a) engage in mediation; (b) undertake counselling; (c) undertake training; (d) take other action the local government considers appropriate. (7) If the local government makes a finding in relation to the complaint, the local government must give the complainant, and the person to whom the complaint relates, written notice of — (a) its finding and the reasons for its finding; and (b) if its finding is that the alleged breach has occurred — its decision under subclause (4).
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13. Dismissal of complaint (1) The local government must dismiss a complaint if it is satisfied that — (a) the behaviour to which the complaint relates occurred at a council or committee meeting; and (b) either — (i) the behaviour was dealt with by the person presiding at the meeting; or (ii) the person responsible for the behaviour has taken remedial action in accordance with a local law of the local government that deals with meeting procedures. (2) If the local government dismisses a complaint, the local government must give the complainant, and the person to whom the complaint relates, written notice of its decision and the reasons for its decision.
14. Withdrawal of complaint (1) A complainant may withdraw their complaint at any time before the local government makes a finding in relation to the complaint. (2) The withdrawal of a complaint must be — (a) in writing; and (b) given to a person authorised under clause 11(3).
15. Other provisions about complaints (1) A complaint about an alleged breach by a candidate cannot be dealt with by the local government unless the candidate has been elected as a council member. (2) The procedure for dealing with complaints may be determined by the local government to the extent that it is not provided for in this Division.
Division 4 — Rules of conduct
Notes for this Division: 1. Under section 5.105(1) of the Act a council member commits a minor breach if the council member contravenes a rule of conduct. This page 10 Version 00-a0-01 As at 03 Feb 2021 Published on www.legislation.wa.gov.au Local Government (Model Code of Conduct) Regulations 2021 Model code of conduct Schedule 1 Rules of conduct Division 4 cl. 16
extends to the contravention of a rule of conduct that occurred when the council member was a candidate. 2. A minor breach is dealt with by a standards panel under section 5.110 of the Act.
16. Overview of Division (1) This Division sets out rules of conduct for council members and candidates. (2) A reference in this Division to a council member includes a council member when acting as a committee member.
17. Misuse of local government resources (1) In this clause — electoral purpose means the purpose of persuading electors to vote in a particular way at an election, referendum or other poll held under the Act, the Electoral Act 1907 or the Commonwealth Electoral Act 1918; resources of a local government includes — (a) local government property; and (b) services provided, or paid for, by a local government. (2) A council member must not, directly or indirectly, use the resources of a local government for an electoral purpose or other purpose unless authorised under the Act, or by the local government or the CEO, to use the resources for that purpose.
18. Securing personal advantage or disadvantaging others (1) A council member must not make improper use of their office — (a) to gain, directly or indirectly, an advantage for the council member or any other person; or (b) to cause detriment to the local government or any other person. (2) Subclause (1) does not apply to conduct that contravenes section 5.93 of the Act or The Criminal Code section 83.
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19. Prohibition against involvement in administration (1) A council member must not undertake a task that contributes to the administration of the local government unless authorised by the local government or the CEO to undertake that task. (2) Subclause (1) does not apply to anything that a council member does as part of the deliberations at a council or committee meeting.
20. Relationship with local government employees (1) In this clause — local government employee means a person — (a) employed by a local government under section 5.36(1) of the Act; or (b) engaged by a local government under a contract for services. (2) A council member or candidate must not — (a) direct or attempt to direct a local government employee to do or not to do anything in their capacity as a local government employee; or (b) attempt to influence, by means of a threat or the promise of a reward, the conduct of a local government employee in their capacity as a local government employee; or (c) act in an abusive or threatening manner towards a local government employee. (3) Subclause (2)(a) does not apply to anything that a council member does as part of the deliberations at a council or committee meeting. (4) If a council member or candidate, in their capacity as a council member or candidate, is attending a council or committee meeting or other organised event (for example, a briefing or workshop), the council member or candidate must not orally, in writing or by any other means — (a) make a statement that a local government employee is incompetent or dishonest; or (b) use an offensive or objectionable expression when referring to a local government employee.
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(5) Subclause (4)(a) does not apply to conduct that is unlawful under The Criminal Code Chapter XXXV.
21. Disclosure of information (1) In this clause — closed meeting means a council or committee meeting, or a part of a council or committee meeting, that is closed to members of the public under section 5.23(2) of the Act; confidential document means a document marked by the CEO, or by a person authorised by the CEO, to clearly show that the information in the document is not to be disclosed; document includes a part of a document; non-confidential document means a document that is not a confidential document. (2) A council member must not disclose information that the council member — (a) derived from a confidential document; or (b) acquired at a closed meeting other than information derived from a non-confidential document. (3) Subclause (2) does not prevent a council member from disclosing information — (a) at a closed meeting; or (b) to the extent specified by the council and subject to such other conditions as the council determines; or (c) that is already in the public domain; or (d) to an officer of the Department; or (e) to the Minister; or (f) to a legal practitioner for the purpose of obtaining legal advice; or (g) if the disclosure is required or permitted by law.
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22. Disclosure of interests (1) In this clause — interest — (a) means an interest that could, or could reasonably be perceived to, adversely affect the impartiality of the person having the interest; and (b) includes an interest arising from kinship, friendship or membership of an association. (2) A council member who has an interest in any matter to be discussed at a council or committee meeting attended by the council member must disclose the nature of the interest — (a) in a written notice given to the CEO before the meeting; or (b) at the meeting immediately before the matter is discussed. (3) Subclause (2) does not apply to an interest referred to in section 5.60 of the Act. (4) Subclause (2) does not apply if a council member fails to disclose an interest because the council member did not know — (a) that they had an interest in the matter; or (b) that the matter in which they had an interest would be discussed at the meeting and the council member disclosed the interest as soon as possible after the discussion began. (5) If, under subclause (2)(a), a council member discloses an interest in a written notice given to the CEO before a meeting, then — (a) before the meeting the CEO must cause the notice to be given to the person who is to preside at the meeting; and (b) at the meeting the person presiding must bring the notice and its contents to the attention of the persons present immediately before any matter to which the disclosure relates is discussed. (6) Subclause (7) applies in relation to an interest if — (a) under subclause (2)(b) or (4)(b) the interest is disclosed at a meeting; or
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(b) under subclause (5)(b) notice of the interest is brought to the attention of the persons present at a meeting. (7) The nature of the interest must be recorded in the minutes of the meeting.
23. Compliance with plan requirement If a plan under clause 12(4)(b) in relation to a council member includes a requirement referred to in clause 12(6), the council member must comply with the requirement.
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Notes This is a compilation of the Local Government (Model Code of Conduct) Regulations 2021. For provisions that have come into operation see the compilation table.
