Workbook - the Reform Toolkit

Local Government Reform Toolkit ›

Workbook

CONTENTS Preface

8

Further Information

8

Asset Management

9

Project Management Data and Systems Planning Impact of boundary changes Changeover day

9 10 12 14 15

Business Systems Project Administration and Current State Future state Roman II

Changeover Day Planning for the event Changeover Day (first week) Changeover Day Management

Commissioner Appointment of Commissioner(s) Appointment of the Interim CEO First Council meeting Cessation of Commissioner(s)

Communications Internal & External Internal Communications External Communications

Community Consultation Consultation

Community Development Service Delivery Model Levels of Service and Functionality Stakeholder Consultation Community Services - Grant Funding (example Senior and Disability Services) Events Management Recreation Services

16 16 17 19

20 20 21 22

23 23 24 25 26

27 27 29

31 31

33 33 35 36 37 38 39

Compliance

40

Customer Service

41

Customer Service Model Front line customer service – Administration Building

Due Diligence Due Diligence Local Governmett Reform Toolkit Workbook Page 2 of 236

41 43

45 45

Impact of boundary changes

Environmental Management NRM – Planning Local Biodiversity Strategies NRM – Wildlife Enhancement Water Resource Management – Waterwise Council NRM – Integrated Catchment Management NRM – Friends Group Climate Change Carbon Management and Greenhouse Gas Emission WALGA’s Local Government Climate Change Declaration Representation – Climate Change Industry Groups

Financial Management Significant Accounting Policies and Delegations Accounting Practices Accounting Standards Annual Budget 2015/16 Annual Report 2014/15 Audit and Risk Banking and Investment Loans and Debt Business Entity, ABN and GST Capital Works Cash Reserves Chart of Accounts (COA) Commercial Enterprises and major land transactions Concessions, waivers and discounts Creditors Debtors Fees and Charges Grants Long Term Financial Plan (LTFP) Rates and Rate Setting Financial reporting Inventory and Stores Trust Funds Business Unit Structure

Governance Policy Delegations Compliance and Audit Common Seal Registered Designs, Business Names, Trademarks and Intellectual Property Property ownership Memberships

Local Governmett Reform Toolkit Workbook Page 3 of 236

47

48 48 50 52 53 54 55 56 58 59 60

61 61 63 64 65 67 68 70 71 72 73 74 75 76 77 78 79 80 81 82 83 85 86 87 88

89 89 91 92 94 95 96 97

Human Resource Management

98

HRM - Project Management Human Resource Management » HRM - Business systems including Payroll HRM - Workforce Plan HRM - Internal communications HRM - Employee Assistance Program (EAP) HRM - Working Groups HRM - HRM Plans HRM - Policy and Procedure HRM - Workers compensation and rehabilitation (WCR) HRM - Outplacement Services HRM - Grievance Process HRM – Uniforms HRM - Letters of Appointment HRM - Records Management ER - Enterprise Agreement ER - Industrial Relations ER - Position Descriptions (PD) ER - Employment Contracts ER – Volunteers ER - Job security ER - Grievance Process ER - Job roles and responsibilities ER - Labour hire ER - Disability employment ER - Overseas Workers ER - Placement and Redeployment Policy and Processes ER - Interim Organisational Structure ER - Entitlement and Benefits ER – Redundancy ER - Voluntary Separations ER - Casual and Temporary Employees ER - Apprenticeships and Traineeships ER - Monitoring and Reporting OD - Training and Development OD - Organisational Development (OD) OD - Performance Management Framework

98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133

Integrated Planning & Reporting Establish the IPR Framework Develop a Strategic Community Plan (SCP) Develop an Interim or new Corporate Business Plan (CBP) Develop a service / operational plan


134 134 136 138 140

Interim CEO Inductions Changeover Day First meeting of the new entity Council elections Inductions for new Council Governance Recruitment of the Interim CEO (for amalgamation purposes)

Leading & Managing Change Change Management People and Culture

Legal Legal Proceedings Legal Business Unit

Legislation Legislation Local Government Amalgamation Guide 2013 (Not legislated)

Management: CEO & Executive Team Administration Support Project Management Changeover Day (first week) Due Diligence Governors Orders Asset ownership and transfer Induction and Handover Recruitment of the CEO position (Boundary Changes) and Project Director

Marketing & Brand Management Strategic Marketing Brand Management

Native Title South West Native Title Agreement

Organisational Structure – Interim Interim Organisation Structure Interim Organisation Structure – Project Management

142 142 143 144 145 146 147 148

149 149 151

153 153 154

155 155 156

157 157 158 160 161 162 163 164 165

166 166 168

169 169

171 171 173

Planning & Development

174

Strategic and Statutory Planning Building Permit and Certification Heritage Provisions and Incentives

174 176 178


Procurement Overall Procurement Reform Support Procurement Structure Purchasing Policy Governance Contracts Register Tender Register Resources and Templates Current Activity Due Diligence Insurance Skills development Compliance and probity Property contracts and capital assets ICT Contracts Service Contracts Goods Contracts

Project Management Project Management, Business Process Re-engineering and Project Governance

Property Management Property Management Property Management – Framework, systems and processes Property Management – Service Delivery

Records Management Freedom Of Information Business Systems Policy, Plans and Process Training and Induction

Reform Costs Financial and Resourcing impact of Reform

Regional Councils & Entities Existing Joint Councils Other Controlled Entities Associations, Partnerships, Joint Ventures and other Collaborations

Regulations & Enforcement Local Laws Enforcement - General Operations

Risk Management Emergency Management Occupational Safety and Health Insurance Strategic, Operational and Project


179 179 180 181 182 183 184 185 186 188 189 190 191 192 193 194 195

196 196

197 197 199 201

203 203 204 205 206

207 207

210 210 211 212

213 213 214

216 216 217 219 221

Service Delivery Service Delivery Model Levels of Service and Functionality Stakeholder Consultation

Waste management Education Events Facilities Fees and Charges Kerbside and Verge Side Collection Integrated Planning Public Place Strategic

Workbook developed by Ricky Woodman-Povey City of South Perth Cnr Sandgate Street and South Terrace SOUTH PERTH WA 6151 Telephone: 9474 0777 [email protected] www.southperthwa.gov.au


223 223 225 226

227 227 228 229 231 232 234 235 236

PREFACE This workbook was developed in early 2014 as a means of distilling the Local Government Reform Toolkit website into one easy-to-use document. All of the information is taken directly from the Reform Toolkit website. The Toolkit is intended to evolve as the Metropolitan Local Government Reform process proceeds. This document is up to date as at 9 April 2014. Please refer to the Latest News section of the Toolkit website, which is updated with prompts when new content is added.

FURTHER INFORMATION TOOLKIT ENQUIRIES For any queries regarding the Local Government Reform Toolkit, please use the details below: Local Government Reform Toolkit www.reformtoolkit.com.au Phone: Email:

(08) 9213 2000 [email protected]

GENERAL ENQUIRIES If you require further information on any general aspects of the Reform Toolkit, please contact the Reform Toolkit Partners on the contact details below. If you require additional information regarding the functions and actions, please refer to the Helpline in the corresponding function. Western Australian Local Government Association ONE70 170 Railway Parade Leederville WA 6007 www.walga.asn.au Tony Brown Phone: Email:

(08) 9213 2051 [email protected]

Department of Local Government and Communities GPO Box R1250 Perth WA 6844 www.dlgc.wa.gov.au Helena Waldmann Phone: (08) 6551 8700 Email: [email protected] Local Government Managers Australia (WA) 21 /168 Guildford Road Maylands WA 6051 www.lgmawa.org.au Warren Pearce Phone: (08) 9271 1136 Email: [email protected]


ASSET MANAGEMENT PROJECT MANAGEMENT STAGE 1: NOW – JULY 2014 Objectives • Establish project governance and framework. Actions • Establish an Asset Management (AM) working group and commence project planning and timelines to 2015. Supporting Material • Refer to Function: Leading and Managing Change • Refer to Function: Project Management • Refer to Function: Risk Management