Compilation table
Citation Published Commencement Local Government (Model Code of SL 2021/15 Pt. 1: 2 Feb 2021 (see r. 2(a)); Conduct) Regulations 2021 2 Feb 2021 Regulations other than Pt. 1: 3 Feb 2021 (see r. 2(b) and SL 2021/13 cl. 2)
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Defined terms
Defined terms
[This is a list of terms defined and the provisions where they are defined. The list is not part of the law.] Defined term Provision(s) Act...... Sch. 1 cl. 2(1) candidate ...... Sch. 1 cl. 2(1) closed meeting ...... Sch. 1 cl. 21(1) complaint ...... Sch. 1 cl. 2(1) confidential document ...... Sch. 1 cl. 21(1) document ...... Sch. 1 cl. 21(1) electoral purpose ...... Sch. 1 cl. 17(1) interest ...... Sch. 1 cl. 22(1) local government employee ...... Sch. 1 cl. 20(1) non-confidential document ...... Sch. 1 cl. 21(1) publish ...... Sch. 1 cl. 2(1) resources of a local government...... Sch. 1 cl. 17(1)
As at 03 Feb 2021 Version 00-a0-01 page 17 Published on www.legislation.wa.gov.au ATTACHMENT 10.2.4 (2)
Code of Conduct for Council Members, Committee Members and Candidates Division 1 Preliminary provisions 1. Citation
This is the Shire of Carnamah Code of Conduct for Council Members, Committee Members and Candidates. 2. Terms used
(1) In this code: Act means the Local Government Act 1995; candidate means a candidate for election as a council member; complaint means a complaint made under clause 11(1); publish includes to publish on a social media platform. (2) Other terms used in this code that are also used in the Act have the same meaning as they have in the Act, unless the contrary intention appears. Division 2 General principles 3. Overview of Division
This Division sets out general principles to guide the behaviour of council members, committee members and candidates. 4. Personal integrity
(1) A council member, committee member or candidate should: (a) act with reasonable care and diligence; and (b) act with honesty and integrity; and (c) act lawfully; and (d) identify and appropriately manage any conflict of interest; and (e) avoid damage to the reputation of the local government. (2) A council member or committee member should: (a) act in accordance with the trust placed in council members and committee members; and (b) participate in decision-making in an honest, fair, impartial and timely manner; and (c) actively seek out and engage in training and development opportunities to improve the performance of their role; and (d) attend and participate in briefings, workshops and training sessions provided or arranged by the local government in relation to the performance of their role. 5. Relationship with others
(1) A council member, committee member or candidate should: (a) treat others with respect, courtesy and fairness; and (b) respect and value diversity in the community. (2) A council member or committee member should maintain and contribute to a harmonious, safe and productive work environment. 6. Accountability
A council member or committee member should: (a) base decisions on relevant and factually correct information; and (b) make decisions on merit, in the public interest and in accordance with statutory obligations and principles of good governance and procedural fairness; and (c) read all agenda papers given to them in relation to council or committee meetings; and (d) be open and accountable to, and represent, the community in the district. Division 3 Behaviour 7. Overview of Division
This Division sets out: (a) requirements relating to the behaviour of council members, committee members and candidates; and (b) the mechanism for dealing with alleged breaches of those requirements. 8. Personal integrity
(1) A council member, committee member or candidate: (a) must ensure that their use of social media and other forms of communication complies with this code; and (b) must only publish material that is factually correct. (2) A council member or committee member: (a) must not be impaired by alcohol or drugs in the performance of their official duties; and (b) must comply with all policies, procedures and resolutions of the local government. 9. Relationship with others
A council member, committee member or candidate: (a) must not bully or harass another person in any way; and (b) must deal with the media in a positive and appropriate manner and in accordance with any relevant policy of the local government; and (c) must not use offensive or derogatory language when referring to another person; and (d) must not disparage the character of another council member, committee member or candidate or a local government employee in connection with the performance of their official duties; and (e) must not impute dishonest or unethical motives to another council member, committee member or candidate or a local government employee in connection with the performance of their official duties. 10. Council or committee meetings
When attending a council or committee meeting, a council member, committee member or candidate: (a) must not act in an abusive or threatening manner towards another person; and (b) must not make a statement that the member or candidate knows, or could reasonably be expected to know, is false or misleading; and (c) must not repeatedly disrupt the meeting; and (d) must comply with any requirements of a local law of the local government relating to the procedures and conduct of council or committee meetings; and (e) must comply with any direction given by the person presiding at the meeting; and (f) must immediately cease to engage in any conduct that has been ruled out of order by the person presiding at the meeting. 11. Complaint about alleged breach
(1) A person may make a complaint, in accordance with subclause (2), alleging a breach of a requirement set out in this Division. (2) A complaint must be made: (a) in writing in the form approved by the local government; and (b) to a person authorised under subclause (3); and (c) within 1 month after the occurrence of the alleged breach. (3) The local government must, in writing, authorise 1 or more persons to receive complaints and withdrawals of complaints. 12. Dealing with complaint
(1) After considering a complaint, the local government must, unless it dismisses the complaint under clause 13 or the complaint is withdrawn under clause 14(1), make a finding as to whether the alleged breach the subject of the complaint has occurred. (2) Before making a finding in relation to the complaint, the local government must give the person to whom the complaint relates a reasonable opportunity to be heard. (3) A finding that the alleged breach has occurred must be based on evidence from which it may be concluded that it is more likely that the breach occurred than that it did not occur. (4) If the local government makes a finding that the alleged breach has occurred, the local government may: (a) take no further action; or (b) prepare and implement a plan to address the behaviour of the person to whom the complaint relates. (5) When preparing a plan under subclause (4)(b), the local government must consult with the person to whom the complaint relates. (6) A plan under subclause (4)(b) may include a requirement for the person to whom the complaint relates to do 1 or more of the following: (a) engage in mediation; (b) undertake counselling; (c) undertake training; (d) take other action the local government considers appropriate. (7) If the local government makes a finding in relation to the complaint, the local government must give the complainant, and the person to whom the complaint relates, written notice of: (a) its finding and the reasons for its finding; and (b) if its finding is that the alleged breach has occurred, its decision under subclause (4). 13. Dismissal of complaint
(1) The local government must dismiss a complaint if it is satisfied that: (a) the behaviour to which the complaint relates occurred at a council or committee meeting; and (b) either: (i) the behaviour was dealt with by the person presiding at the meeting; or (ii) the person responsible for the behaviour has taken remedial action in accordance with a local law of the local government that deals with meeting procedures. (2) If the local government dismisses a complaint, the local government must give the complainant, and the person to whom the complaint relates, written notice of its decision and the reasons for its decision. 14. Withdrawal of complaint
(1) A complainant may withdraw their complaint at any time before the local government makes a finding in relation to the complaint. (2) The withdrawal of a complaint must be: (a) in writing; and (b) given to a person authorised under clause 11(3). 15. Other provisions about complaints
(1) A complaint about an alleged breach by a candidate cannot be dealt with by the local government unless the candidate has been elected as a council member. (2) The procedure for dealing with complaints may be determined by the local government to the extent that it is not provided for in this Division. Division 4 Rules of conduct
Notes for this Division: 1. Under section 5.105(1) of the Act a council member commits a minor breach if the council member contravenes a rule of conduct. This extends to the contravention of a rule of conduct that occurred when the council member was a candidate. 2. A minor breach is dealt with by a standards panel under section 5.110 of the Act. 16. Overview of Division
(1) This Division sets out rules of conduct for council members and candidates. (2) A reference in this Division to a council member includes a council member when acting as a committee member. 17. Misuse of local government resources
(1) In this clause: electoral purpose means the purpose of persuading electors to vote in a particular way at an election, referendum or other poll held under the Act, the Electoral Act 1907 or the Commonwealth Electoral Act 1918; resources of a local government includes: (a) local government property; and (b) services provided, or paid for, by a local government. (2) A council member must not, directly or indirectly, use the resources of a local government for an electoral purpose or other purpose unless authorised under the Act, or by the local government or the CEO, to use the resources for that purpose. 18. Securing personal advantage or disadvantaging others
(1) A council member must not make improper use of their office: (a) to gain, directly or indirectly, an advantage for the council member or any other person; or (b) to cause detriment to the local government or any other person. (2) Subclause (1) does not apply to conduct that contravenes section 5.93 of the Act or The Criminal Code section 83. 19. Prohibition against involvement in administration
(1) A council member must not undertake a task that contributes to the administration of the local government unless authorised by the local government or the CEO to undertake that task. (2) Subclause (1) does not apply to anything that a council member does as part of the deliberations at a council or committee meeting. 20. Relationship with local government employees