DATA AND SYSTEMS STAGE 1: NOW – JULY 2014 Objectives Ensure all data, plans and business systems information is up to date. Actions • Collate and update all asset group information and data. • Collate and update all AM related plans including AM Improvement plans; AM Plans; policy; processes; major projects; FCWP; maintenance; budget; specific asset related debt; reporting; employees and structure; Plant and Equipment. • Identify all business systems and critical functions. Identify all contractual obligations. STAGE 2: AUGUST 2014 – MARCH 2015 Objectives • Commence mapping of future state. • Identify legal / contractual obligations. • Complete budget estimates and Long Term Financial Plan implications. • Collate, review and consolidate Roman II databases. Actions • Collate and review all asset group information and data from the merging Local Governments. Convert to common format and language for analysis. Advise ICT business unit of inventory of all asset management systems. • Compare and analyse all ‘current state’ business systems, critical functions and contractual obligations. Identify disparate and similar systems. • Identify and document preferred framework i.e. combined best practice, future tasks and responsibilities, language, definitions and processes. • Review priorities for achieving changeover day requirements. STAGE 3: APRIL 2015 – JUNE 2015 Objectives • Finalise budget estimates and Long Term Financial Plan implications. • Finalise consolidation of Roman II databases. • Develop an implementation / changeover plan to support the organisation through key systems and operational change. Actions • In consultation with stakeholders, finalise and document preferred framework. • Agree business and data systems and initiate merging of data including test runs. • Ensure new fair value data is included. • Liaise with key business units to ensure integration and understanding of revised processes i.e. finances, asset management, property management, maintenance etc. • Ensure new systems and procedures are documented, accessible and communicated. Ensure training is delivered.


STAGE 4: JUNE 2015 – ONWARDS Objectives • Implement the changeover plan to support the organisation through key systems and operational change. Actions • Ensure new systems and procedures are documented, accessible and well communicated. • Ensure training is delivered. SUPPORTING MATERIAL FOR ALL STAGES • Refer to Function: Business Systems • Refer to Function: Financial Management ROMAN II Checklist Roman II Website Leadership, the essential ingredient in Asset Management


PLANNING STAGE 2: AUGUST 2014 – MARCH 2015 Objectives • Commence the review, consolidation and rationalisation of Asset Management (AM) classes. • Establish an overarching AM Framework to capture all policy, process, systems and planning. • Identify workforce requirements. • Review service delivery model and premises/accommodation suitability and capacity. Actions • Ensure all assets are protected and accurately valued. • Review all AM plans (in line with the Corporate Business Plans and LTFP’s) and strategies including operational, maintenance and renewal plans, plant/asset replacement etc. • Commence identification of significant / critical assets across all asset classes. • Consider levels of service, risk management, lifecycle management, financial projections, review methodologies, accounting practices, statutory and management reporting. • Identify possible asset disposal options. • Identify backlog. • Commence workforce planning requirements in line with proposed service delivery, structure and levels of service. • Review and update Asset Registers. Commence consolidation of Registers in line with changes made as a result of boundary changes / amalgamations. STAGE 3: APRIL 2015 – JUNE 2015 Objectives • Continue review, consolidation and rationalisation of Asset Management (AM) classes. • Finalise new AM framework and plans for the new entity. • Confirm workforce requirements and structure. Premises, plant and equipment requirements. • Commence mobilisation of resources if applicable. • Prepare new policy(s) for adoption. • Ensure all financial plans and budgets are prepared and integrated. • Prepare for changeover day with focus on employee inductions. Actions • Review the AM Transition Plan (or similar project plan for reform) to ensure validity. • Consider levels of service, risk management, lifecycle management, financial projections, review methodologies, statutory and management reporting. • Establish policy and procedures, asset hierarchy, modeling parameters and common format and language. • Identify possible asset disposal options. • Ensure all assets are valued at fair value in accordance with the statutory requirements by 30 June 2015. • Confirm workforce planning and employee transmittal requirements in line with proposed service delivery, levels of service and industrial obligations.


STAGE 4: JUNE 2015 – ONWARDS Objectives • Finalise new AM framework for the new entity. • Implement all workforce transition and structural changes, premises, plant and equipment requirements. • Continue mobilisation of resources. • Adopt policy(s). • Ensure all financial plans and budgets are prepared and integrated. Actions • Implement disposal strategies if applicable. • Complete workforce planning and employee transmittal requirements in line with proposed service delivery, levels of service and industrial obligations. • Establish monitoring and reporting processes to review service provision, levels of service and trouble shooting. • Socialise new budgets with responsible officers SUPPORTING MATERIAL FOR ALL STAGES Service Delivery Model Interim Organisation Structure Human Resource Management DLGC Integrated Planning and Reporting Transition Guidelines - Asset Management Property Valuation Information National Assessment Frameworks for Local Government Asset Management and Financial Planning


IMPACT OF BOUNDARY CHANGES STAGE 2: AUGUST 2014 – MARCH 2015 Objectives • Develop a response and action plan to manage asset ownership and transfer; and continuity of services. Actions • Identify the impact of the boundary changes to existing (and proposed) assets and liabilities and service provision. Develop an Action Plan to address: o asset excision and ownership o asset related liabilities and debt o FCWP and LTFP o Employees o Developer contributions o Major projects o Contractors o Plant and Equipment • Identify impact to service delivery and standards and rationalisation options. Supporting Material Property Transfer Information Sheet


CHANGEOVER DAY STAGE 4: JUNE 2015 – ONWARDS Objectives • Monitor satisfaction levels and support employees through implementation stage. Actions • Implement team building activities and employee engagement strategies. • Ensure site and OSH inductions and safety practices well communicated are implemented from day 1. Supporting Material Changeover Day


BUSINESS SYSTEMS Operating from a single IT network and standardised software systems from day one (changeover day) of the new Council will be of significant benefit and a key success factor for the transition to the new local government entity. Being on the same network and being able to use the same software, email and telephone systems will enable staff to communicate more efficiently and effectively, to share files and foster collaboration across teams and locations. Saying that, the reality may be something completely different on changeover day! With the myriad of tasks, contractual and legal considerations and the lengthy process of procurement, it is up to the merging partners to determine their priorities for transition, what is achievable and what is affordable. If harmonisation does not occur in readiness for changeover day, facilitating the transition of disparate business systems post changeover day can still be achieved via a well managed and robust Business Systems Transition Plan.

PROJECT ADMINISTRATION AND CURRENT STATE STAGE 1: NOW – JULY 2014 Objectives • Establish a project management framework and project plan. • Document current state of systems. Actions • Establish a working group, project methodology and resource requirements. • Collate, map and document all business systems and critical functions. Update inventory of software and hardware. • Collate and review all policies, procedures and related documentation and plans. Identify all financial implications including Cash Reserve (if applicable) and the Long Term Financial Plan. • Identify legal / contractual obligations and barriers / risks. Supporting Material Business Systems Transition Planning - current software systems Template Business Systems Transition Working Group Terms of Reference Business Systems Transition Plan example Business Systems checklist Metro Reform General Discussion Paper – An ICT Perspective DLGC ICT Framework • Refer to Function: Project Management • Refer to Function: Procurement • Refer to Function: Financial Management • Refer to Function: Risk Management


FUTURE STATE STAGE 2: AUGUST 2014 – MARCH 2015 Objectives • Commence analysis and mapping of future state requirements. • Complete budget estimates and identify Long Term Financial Plan implications. Actions • Compare and analyse all merging partners’ current state information including all business systems and critical functions and contractual obligations. Update inventory of software and hardware. Identify disparate and similar systems. • Compare all policies, procedures and related documentation, plans including the Long Term Financial Plan. • Review overarching project plan, timelines and key tasks. • Determine priorities for achieving changeover day requirements. • Scope future state specifications and system design. • Explore procurement options (if applicable). • Commence preparation of revised policies, procedures and delegations. STAGE 3: APRIL 2015 – JUNE 2015 Objectives • Finalise mapping of future state requirements. • Complete budget estimates and Long Term Financial Plan implications. • Prepare for changeover day. • Finalise policy, procedures and helpline service. Actions • Review priorities for achieving changeover day requirements and mobilise resources accordingly. • Establish, communicate and resource changeover day plan. • Complete budget estimates and Long Term Financial Plan implications. • Review data migration plans, timelines and testing program for ‘go live’. • Develop strategies to manage legal / contractual obligations and barriers and risks and explore procurement options (if applicable). • Prepare policies for adoption and procedures for implementation. • Develop supporting strategies i.e. training plan, communications plan, helpline function and fulfillment process. STAGE 4: JUNE 2015 – ONWARDS Objectives • Prepare budgets and Long Term Financial Plan implications for adoption via the annual budget process. • Implement ‘go live’ strategy. • Adopt policy(s). Actions • Review project plan, timelines and key tasks. • Complete final budget estimates and Long Term Financial Plan implications. • Review data migration plans and timelines and testing program for ‘go live’ tasks post changeover day. • Implement supporting strategies i.e. training plan, communications plan, helpline function and fulfillment process. Local Governmett Reform Toolkit Workbook Page 17 of 236

SUPPORTING MATERIAL FOR ALL STAGES Roman II website DLGC ICT Framework ROMAN II Checklist Business Systems checklist Business Systems Transition Planning - current software systems Template Business Systems Transition Working Group Terms of Reference Business Systems Transition Plan example Metro Reform General Discussion Paper – An ICT Perspective • Refer to Function: Project Management • Refer to Function: Procurement • Refer to Function: Financial Management • Refer to Function: Risk Management • Refer to Function: Asset Management