(1) In this clause: local government employee means a person: (a) employed by a local government under section 5.36(1) of the Act; or (b) engaged by a local government under a contract for services. (2) A council member or candidate must not: (a) direct or attempt to direct a local government employee to do or not to do anything in their capacity as a local government employee; or (b) attempt to influence, by means of a threat or the promise of a reward, the conduct of a local government employee in their capacity as a local government employee; or (c) act in an abusive or threatening manner towards a local government employee. (3) Subclause (2)(a) does not apply to anything that a council member does as part of the deliberations at a council or committee meeting. (4) If a council member or candidate, in their capacity as a council member or candidate, is attending a council or committee meeting or other organised event (for example, a briefing or workshop), the council member or candidate must not orally, in writing or by any other means: (a) make a statement that a local government employee is incompetent or dishonest; or (b) use an offensive or objectionable expression when referring to a local government employee. (5) Subclause (4)(a) does not apply to conduct that is unlawful under The Criminal Code Chapter XXXV. 21. Disclosure of information
(1) In this clause: closed meeting means a council or committee meeting, or a part of a council or committee meeting, that is closed to members of the public under section 5.23(2) of the Act; confidential document means a document marked by the CEO, or by a person authorised by the CEO, to clearly show that the information in the document is not to be disclosed; document includes a part of a document; non-confidential document means a document that is not a confidential document. (2) A council member must not disclose information that the council member: (a) derived from a confidential document; or (b) acquired at a closed meeting other than information derived from a non-confidential document. (3) Subclause (2) does not prevent a council member from disclosing information: (a) at a closed meeting; or (b) to the extent specified by the council and subject to such other conditions as the council determines; or (c) that is already in the public domain; or (d) to an officer of the Department; or (e) to the Minister; or (f) to a legal practitioner for the purpose of obtaining legal advice; or (g) if the disclosure is required or permitted by law. 22. Disclosure of interests
(1) In this clause: Interest: (a) means an interest that could, or could reasonably be perceived to, adversely affect the impartiality of the person having the interest; and (b) includes an interest arising from kinship, friendship or membership of an association. (2) A council member who has an interest in any matter to be discussed at a council or committee meeting attended by the council member must disclose the nature of the interest — (a) in a written notice given to the CEO before the meeting; or (b) at the meeting immediately before the matter is discussed. (3) Subclause (2) does not apply to an interest referred to in section 5.60 of the Act. (4) Subclause (2) does not apply if a council member fails to disclose an interest because the council member did not know: (a) that they had an interest in the matter; or (b) that the matter in which they had an interest would be discussed at the meeting and the council member disclosed the interest as soon as possible after the discussion began. (5) If, under subclause (2)(a), a council member discloses an interest in a written notice given to the CEO before a meeting, then: (a) before the meeting the CEO must cause the notice to be given to the person who is to preside at the meeting; and (b) at the meeting the person presiding must bring the notice and its contents to the attention of the persons present immediately before any matter to which the disclosure relates is discussed. (6) Subclause (7) applies in relation to an interest if: (a) under subclause (2)(b) or (4)(b) the interest is disclosed at a meeting; or (b) under subclause (5)(b) notice of the interest is brought to the attention of the persons present at a meeting. (7) The nature of the interest must be recorded in the minutes of the meeting. 23. Compliance with plan requirement
If a plan under clause 12(4)(b) in relation to a council member includes a requirement referred to in clause 12(6), the council member must comply with the requirement. ATTACHMENT 10.2.5
POLICY x.x USE OF COUNCIL LOGO
X.X USE OF COUNCIL LOGO
PURPOSE The purpose of this policy is to ensure that Council’s logo retains its integrity through consistent and appropriate use.
POLICY
1. Council uses its logo, where possible, on all documentation, signage and promotional merchandise. 2. Council permits an organisation or individual to use the logo if the organisation or individual is conducting an event or undertaking a project for which Council has provided a financial or in-kind contribution. 3. The use of the logo by private enterprise (commercial) parties be permitted only where some advantage could, in the opinion of the Chief Executive Officer (CEO), accrue to Council. Such permission must be provided by the CEO in writing and obtained in each and every use of the logo. Council may, at its discretion, set an appropriate fee for that use. 4. If a party obtains permission to use the logo, the following conditions apply: a. The logo remains the property of the Shire of Carnamah and can only be used on approved materials; b. The logo must not be used in conjunction with any merchandise, fundraising appeal or activity, or on any product, without prior written approval; c. The logo must be reproduced without alteration or modification, as provided by the Shire. The elements of design and text are integral components of the Shire’s brand, and must not be deleted or modified in any way. d. Final proofs of all materials that contain the logo are to be referred to the CEO for assessment, who may delegate this task to another employee for final approval of the application of the logo, prior to use. e. The Shire has the right to revoke the permission/approval at any stage if it believes that the logo has been used in an unacceptable way, either by its appearance or by the product it has been associated with. 5. Council’s name and logo remain the property of Council at all times and may only be used with express permission.
MINUTE NO: Policy Adopted: ATTACHMENT 10.2.6 (1) ATTACHMENT 10.2.6 (2)
Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020 ATTACHMENT 10.2.8 (1)
Eneabba 0 Economic Revival Pathway
Draft - 14 April 2021
Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020 Content page 1. POSITION PAPER 1.1 Preamble 2 6. INFRASTRUCTURE & LAND USE EXPANSION 1.2 Why establish a GH2 Hub at Eneabba? 3 6.1 Airfield 13 1.3 Renewable energy capacity of the Eneabba Valley 3 6.2 Railway 13 1.4 GH2 as catalyst for new low carbon emission industries 3 6.3 Dampier to Bunbury Natural Gas Pipeline 13 1.5 Physical impacts the Eneabba GH2 Hub is likely to cause 3 6.4 Band Highway 14 1.6 Social impacts the Eneabba GH2 Hub is likely to cause 4 6.5 Drinking water supply 14 1.7 Possible impact mitigation measures 4 6.6 Power supply 14 1.8 Benefits of the Eneabba Valley GH2 economic model 4 6.7 Medium to long term Residential 14 6.8 Light Industrial & Renewables Industry 15 2. INTRODUCTION 6.9 Railway sidings & bulk grain receival 15 2.1 Background 5 6.10 Grain Commodities 15 2.2 Shire objectives 5 2.3 Methodology 5 7. TOWNSITE DEVELOPMENT CAPACITY 2.4 Reversing the population decline 6 7.1 Visitors accommodation 17 2.5 Eneabba Valley & the Eneabba GH2 Hub 6 7.2 Residential capacity & short-term repopulation prospect 17 7.3 Commercial capacity 17 1 3. COMMUNITY ASPIRATIONS 7.4 Light Industry capacity 17 3.1 Built on existing attributes 8 7.5 Recreation and communal facilities 17 3.2 Sustainable economic growth 8 Plate 1. Eneabba GH2 Hub planning context 7 4. ENEABBA VALLEY MAJOR LAND HOLDINGS Plate 2. Eneabba Valley major land interests 10 4.1 Yamatji Nation 9 Plate 3. Concept land use plan for GH2 generation 12 4.2 Iluka Resources 9 Plate 4. Eneabba existing infrastructure & land use concept 16 4.3 Macquarie/Viridis Arawa farm 9 Plate 5. Eneabba townsite development capacity & facilities 18 4.4 State of WA 9 Appendix 1. Eneabba Progress Assoc. Oct. 2020 workshop 19 5. GREEN HYDROGEN HUB CONCEPT Appendix 2. Eneabba Progress Assoc. Mar. 2021 workshop 21 5.1 Transition to GH2 11 Appendix 3. Map of the Yamadji Nation 22 5.2 Landing potential investment 11 Appendix 4. Yamatji Land Holdings around Eneabba 23 5.3 Renewable energy capacity and GH2 production 11 Appendix 5. Yamatji Land Holdings within Eneabba 24
DISCLAIMER Any representation, statement, opinion or advice expressed or implied in this document, prepared by Calmy Planning & Design on behalf of the Shire of Carnamah, are made in good faith and on the basis that the authors are not liable for any loss whatsoever which may occur as a result of action taken or not taken in respect to the document content. Professional advice should be obtained before applying the information contained in this document to particular circumstances. Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
1. POSITION PAPER
1.1 Preamble The Eneabba population reached its peak of just over 400 residents in 1991. Today’s population is estimated at 130 and the 5 classes primary school currently caters for 15 students compared to 150 at the end of the 1980s. This situation is of concern to the remaining town population and surrounding farming communities. The Shire of Carnamah is eager to reverse the trend and the WA State Government aspires to create more jobs in regional areas and progress renewables technology, innovation hubs and hydrogen. As a consequence of declining population, Eneabba has underutilised land use zones for residential, commercial, light industries. The township has one of the highest social and recreation infrastructures per capita in the region, if not the State and further enjoys proximity to a pristine coastline and extensive natural reserves. 2 Substantial major infrastructure is already established, including the Brand Highway, the railway connecting Eneabba to Geraldton, the Dampier to Bunbury gas pipeline, an operational airstrip and a nearby 330kV SWIS transmission line. Nearby landholdings, including a fraction of the Yamatji Southern Region Corporation Leasable Reserve and a proportion of the Iluka owned land, are considered highly suitable for renewable energy generation. Subject to feasibility analysis, these assets may constitute an adequate critical mass to build a sustainable green hydrogen (GH2) first stage production. In turn, this may attract new zero-emissions industries, arouse interest from aligned investors and kick start the early implementation of the Eneabba GH2 Hub.