ROMAN II STAGE 1: NOW – JULY 2014 Objectives • Collate and review Roman II database. Actions • Review and update current processes and data management practices, including data naming conventions and staff roles. • Update database to reflect all Local Government asset groups. STAGE 2: AUGUST 2014 – MARCH 2015 Objectives • Review and commence consolidation of Roman II databases. Actions • Compare systems and processes to determine the best future fit. • Identify and document preferred framework i.e. combined best practice, future tasks and responsibilities, language, definitions and processes. STAGE 3: APRIL 2015 – JUNE 2015 Objectives • Consolidate Roman II databases. Actions • Confirm preferred framework i.e. combined best practice, future tasks and responsibilities, language, definitions and processes. • Agree business and data systems and initiate merging of data. • Liaise with key business units to ensue integration and understanding of revised processes i.e. finances, asset management, property management, maintenance etc. • Identify budget and long term financial implications. • Identify and address any training issues. STAGE 4: JUNE 2015 – ONWARDS Objectives • Implement consolidated Roman II databases. Actions • Liaise with key business units to ensue integration and understanding of revised processes i.e. finances, asset management, property management, maintenance etc. • Ensure monitoring and reporting requirements are in place to drive ongoing data integrity. SUPPORTING MATERIAL FOR ALL STAGES ROMAN II Checklist Roman II website • Refer to Function: Financial Management • Refer to Function: Asset Management


CHANGEOVER DAY PLANNING FOR THE EVENT STAGE 2: AUGUST 2014 – MARCH 2015 Objectives • Preparatory work commences for July 2015 deadline. Actions • In discussion with merging partner(s), establish an agreed position on the expectations and requirements for changeover day. • Develop a changeover plan and include communications and a risk assessment. Can include areas such as: workforce and morale, systems and process, accommodation/premises, marketing collateral, service provision, after hours contact details etc. STAGE 3: APRIL 2015 – JUNE 2015 Objectives • Implement changeover day plan – pre-changeover activities. • Implement communications plan. Actions • Review, revise and communicate changeover day plan. • Manage associated risks, remove barriers. • Define organisation’s expectations for changeover day and communicate to all staff. SUPPORTING MATERIAL FOR ALL STAGES Preparing for Changeover Day Checklist Customer Service Changeover Day • Refer to Function: Communications • Refer to Function: Management: CEO and Executive Team


CHANGEOVER DAY (FIRST WEEK) STAGE 4: JUNE 2015 – ONWARDS Objectives • Implement changeover day plan and ensure effective, two-way communication channels. • Review performance daily and monitor results – remove barriers. Actions • Review, revise and communicate plan. • Manage associated risks, remove barriers. • Monitor and respond to performance: service levels and employee engagement. Supporting Material There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


CHANGEOVER DAY MANAGEMENT STAGE 4: JUNE 2015 – ONWARDS Objectives Ensure changeover day plans are in place across all divisions with key risks identified and mitigated. Ensure management teams are highly visible and accessible to employees during the initial period of changeover. Actions A media management plan is implemented. Interim CEO and executive team are proactively involved in the workplace (i.e. visible and accessible to employees – more hands on to promote a positive, team environment). Supporting Material There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


COMMISSIONER APPOINTMENT OF COMMISSIONER(S) STAGE 3: APRIL 2015 – JUNE 2015 Objectives • Induct the Commissioner(s). • Commissioners could be appointed before the new entity commences in July 2015. • Arrangements governing the appointment are to be confirmed. Commissioner(s) could also be operating in an advisory capacity only until July 2015. Actions • CEO and executive team to induct the newly appointment Commissioner. Compile and present the updated Due Diligence Report. STAGE 4: JUNE 2015 – ONWARDS Objectives • Induct the Commissioner. Actions • Outgoing CEO (if available) and executive team induct the newly appointed Commissioner(s). Include the Due Diligence Report in the induction process. • Commissioner(s) to acknowledge the contribution of the outgoing Council. SUPPORTING MATERIAL FOR ALL STAGES Elected Member Induction Framework DLGC Guidelines No4 Elected Members Inductions Example of Governors Orders Commissioners role and the inaugural meeting Special Council Meeting Agenda – 1 July 2011 City of Greater Geraldton LG (Constitution) Regulations 1998 • Refer to Function: Due Diligence