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1.2 Why establish a GH2 Hub at Eneabba? 1.4 GH2 as catalyst for new low carbon emission industries Reasons to establish a GH2 Hub at Eneabba are: Apart from the possibilities of exporting GH2 out of Eneabba, a range of a) Well elevated land ideal for wind power generation east of the industries could take advantage of either consuming the GH2 in-situ for township; carbon free downstream processing operations, consuming the local b) Potential access to land in close proximity to the township, renewable energy directly, or exporting it. including owned by Iluka, for solar power generation; c) Establishment of the electrolysis plant on ex mining land; Industries targeting low carbon emission outputs and markets include d) Subject to current feasibility work, potential to directly feed but are not limited to: blended GH2 into the Dampier to Bunbury gas pipeline; a) Fabrication, metals 3D printing, machine assembly and or repairs e) Access to rail to freight GH2 Cryogenic ISO Containers to for the farming sector; Geraldton Port; b) Agricultural products processing, e.g. wheat flour, pulse legumes, f) Capacity to cost-effectively supply GH2 to the grain belt farms in feed pellets, canola press, oat milling, organic products etc.; the region; c) Ammonia production as “greener fertiliser” or transitional energy g) Direct access to the Brand Hwy; storage for fuel cells; h) Operating airstrip for light aircraft access to Geraldton or Perth; d) Large scale aquaponics under LED lighting targeting organic or i) Feasible access to local aquifer for electrolysis purposes; pharmaceutical markets; j) Ability to capture immediately the underdeveloped features of the e) Plastic recycling and manufacturing, fibreglass and carbon for township; and mesh, boards, tanks, pipes, silos & equipment parts 3D printing; 3 k) Natural amenity and attractions for potential new residents f) Dedicated mining equipment fabrication and assembly; including proximity to coastal wilderness areas. g) Minerals refining operation; h) Clean energy supply to the Eneabba township and 1.3 Renewable energy capacity of the Eneabba Valley i) Option to feed renewable power into the nearby 330kV SWIS Initial estimates show that the land in the Eneabba Valley (including transmission line. parts of leasable Yamatji Reserve and land owned by Iluka at Eneabba) have the combined capacity to generate approximately 1,200 megawatts 1.5 Environmental impacts the Eneabba GH2 Hub is likely to cause of renewable energy. Subject to impact assessment, preliminary scoping suggests the main The favourable topographic features for wind power together with low impacts of the Eneabba GH2 Hub may be: yield farming areas for solar power found in the balance of the Eneabba a) Change to the visualscape caused by wind turbines and large Valley freehold land can raise the total capacity to some 1,800 solar arrays; megawatts. Such output would more than double Muja, WA’s largest b) Possible pressure on uncleared areas for new roads, housing & coal fired power station near Collie currently generating 854 megawatts, industries; and and equates to 10 times the recently established 180 megawatts c) Multiple service corridors, dedicated maintenance strips and Warradarge wind farm 30 Km to the south-east of Eneabba. easements.
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1.6 Social impacts the Eneabba GH2 Hub is likely to cause a) Create new local jobs inducing attraction to reverse the Shire Subject to impact assessment, preliminary scoping suggests the main depopulation trend; social impacts of the Eneabba GH2 Hub may relate to significant b) Reinvigorate local businesses at Eneabba and Carnamah; changes to the fabric, character and sentiment of the hosting community c) Increase the Shire rate collection base; due to factors including: d) Secure the long-term operation of the Primary school; a) The potential over utilisation of fly-in/fly-out workers; e) Render possible a new water strategy for GH2 production and b) Headquarters away from Eneabba perceived to be disconnected f) Examine the feasibility of water supply and retention at Lake from local needs; and Indoon. c) Development of own independent social amenities At the regional level it has the potential to: 1.7 Possible impact mitigation measures g) Assist the farming community with carbon-free fuel and lower Mitigating measures, clearly identified by the local community, should be carbon fertiliser; considered and ultimately committed to by the GH2 Hub’s new low h) Create job and investment opportunities for the emerging Yamatji carbon industries such as but not limited to: Enterprises Ltd; a) Creation of new permanent local jobs; i) Increase the usage of the Eneabba to Geraldton railway; b) Implementation of viable environmental corridors throughout the j) Increase business opportunities for the Shires of Coorow, Irwin Eneabba Valley; and Three Springs c) Existing and new small local businesses to service the larger 4 industries; At the state level it has the potential to: d) Assistance in establishing new housing stock for singles and k) Directly support the WA Renewable Hydrogen Strategy; families; l) Accelerate the GH2 gap reduction between offer and demand; e) Maintain/facilitate the presence of seniors who wish to retire m) Create a multitude of new jobs focused on carbon-free locally; technologies; f) Upgrade local medical services; n) Demonstrate how the Indigenous Land Use Agreement process g) Enhancement to existing social & recreation infrastructure; delivers measurable economic benefits to its people; h) Improve access to local natural treasures including injection and o) Focus on the Innovation Economy and Local Content; maintenance of water at lake Indoon, which was once a local and p) Offer on-site GH2 driven training and R&D at commercial scale regional skiing and water sport attraction with Universities; q) Connect Eneabba GH2 Hub startups with investors; 1.8 Benefits of the Eneabba Valley GH2 economic model r) Reinforce GH2 as a key component of Brand WA; The implementation of the Eneabba GH2 Hub and broader carbon-free s) Support and contribute to WA’s explicit intent to export GH2 in economic concept for the Eneabba Valley is far reaching. As ia; and t) Consolidate WA’s contribution to Australia meeting its Paris Agreement obligations. At the local level it has the potential to:
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2.INTRODUCTION c) Draw from and, where appropriate, consolidate the findings of the Shire endorsed February 2018 Economic Development 2.1 Background Blueprint & Action Plan and ensure that new economic initiatives The Shire of Carnamah commissioned, in November 2020, town are somehow associated with a decarbonisation approach; planning firm Calmy Planning & Design to formulate a high level d) Establish a detailed public and private land strategy that could Economic Revival Strategy (ERS) for Eneabba to stimulate the long term accommodate a variety of economic development projects for the economic outlook of the township and its immediate 20Km catchment township and surrounding areas and a reference point for that, for the purpose of this ERS, is referred to as the Eneabba Valley. possible amendments to the Local Planning Scheme and e) Develop a high-level strategic document to facilitate engagement The Eneabba ERS is the logical continuation of the Shire’s 2018 with regulatory agencies and the State Government. Economic Development Blueprint and corresponding Action Plan (the Plan) endorsed with all its Enabling Recommendations at the 20th 2.3 Methodology February 2019 ordinary Meeting of Council. This high-level Eneabba ERS or “Economic Development Pathway” primarily focuses on exploring the synergies & strength around a The Plan aimed at facilitating collaborative communication with Land/Industries vision as the indispensable setting capable of reversing government agencies, the community and business stakeholders across the population decline in order to ultimately generate interest from the Shire and beyond. It focused on a range of new Economic Initiatives private and institution investors. to support existing local businesses and industries. The Plan’s key 5 Economic Initiatives relevant to the Eneabba ERS are: Repopulation; To this end the ERS takes the following steps: Decarbonisation of power generation for the townships, and Green a) Local aspirations, knowledge and expertise, are taken into Hydrogen (GH2) production in proximity to the Dampier to Bunbury gas account to identify a suite of industries and activities susceptible pipeline at Eneabba. to generate local job creation; b) An overview of the major land holdings in the Eneabba valley is 2.2 Shire objectives established to provide a land responsibility context and some The Shire of Carnamah, through this ERS, explores a set of endeavours perspective on how future economic growth may occur; and production possibilities to stimulate economic activities within and c) A land-based concept in support of a large scale GH2 production around the Eneabba Townsite and hopefully reverse a damaging on- is devised to provide an overall sense of scale as economic going population decline affecting the region. This has been achieved catalyst to attract secondary industries. through the following activities: d) An inventory and characteristics of key infrastructure is a) Engage, collaborate and, where possible, align with identified established concurrently with the necessary expansion of land short and long-term business objectives for the township and uses in the vicinity of the township and surrounding areas; e) An assessment is made of the townsite immediate internal b) Identify smaller scale economic development opportunities in development capacity and its community facilities offering. consultation with local businesses and the surrounding farming community;
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2.4 Reversing the population decline The Shire’s population has declined by 30% from 807 in 2001 to 562 in 2.5 Eneabba Valley & the Eneabba GH2 Hub 2017 thus showing a net departure of 245 individuals from this grain belt The ERS area or “catchment” is defined by a 20km radius around community during that period. Eneabba referred as the Eneabba Valley (ref. plate 1 p.7). Progressive elimination of animals, mechanisation, drought & salinity, corporatisation of farming practices, the 2007 financial crisis, The backbone of the ERS is the introduction of a large-scale renewable globalisation of economic models, insufficient local value-adding electricity generation infrastructure to produce GH2 at Eneabba as industries, lifestyle preferences for urban or coastal areas all contributed, catalyst industry that could, alongside exporting GH2 elsewhere in WA in one way or another, to the movement of people away from the Shire. or overseas, attract a collection of carbon-free enterprises, jointly referred as the Eneabba GH2 Hub, to create new carbon neutral local This phenomenon is not unique to Carnamah and many rural jobs and businesses specifically attending the needs of the grain belt as communities across Western Australia are experiencing similar trend. well as the mining sector. In economic terms, reversing such trend is clearly the most pressing task before the Shire Council. In effect, without population growth, little The notion of Eneabba Valley is designed to encourage land owners fundamental socio-economic improvement can be expected. within or in proximity to the 20Km catchment, such as but not limited to the Arawa farm, to consider their own options as potential short or long To effectively reverse such decline the ERS gives consideration to the term additional renewable energy suppliers to feed the Eneabba GH2 following parameters: Hub itself. This scenario could provide farms, big or small, to obtain 6 a) Community aspirations and the relevant industries needed to carbon credits from their renewable electricity (solar, wind or both) to create and support local sustainable economic growth; offset their current carbon footprint mainly associated with the usage of b) Eneabba’s comparative advantages with major infrastructure, fertilisers, herbicides and diesel. existing community facilities and undeveloped residential, commercial, light industrial and recreation zoned land; c) Strategic land holdings controlled by the Yamatji Nation, Iluka Resources Limited (Iluka) and the private sector; d) Iluka’s existing and possible future operations; e) Examples of major carbon-free energy productions in the region; f) The rapid progress and innovative developments of the GH2 industry carbon neutral business operations suitable for the region; g) A wholistic land use concept around Eneabba to promote a GH2 Hub and h) An approach to gain collective support from stakeholders towards the implementation of the Eneabba GH2 Hub.
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3. COMMUNITY ASPIRATIONS
The on the ground knowledge and understanding of the community is c) Make Eneabba a construction/assembly Hub for mining and or the essential local element of the “People” component as broadly agricultural equipment; defined in section 1.3 above. The experience, awareness, aspiration, d) Create opportunities to support family farming; expectation and sentiment of the local community are providing the ERS e) Make the land adjacent to the railway line available for a valuable canvas of propositions and ideas that could, directly or prospective grain businesses; indirectly, revive Eneabba’s socio-economic outlook. The latest f) Entice CBH or another bulk handler to set up and receival site representation of the community’s views has been formulated by the which could tee into railway line at Geraldton port; Eneabba Progress Association at its October 2020 and March 2021 g) Introduce downstream processing such as wheat flour, feed workshops (ref. appendices 1 p.19 & 2 p.21). pellets, canola press (biofuel), Oat rolling mill etc…; h) Consider horticulture opportunities; 3.1 Built on existing attributes i) Capture the abundance of power in the area such as wind farms, The existing attributes that could be upgraded to boost local small substation and power lines to encourage the settlement of businesses are: industries locally; a) Improve the oval caravan park amenities/facilities, information j) Consider biodiversity industries and horticulture opportunities; signage, trails etc…, k) Improve water pressure and communication (Telstra tower); b) Increase wildflower and natural bush tours to entice visitors l) Consider more housing and accommodation and 8 passing through town prolonging their experience; m) Establish closer collaboration with adjoining Shires. c) Move the general store, set up a café and anything that will make people stop for a while and spend money; d) Create special events and infrastructure to increase visitation such as progressive golf Badgingarra, Eneabba to Dongara, pony trail through the Beekeeper Natural Reserve; e) Promote and expand wildflower trails; f) Improve camping facilities (wash/dry facilities) and g) Make the best of the access and exposure to the Brand Highway.
3.2 Sustainable economic growth The community’s specific aspirations to establish a sustainable economic pathway for Eneabba are: a) Find investors to introduce industries that can employ people and provide a wider consumer base e.g. fabrication, mining supplies, fiberglass, silo building etc…; b) Open/create large industrial blocks for new businesses;
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4. ENEABBA VALLEY MAJOR LAND INTERESTS 4.2 Iluka Resources The Eneabba Valley land tenure is dominated by 4 major land interests Since 2013 Iluka’s activities at Eneabba have been primarily the held by the Yamatji Nation, Iluka owned land, Macquarie/Viridis owned continuation of rehabilitation both reinstating agricultural land and native Arawa farm and the State of WA, all having the potential to play a pivotal vegetation. Iluka remains a dominant economic contributor to the Shire role in the economic future of Eneabba, the Shire of Carnamah and the and the Eneabba township. broader region (ref. plate 2 p.10) More recently, Iluka has commenced a first phase operation to process and concentrate a stockpile of monazite-rich material that has been These major land holdings because of their size, physical connection to stored at Eneabba since the 1990s and is now progressing the second major state infrastructure and corporate/governance arrangements are phase of that project. Iluka is also actively exploring a third phase, which in an advantageous position to initiate and promote the Eneabba GH2 contemplates a fully integrated rare earths refinery, having commenced Hub vision aiming at: a feasibility study this March 2021. a) Facilitating the consolidation of environmental corridors; Iluka owns approximately 7,100Ha of land around Eneabba. The b) Activating the production of renewable energy for hydrogen; majority of this land is located between 3Km and 10Km from the c) Focusing on local job creation and community empowerment and Township. Iluka is supportive of identifying and assessing opportunities, d) Developing innovative carbon-free technologies beneficial to the such as the Eneabba GH2 concept, that delivers sustainable value from environment, agriculture operations and mining processes. its land assets. 9 4.1 Yamatji Nation 4.3 Macquarie/Viridis Arawa farm The Federal Court determined 9th of February 2020 Land Use The 8,200Ha Arawa farm was developed from the amalgamation of 3 Agreement (LUA) between the Yamatji Nation and the Crown has adjoining properties near Eneabba. It has evolved from predominately permanently endowed in excess of 85 Km2 of leasable land assets to pastoral farming estates to a single larger scale grain cropping the Geraldton based Yamatji Southern Region Corporation (YSRC) operation. Viridis has initiated a Biodiversity Action Plan intended to: within and around Eneabba (ref. appendices 3,4 & 5 p. 22, 23 & 24). preserve and enhance high value flora, fauna and biodiversity; The YSRC is a charitable organisation mandated to generate economic contribute to regional biodiversity values by facilitating migratory development for the Yamatji Nation and its people. corridors habitats and preserve carbon sinks, and sequestering additional carbon. Viridis is also exploring carbon emission abatement The LUA offers a considerable opportunity for the YSRC to explore and measures for all its operations and has showed interest in the Eneabba implement economic endeavours using its land resources. In the near GH2 concept. future Yamatji Enterprises Ltd, a wholly owned subsidiary of the YSRC, will be established to guide and implement the economic interests of the 4.4 State of WA Yamatji Nation. The Eneabba GH2 concept has been issued to the The State of WA holds just over 1,000Ha virtually adjacent to the YSRC Economic Development Committee who expressed in principal Eneabba townsite on the western side of the railway line (Lot 10232) support for the concept acknowledging its magnitude and the significant whilst approximately 1,700Ha of Vacant Crown Land within the Iluka work required to make it reality. mining lease are undeveloped immediately to the south of the townsite.