APPOINTMENT OF THE INTERIM CEO STAGE 3: APRIL 2015 – JUNE 2015 Objectives • Recruitment of the interim CEO commences. Actions • Interim CEO Recruitment Pack is developed and implemented. STAGE 4: JUNE 2015 – ONWARDS Objectives • New interim CEO recruitment process commences (may have already commenced). • CEO appointed. Actions • Commissioner appoints new interim CEO. • If possible, outgoing CEO and executive team induct interim CEO. SUPPORTING MATERIAL FOR ALL STAGES Executive Recruitment


FIRST COUNCIL MEETING STAGE 4: JUNE 2015 – ONWARDS Objectives • Commissioner presides over the inaugural meeting of the new entity Actions • In accordance with legislative requirements, the Commissioner conducts the inaugural meeting in July/August 2015 with all legislative requirements met. Supporting Material There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


CESSATION OF COMMISSIONER(S) STAGE 4: JUNE 2015 – ONWARDS Objectives • Prepare Changeover Plan for newly elected Council (October 2015). Actions • With the assistance of the Interim CEO, Commissioner to develop a Changeover Plan for the newly elected Council with a summary of the reform process to date including key risks. Supporting Material There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


COMMUNICATIONS INTERNAL & EXTERNAL INTERNAL COMMUNICATIONS STAGE 1: NOW – JULY 2014 Objectives • Determine the current state of communications systems. • Ensure consistent, targeted and effective internal communications commences immediately. Actions • Collate and review existing systems and processes, policy, standards and reporting. • Develop and implement an Internal Communications Plan. STAGE 2: AUGUST 2014 – MARCH 2015 Objectives • Determine structure, functions and responsibilities for the business unit i.e. Communications, Public Relations, Events Management etc. (most Local Governments demonstrate unique communications functions and business unit structure). • Ensure communications messages are consistent and targeted and reflect the transition stages effectively. • Audit communications processes for effectiveness. • Implement Employee Survey and respond immediately to employee feedback. Actions • Establish a working group with TOR. Develop a Communications Framework and Plan for the new entity. This will be unique to each entity due to size, resources and functionality and may include all policy, process and systems, internal and external communications, events, public relations, branding etc. • Continue to resource and drive internal communications. • Identify better practice processes across the merging Local Governments and align strategies. Review all current systems and processes, policy and reporting requirements. Address any ICT systems issues. • In partnership with HR consider implementing an Employee Survey to establish workforce engagement and employee morale levels (refer to Function: Leading and Managing Change (People and Culture) for example tool). • Collate survey responses, analyse, communicate and respond accordingly. • Ensure key reform milestones are supported by the internal communications plan. • Working with HR business unit, commence mapping of future business unit staffing and structural requirements. STAGE 3: APRIL 2015 – JUNE 2015 Objectives • Ensure communications messages are consistent and targeted and reflect the transition stages effectively. • Develop and implement a changeover day communications plan. Actions • Finalise the new Communications Framework and Plan and all supporting policy, procedures, reporting requirements and any budget implications. • Continue to resource and drive internal transition communications. • Link with key internal working groups where applicable. Review and amend the internal transition communications plan in line with any amendments made to key reform strategies. Local Governmett Reform Toolkit Workbook Page 27 of 236

STAGE 4: JUNE 2015 – ONWARDS Objectives • Implement the new Communications Framework and Plan. • Implement the changeover day plan. Escalate communications to mitigate workforce confusion or anxiety. • Adopt policy (if required). • Continue to audit communications processes for effectiveness. • Implement Employee Survey and respond immediately to employee feedback. • In partnership with HR, implement any structural and staffing changes in accordance with legislative and policy guidelines. Actions • Implement the new Communications Framework and Plan and ensure all procedures are communicated and accessible to employees. • Develop and implement any training requirements. • Review and amend the internal transition communications plan in line with any amendments made to key reform strategies. • In partnership with the HR business unit, undertake an Employee Survey to monitor workforce engagement and employee morale levels. SUPPORTING MATERIAL FOR ALL STAGES Checklist – Internal Communications Example Process Map – Crisis Communication Plan Marketing and Communications Framework Customer Service Changeover Day Checklist example • Refer to Function: Marketing and Brand Management • Refer to Function: Leading and Managing Change • Refer to Function: Project Management • Refer to Function: Changeover Day • Refer to Function: Human Resource Management • Refer to Function: Risk Management


EXTERNAL COMMUNICATIONS High Risk Function that can have a significant or detrimental impact if not managed effectively. STAGE 1: NOW – JULY 2014 Objective • Determine the current state of external communications systems. • Ensure consistent, targeted and effective external communications commences immediately. • Ensure media and social media channels are managed proactively and strategically. Actions • Collate and review existing systems and processes. • Develop and implement an External Communications and Media Plan. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Ensure key reform milestones are supported by the External Communications and Media Plan. • Ensure consistent, targeted and effective external communications continues. • For the purpose of the Toolkit, external communications is included in the overarching Marketing and Communications Framework (refer internal communications). Actions • Audit communications processes for effectiveness. • Identify better practice and align strategies. • Link with key internal working groups where applicable. Support community consultation processes. • Working with HR business unit, commence mapping of future business unit staffing and structural requirements. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Ensure media and social media channels are managed proactively and strategically. • Develop a Changeover Day communications plan. Actions • Ensure key reform milestones are supported by the External Communications and Media Plan. • Link with key internal working groups where applicable. • Support community consultation and engagement strategies.


STAGE 4: JUNE 2015 – ONWARDS Objective • Audit communications processes for effectiveness. • Proactively manage media during changeover period. Actions • Ensure key reform milestones are supported by the External Communications and Media Plan. SUPPORTING MATERIAL FOR ALL STAGES Checklist – External Communications and Media Example Process Map – Crisis Communication Plan Marketing and Communications Strategy Framework • Refer to Function: Leading and Managing Change • Refer to Function: Marketing and Brand Management • Refer to Function: Project Management • Refer to Function: Community Consultation • Refer to Function: Changeover Day • Refer to Function: Risk Management


COMMUNITY CONSULTATION Although there is a clear delineation between community governance, community engagement and community consultation, the main participatory model referred to in the Toolkit for community consultation is the Public Participation Spectrum IAP2 Framework. The Toolkit does not attempt to outline explicitly the differences between community consultation and community engagement but serves to prompt Local Governments to develop strategies to manage these two separate activities. Local Governments will be expected to determine at a local level their preferred model of choice for community participation and if they wish to conduct the activity in-house or outsource.

CONSULTATION High Risk Function that can have a significant or detrimental impact if not managed effectively. STAGE 1: NOW – JULY 2014 Objective • Proactively and strategically manage all community consultation events and activities. • Identify current state practices and commitments. Actions • Collate and review existing systems and processes. • Develop a community governance framework including a community consultation plan. • Prepare to engage community and staff immediately the Governors Orders have been released (July/August 2014). STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Continue to engage community and stakeholders as required. • Audit consultation processes for effectiveness. • Ensure integration of consultation strategies with organisational communications plans. Actions • Commence mapping consultation requirements across all merging entities in line with the Stages of reform (Review, Mobilise, and Implement). • Identify better practice and align strategies. Establish a standardised methodology. • Engage community and staff immediately the Governors Orders have been released. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Continue to engage community and stakeholders as required. Actions • Review all consultation requirements in line with Stages 3 and 4 of reform (Mobilise, Implement).


STAGE 4: JUNE 2015 – ONWARDS Objective • Continue to engage community and stakeholders as required. • Maintain integration of consultation strategies with organisational communications plans. Actions • Review all consultation requirements in line with Stage 4: June 2015 – onwards requirements. • Audit the effectiveness of consultation processes. Supporting Material for all Stages Community Engagement Community Consultation - Considerations IAP2 Public Participation Spectrum • Refer to Function: Leading and Managing Change • Refer to Function: Communications


COMMUNITY DEVELOPMENT Community development teams within local government often carry differing roles, operate under different definitions and manage a mix of seemingly disparate services. For the purpose of the Toolkit, a generic approach has been adopted with Aged Care (community support service) and Recreation Services (community capacity building) used as examples.

SERVICE DELIVERY MODEL STAGE 1: NOW – JULY 2014 Objective • Establish a current state profile of all community support services and capacity building services. • Collate and prepare a synopsis of all supporting information, data, systems, policy and reporting etc. in preparation for mapping and analysis and establishing future requirements. Actions • Establish a baseline assessment model and data. • Document method and impact of service delivery. • Prepare inventory of technology requirements. • Consider compliance requirements, pricing, equity and access. • Review asset, plant and equipment requirements. • Review reporting requirements – statutory, strategic, operational. • Review legal / contractual obligations and insurance requirements. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence preparation of a consolidated service delivery model that ensures services are maintained during the transitional stages and allows for further growth/changes. • Maintain a focus on policy direction and funding obligations. Actions • Collate and prepare merging Local Government’s community development activities and functions, staffing structure and resources. Establish a baseline assessment model. • Establish comparable data – benchmark. • Undertake consultation. • Define services, functions etc. to be provided. • Define method and impact of service delivery. • Improve process, streamline and customer orientate. • Consider compliance requirements, pricing, equity and access. • Review technology requirements. • Review asset, plant and equipment requirements. • Review reporting requirements – statutory, strategic, and operational. • Review legal / contractual obligations and insurance requirements. • Address governance issues and policy. • Undertake a risk assessment. • Review division / business unit structure and staffing requirements – address accommodation/premises issues.