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Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
5. GREEN HYDROGEN HUB CONCEPT interact with the local topography, hydrology and environmental features that may, could or should require protection, interconnectivity and The necessity for society to transition from the fossil fuel economy to the possibly environmental enhancement.. renewables economy and decarbonise large parts of the world’s energy system is the accepted paradigm recognised by the 197 countries who 5.3 Renewable energy capacity and GH2 production have endorsed/ratified the legally binding 2015 United Nations Paris The concept land use plan is the essential tool to realistically determine Agreement on Climate Change. the nominal energy capacity to be anticipated from the selected area.
5.1 Transition to GH2 Eneabba is established at the altitude of 100m AHD on the Eneabba The unique aptitude and compelling contribution GH2 and fuel cell Plain. The Yamatji land holding, 7Km to the east of the townsite lays on technologies can make to enable this transition to a cleaner environment a ridge with excellent wind exposure between 200m and 250m. The and low emission economy is increasingly recognised by governments, peak of the ridge, known for obvious reason as Ocean Hill, sits at 292m. the corporate sector, institutions, researchers and above all investors in innovative zero emission industries. The concept involves 56 wind turbines, at approximately 1000m spacing, shown on Yamatji land and another 12 on the adjacent private estate to GH2 is a clean, safe and versatile energy carrier that can be used for all the north. Factoring a 3.6 megawatts capacity each, similar to the forms of locomotion, power or feedstock for a variety of big or small nearby Warradarge wind farm turbines, the total wind power capacity downstream industries. Choosing GH2 as the primary feature to revive equates to 244 megawatts. 11 Eneabba’s economy is simply recognising that from now on any new The concept plan also shows 2,900Ha, out of Iluka’s 7,100Ha land, business or industry requiring start-up capital will be soon expected to devoted to solar arrays on flat lands with limited biodiversity between embrace carbon emission neutrality in the context of Australia’s 50m and 150m AHD. Based on an average of 1 megawatt per 3Ha the unsustainable hesitation to tax CO2 emissions and showing a net 3% solar power capacity equates to 960 megawatts thus raising the total increase in CO2 emissions per annum when the majority of CO2 taxing capacity of renewable power of the concept land use plan to say 1200 OECD countries are already experiencing a 3% decrease or more. megawatts.
5.2 Landing potential investment The GH2 Arrowsmith project, progressed by Blue Energy near Dongara, Sustained wind and solar regimes in the Eneabba Valley combined with asserts an expected production of 25 tonnes of GH2 per day based on a a fitting topography for wind farms and some low biodiversity land areas 160 megawatts capacity. This equates to 6.4 megawatts per tonne. On well suited for solar energy collection are providing favourable conditions that basis and with 1,200 megawatts capacity the production at Eneabba to “land” clean energy focused projects and attract investors attentive would be in the order of 185 tonnes of GH2 per day. and eager to activated the rollout of the renewables economy. This is not saying that the entire renewable energy capacity would be A conceptual land use plan focusing on GH2 production, devised mainly entirely utilised for GH2 production. A proportion of it could be assigned on lands held by the Yamatji Nation and Iluka Resources (ref. plate 3 p. to other zero-emission industries as depicted in sections 1.4 above or 12), illustrates how the location of wind turbines and solar arrays can 6.8 below.
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6. INFRASTRUCTURE & LAND USE EXPANSION
Eneabba’s offers a diverse and complementary infrastructure framework until 2049. The company provides track infrastructure and train control that, combined with sufficient land resources in the immediate vicinity of services and is responsible for negotiating commercial access with end the existing settlement, extends a major comparative advantage to users. effectively buttress the economic growth expected from, and induced by, the Eneabba GH2 Hub concept. The Eneabba rail link to the Geraldton port or Perth via the Dongara- The key community economic aspirations requiring land within or in Mingenew-Moora line could play a pivotal role in bulk freighting a range close proximity to Eneabba have been superimposed over public or of commodities out of the Eneabba GH2 Hub such as GH2 in gaseous private land assets surrounding the township to exemplify how these container tubes, liquid GH2 in cryogenic ISO containers, liquid ammonia aspirations could be “landed” or implemented in the context a rich for energy or fertiliser and grain. infrastructure setting. (ref plate 4 p.16). 6.3 Dampier to Bunbury Natural Gas Pipeline (DBNGP) 6.1 Airfield The DBNGP, running 8Km east of Eneabba, has been in continuous The Eneabba municipal airfield has a 1.4Km unsealed runway sited on a operation since 1984 and has a remaining life of at least 50 years. The 285Ha. Aerial Landing Ground Reserve within the Iluka Resources Parmelia Mainline, running approximately 1 Km west of Eneabba is mining lease. The facility is suitable for medical emergency air service to integral to the DBNGP grid. 13 Perth (244Km flight distance) and Geraldton (132Km flight distance). It also provides indispensable water supply to firefighting water bombers The private company Australia Gas Infrastructure Group (AGIG) owns controlling fires outbreaks within and around the region’s extensive the DBNGP and its parent company Dampier Bunbury Pipeline (DBP) is bushland reserves and conservation areas. the pipeline’s maintenance and integrity operator. DBP also provide design, project management and construction services to companies The runway could be sealed and provide valuable all-weather access to wishing to connect to the DBNGP. technicians and executives expected or needing to make visits to the Eneabba GH2 Hub industries at the establishment and operational AGIG is currently undertaking a 12 months internal feasibility study into stages. The Reserve could accommodate a runway up to 2,2Km in the injection of blended hydrogen into the DBNGP. The study focuses in length if required. part on the effect of hydrogen embrittlement on the pipeline unlined steel joints and the impact of blended hydrogen taking more energy space 6.2 Railway than natural gas thus diluting the energy through the pipeline. The Eneabba spur line branching off at the Dongara junction was established in the 1970’s to initially freight mineral sands feedstock for The bulk transportation of the Eneabba GH2 via a dedicated plastic processing at the Narngulu industrial estate on the outskirt of Geraldton. pipeline is technically safe, feasible and the width of the DBNGP The line is part of the open-access, multi-user, State-owned freight rail Reserve corridor is sufficiently wide to also cater for such eventuality. network privately maintained and operated by ARC Infrastructure (owned by Brookfield Infrastructure Partners L. P.) under a lease in force
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6.4 Band Highway In service since 1976, the 370Km Brand highway is linking the northern 6.7 Medium to long term Residential outskirts of Perth to Geraldton. It is a segment of Australia’s National The majority of Eneabba’s residential blocks are approximately 900m². Route 1 and forms part of the WA coastal link to the Northern Territory. This low density is seen as a key attraction to attract new residents in The roads to Three Springs/Carnamah and Coolimba/Leeman are town. connecting to the Highway at Eneabba. The Main Roads WA maintained For the purpose of this ERS, and to maintain the existing low-density Brand Highway represents a valuable transport asset for the potential character, it is assumed that 20% of developable land could be set aside establishment and operational stages of the Eneabba GH2 Hub. for roads, 10% for public open space and 70% for residential blocks at the R10 density. This formula would yield, per Ha., seven 1000m² new 6.5 Drinking water supply blocks and 18.2 people based on the WA 2016 census average people In 2008, the then Department of Water endorsed the Eneabba Water per household of 2.6. Reserve drinking water source protection plan. (the Plan) The Eneabba groundwater resource lies within the Arrowsmith Beyond the estimated 290 population projection feasible through infill Groundwater Area administered by the Department of Water and development within the township, as described in section 7.2 below, the Environmental Regulation. organic and cost-effective residential expansion of Eneabba is The Eneabba’s drinking water is sourced from two groundwater envisaged in two areas: abstraction bores, licenced for up to 200 000 kl per year to the Water a) In the medium term 32Ha. south of Darling Street and along Corporation, located within a public Water Reserve and associated Eneabba Drive could be developed and yield 224 lots to 14 water protection special control area (No.4) on the eastern side of the accommodate a population of 582 and townsite. The bores draw water from the Yarragadee Formation, which b) In the longer term another 30Ha., wrapped along Eneabba Drive is covered by up to 30 m of sand and clay. The bores are screened south of the golf course, could be developed and yield 210 lots to between 81m and 98m below ground level and have a static water level further accommodate a population of 546. of approximately 31m below ground level. This high-level housing/repopulation approach based on the immediate The Plan suggested at the time; “groundwater recharge occurs directly use of serviced land and future land release stages would allow from rainfall and has increased due to land clearing for agriculture. The Eneabba to move from 130 residents today to say 1400 in the longer watertable is rising at an annual rate of up to 0.25 m.” In 2005-06, the term in order to effectively support the job creating Eneabba GH2 Hub. Eneabba population was 250 and the water abstraction was 93 884 kl.
6.6 Power supply Eneabba is located within Western Power’s northern region. The township is currently connected to the Three Springs substation. The Eneabba GH2 Hub could provide alternative renewable energy supply to the township in the context and tentative support of the forthcoming Australian Local Power Agency Bill 2021.
Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
6.8 Light Industrial & Renewables Industry There are prospectively sufficient interested growers to reach the The existing town light industrial area could be expended by 3Ha. in the 100,000T supply threshold considered necessary to make viable an medium term to cater for the increased domestic demand for that period. open bulkhead grain storage facility at Eneabba. More land could still deliver growth in the longer term further south on the eastern side of Mineral Sands Road if required. 6.10 Grain Commodities The Eneabba Progress Association has identified the creation of Integral to the Eneabba GH2 Hub, the conceptual location of a 90 Ha. opportunities in support of family farming as a critical objective. Renewables Industry Estate is shown east of town along the Eneabba- There is potential to establish a grain and farming products value-adding Three Springs Road to accommodate a range of carbon-free emerging precinct on two sites totalling 11.9Ha immediately north of the proposed industries willing to take advantage of either consuming the Hub’s GH2 grain receival site whilst capturing some of the renewable energy in-situ, service the Hub’s larger downstream processing Industries or expected from the Eneabba GH2 Hub. consuming the local renewable energy directly for but not limited to: This would allow a range of processing activities such as grain and pulse a) Installation and or maintenance of wind turbines or solar arrays; legumes milling, feed pellets, canola press, oat rolling mill etc… b) Adaptation of existing diesel vehicles to GH2/diesel fuel as “soft” transition to assist/accelerate emission reduction in farms c) Machinery adaptation to GH2; d) Pressurized GH2 tanks with bowser in container frames to supply service stations, farms and remote regional industries; 15 e) Service maintenance and repair of heavy GH2 powered vehicles; f) Equipment assembly and or repairs for the farming sector; g) Dedicated mining equipment fabrication and h) Manufacturing of plastic/fibreglass/carbon products for farming and mining alike.
6.9 Railway sidings & bulk grain receival As discussed in section 6.2 above there is clear potential to take advantage of the existing Eneabba-Geraldton railway spur line. Some grain growers in the Eneabba Valley and beyond have indicated interest in the establishment of a 10Ha bulk grain receival facility and associated rail sidings adjacent to the east of the railway line opposite the Eneabba townsite on a small portion of State of WA owned land.
This arrangement would significantly reduce travel time to many growers traveling some 60Km or more to current receival facilities or travel 120Km directly to the Geraldton port.
Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
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Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
7. TOWNSITE DEVELOPMENT CAPACITY
The Shire of Carnamah Local Planning Scheme No.2 map for the 7.3 Commercial capacity Eneabba townsite has been modified (ref. plate 5 p.18) to highlight the The main businesses operating under the commercial zone are the amount of vacant land zoned residential, commercial and light industrial Service Station, the Tavern and the Shop/Post Office utilising some and the range of community and recreation facilities available within. In 0.8Ha of commercial land. The remaining 24 vacant commercial lots, general terms the leafy townsite is conveniently structured and well- totalling 3.5Ha., are found to the south of the primary school along endowed with a range of community facilities and vacant land capable of Eneabba Drive and Darling Street. cost effectively accommodating the early stage of expansion associated This single greenfield area of commercial land offers excellent prospect with the Eneabba GH2 Hub job creating proposition. for growth whilst providing design flexibility to meet future demand such as but not limited to a mini supermarket, a café/restaurant, a bakery, a 7.1 Visitors accommodation butcher, a pharmacy, a few speciality shops and some office space. There are two mining camp style accommodation in the township. It could also accommodate a small business incubator and a training Iluka Banksia’s Village has 120 bedrooms catering predominantly for its centre focusing on prospective renewable energy undertakings and workforce. Three meals/day are prepared on site and offered to the innovative carbon-free industries specifically targeting local youth patrons at the village. aspiring to work for or service the mining and farming sectors. Iluka’s Erindoon Camp has approximately 20 self-contained rooms hosting exclusively farming seasonal workers. 7.4 Light Industry capacity 17 A 3 days maximum stay camping facility is available at the oval with hot The light industrial area to the east of the township comprises 10 showers and toilets amenities. occupied lots totalling 2.4Ha. and 2 vacant lots totalling 1.4Ha. This vacant area is considered sufficient to meet the light industrial 7.2 Residential capacity & short-term repopulation prospect domestic demand expected from the repopulation prospect raised in At the 2006 census the town had a population of 250, at the 2016 section 7.2. census there was only 147 persons living at Eneabba. Today the number of residents would be closer to 130 with only 15 children 7.5 Recreation and communal facilities enrolled at the primary school (compared to some 150 in the early 80’s). The introduction of the Eneabba War service Land Settlement Project in A key component to sustain local jobs is the provision of housing. At the 1950s, the gazettal of the town in 1961 and the extraction of mineral present the township consists of 75 existing individual houses and 54 sands beginning in the 1970s all contributed to the progressive R10/30 vacant lots of various sizes that could possibly accommodate, establishment and on-going improvement of the townsite communal and through the simplest planning approval procedure, at least 65 additional recreation facilities. homes. This could potentially expand, in a very short period of time, the With its equestrian club, 9 holes golf course, tennis club, swimming pool, township total population from 130 to at least 290. football oval, recreation centre, library and sports club, Eneabba offers There is also abundant land available immediately to the south of the today a remarkable array of well-maintained facilities that would outrank settled area to accommodate a much larger population in the medium to per capita most remote settlements in the State. longer term.
Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
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Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 5 - Eneabba Townsite – Development capacity & Facilities 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] APPENDIX 1 – Eneabba Progress Association – October 2020 workshop Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
The October 2020 EPA workshop aiming at the formulation of a 8. Pony trails in beekeeper so horsey people could trek and stay Community Strategic Plan focused on the following question: 9. Gazebo and BBQ in middle of caravan park 10. RV dump for caravans A - What’s great that we need to nurture and keep looking after 11. Community bus – to enable sports, farmers, social events (move 1. Increase our wildflower and natural bush attractions, expand people around, rent out, bring people in) signage, local information and advertising 12. Move the general store, set up a café and anything that will make 2. Nurture Lake Indoon and ensure drainage and water to the lake people stop for a while and spend money 3. Community events – Christmas tree, Merry markets, Campcraft 13. Skate park/motocross track 4. Carpark 14. Pool enhancements – heating, water slide, water park elements, 5. Playground across from the park equipment 6. Create events and welcome new people at the tennis club 15. Gymnasium 7. The swimming pool is fantastic, we could promote it to visitors 16. Better oval 8. Support the clubs and businesses we already have 17. Paintballing, laser tag, maze 18. Tidy town, gardens, decoration (streets, entryway, lights) B - What have we started that needs more energy? 19. Improved entryways (signage, what’s here, water feature) 1. The community garden at the school 20. Free WiFI 2. Fitness classes for the whole community 3. Finish footpaths, shade sails at the playground D - What might get tourists to stay 1 more day 19 4. Create bike trails and encourage cyclists to enjoy the area 1. Events people can join in (tours – ocean, Lake Indoon, caves, 5. Support the golf and tennis clubs, better advertising of events wildflowers) 6. Promote and expand wildflower trail so visitors passing through 2. Bike trails town can experience it (signage at playground and 3. Bush walks direction/length etc. 4. Café run by the community with info during the wildflower season 7. Mine site visits for the school kids, locals and visitors (well-advertised with maps and signage (even a ribbon where a 8. People need to talk (nights like this) good plant can be found) 9. Local cemetery/memorial wall 5. Improve camping facilities (wash/dry facilities) 6. Better mobile coverage and Wi-Fi C - What would make Eneabba a better place to live? 7. Map out wildflower locations for tourists, trails, signs etc. 1. Community picnics at our local park/fun events 8. Tourist information centre 2. Concerts – tribute band competition, amateur night, town choir 9. Pull off bays for people to look at flowers and take photos safely 3. Mini golf near playground – interpretive signs 4. Revive the bowling club 10. Sign on highway to advertise pool and playground 5. Fix Lake Indoon so it stays full – ski all year round 11. Any ABBA at Eneabba – dance, tribute night, movie night yearly 6. Create cable ski park using the west mine void 12. Local accommodation info and overnight accommodation at the 7. 4WD park using the land around west mine hall
Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
13. Camp kitchen near rec/Club so campers can cook and meet 11. We have plenty of power in our area – wind farms, substation, others power lines. Should be used to encourage industry here. Not too 14. History of Eneabba area e.g. stock routes, caves, Brand Highway far from most centres etc. 12. Oat rolling mill – good markets available, we are on the Brand 15. Progressive golf round – Badgingarra, Eneabba to Dongara (e.g. Highway Crossing Nullarbor) 16. Community radio (e.g. Perenjori FM) 17. Fields of colour – photo stops for tourists 18. Signs for the pool and other attractions on the highway 19. Upside down rooms for Instagram photos 20. Local lookout sites for visitors to take photos etc. – Woodada Hill would be perfect, great place for telescope and stargazing 21. Dog days- sheep and dogs like they do in New Zealand 22. Rodeo – a great crowd please – maybe in conjunction with Campcraft or another event
E - What might we do to create and support sustainable economic growth 20 1. Create an industry that can employ people and provide a wider consumer base e.g. fabrication, mining supplies, fiberglass, silo building – find investors 2. Open industrial blocks for new business 3. Horticulture opportunities 4. Support small and beginning businesses 5. Make Eneabba a construction/assembly Hub – put together mining equipment (fabrication) 6. $1 houses (only available to young starting families) not baby boomers and/or blocks of land in town 7. Land access adjacent to railway line -available for prospective grain business 8. CBH or other bulk handler set up and receival site which could tee into railway line at Gero port 9. Downstream processing – wheat flour, feed pellets, canola press (biofuel) 10. Amalgamate Carnamah and Coorow Shires
Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] APPENDIX 2 – Eneabba Progress Association – 10 March 2021 workshop Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
The 10 of March 2021 EPA workshop focused on the question:
What will the community look like for you in 2031 if all your wishes for the Strategic Community Plan came to fruition?
The question was responded to through four discrete themes i.e. Social, Environment, Economy and Social Leadership.
A - Social C - Economy 1. Active healthy clubs and volunteering 1. Local Jobs for Local People 2. Social activities for all - fill the gaps 2. Thriving Economy 3. Places to come together after work 3. Corporate Farms contributing 4. Great place for Retirement 4. More opportunities for family scale farming 5. Medical Services 5. Making most of Biodiversity Industries 6. Reduced drugs & Alcohol harm 6. Wind Farming 7. Sense of belonging 7. Shop & Post office on Eneabba Drive 8. Social cohesion and greater behaviour skills 8. Café, Restaurant and Good Tavern 9. Decent water pressure 9. Increased Accommodation Housing + Short Stay 21 10. Telstra Tower 10. More Shops 11. More Housing & Accommodation 12. School kept open D - Civic Leadership 1. More Police B - Environment 2. Active Volunteers 1. Take care of Lake Indoon, bring the water back 3. Eneabba representation on Council 2. Enjoy a clean and litter free settlement 4. Local People have an active voice 3. Roadhouse on Highway 5. Shire boundary moved so we are all in Carnamah Shire 4. Simple access to natural treasures 5. Wide range of amenities at overnight camping 6. Beautification of eastern side of Eneabba drive 7. Recycling and upgraded tip 8. Community garden with produce sold locally
Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] APPENDIX 3 – Map of the Yamadji Nation Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
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Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] APPENDIX 4 – Yamatji Land Holdings around Eneabba Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
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Eneabba Townsite
Lake Indoon
Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] APPENDIX 5 – Yamatji Land Holdings within the Eneabba townsite Eneabba Economic Revival Strategy - 1020 -1 - 14/04/2020
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Calmy Planning & Design Pty. Ltd. ABN 20 137 599 949 - Tel (08) 9450 6874 – M 0457 804 266 58 Bradshaw Crescent - MANNING WA 6152 - [email protected] Page 1 of 1 ATTACHMENT 10.2.8 (2)
Eneabba Economic Revival Strategy
PROPOSED FLOW CHART
1 21 April Ordinary Meeting of Council Council approves the release for
comments & submissions 2 Community & Stakeholders make through public notice comments & or provide submissions to of the Shire no later than The Eneabba ERS Draft Report 12 May Inclusive of the Position Paper
3 4 Calmy Planning & Design analyses the 19 May Ordinary Meeting of Council submissions & draft recommendations Council examines the report on by 14 May submissions & either invalidates or endorses the ERS
5 6 Council invalidates the ERS & rests the process Council endorses the ERS
9 7 June - Iluka formal support The Shire seeks formal support for the ERS from Iluka & Yamatji 10 June - Yamatji formal support
11 8 June - Formal comments/positions from: The Shire seeks position on the ERS from CBH CBH, Macquarie-Viridis (Arawa Farm), Macquarie-Viridis Eneabba Progress Association, Shires of Eneabba Progress Association Coorow, Irwin and Three Springs Shire of Coorow Shire of Irwin Shire of Three Springs
12 July - Formal joint submission to the WA Minister for Regional Development; Agriculture and Food; Hydrogen Industry; The Hon Alannah MacTiernan MLC
Advocating: Regional repopulation; GH2 production & GH2 market development; New jobs in the carbon-free sector; Indigenous advancement; Support to farmers with green energy & green fertiliser; Increased usage of the railway network; and Innovation & training in GH2 technologies.
Seeking: Cabinet support for a whole of government designated coordinator for the Eneabba GH2 hub approvals; Inclusion of the Eneabba GH2 hub in the state Planning, Industrial & Energy Strategies; and a single government point of contact to facilitate repopulation. ATTACHMENT 10.2.9 (1)
ATTACHMENT 10.2.9 (2)