STAGE 3: APRIL 2015 – JUNE 2015 Objective • Prepare for Changeover Day. • Prepare budget and long term financial plan implications. Actions • Develop interim service and operational plans, processes and systems to support continuity of service provision. • Implement the risk management plan to mitigate interruption to service provision. • Develop a Premises/Facilities Plan if required to support the revised service delivery model (includes depot, administration, co-located services). Confirm cost implications. • Define all leasing/property management and asset management requirements and actions. • Review and develop revised operational plans to inform budget and facilities planning. Include insurance and legal implications. • Ensure all human resource and industrial relations matters are addressed. • Develop and implement induction, training and development program. • Ensure communications strategies are implemented. • Develop a Changeover Day Plan. STAGE 4: JUNE 2015 – ONWARDS Objective • Mobilise and rationalise all resources, systems and staff in line with implementation plan. • Implement the interim service delivery systems and logistical changes. • Implement revised operational plans and budgets. • Adopt policy(s) if applicable. Actions • Implement the risk management plan to mitigate interruption to service provision. • Implement the Premises//Facilities Plan to support the revised service delivery model. • Implement asset management strategies. • Ensure all human resource and industrial relations processes are implemented. • Develop and implement induction, training and development program. • Ensure communications strategies are implemented. • Commence tracking of costs/savings for reporting and planning purposes. Supporting Material for all Stages DLGC Integrated Planning and Reporting Community Development – Hierarchy and diversity of services Facilities and Services: Review of recreation facilities Premises/Facilities Checklist Service Delivery Model- Considerations when reviewing the model Community Development – Reviewing community services / community support services Community Development – Sport and Recreation Aged Care (Living Longer Living Better) Act 2013, Community Care Common Standards Checklist Service Delivery Model Audit Example Contract Cancellation Letter to Service Provider Example In-house HACC service letter to clients Examples of print media campaign for change in delivery model • Refer to Function: Risk Management


LEVELS OF SERVICE AND FUNCTIONALITY STAGE 1: NOW – JULY 2014 Objective • Document current state. Collate all existing service levels and standards for all services. Actions • Define types of service levels (will be multiple types). • Document baseline position and performance of current service. • Define key drivers. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence analysis and preparation of revised levels of service and standards. Actions • Collate and compare current service standards from merging Local Governments. • Define types of service levels (will be multiple types). • Review fees and charges schedule. • Document baseline position and performance of current service. • Define key drivers. • Collate and review performance measures and key performance indicators and reporting mechanisms / requirements (including statutory). • Develop interim service and operational plans, processes and systems to support continuity of service provision. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Document and communicate new process and changes. • Undertake training where required. Actions • In consultation with stakeholders, develop new levels of service and a revised services and facilities pricing schedule. • Establish new performance measures and key performance indicators and reporting mechanisms including statutory, operational and strategic requirements. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement new service levels and standards for all services. • Implement and communicate revised plans and processes. Actions • Establish new performance measures, key performance indicators and reporting mechanisms including statutory. • Implement operational processes and systems to support continuity of service provision. • Develop and implement a customer satisfaction survey for continuous improvement purposes. • Identify training needs and implement accordingly. • Ensure employee induction programs are developed and implemented. SUPPORTING MATERIAL FOR ALL STAGES •

Refer to Function: Service Delivery


STAKEHOLDER CONSULTATION STAGE 1: NOW – JULY 2014 Objective • Ensure all stakeholders are identified and engaged. • Reassure community groups that existing services will be maintained. Actions • Identify all stakeholders and develop communications plan for all groups i.e. staff, community, user groups, contractors etc. • Identify key areas and timelines for consultation. • Reassurance should be given to community groups that existing programs will continue and any review will be part of normal assessment process. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Ensure all stakeholders are identified and engaged. • Implement consultation and communications plans. Actions • Identify and commence stakeholder consultation with regular and effective communications. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Maintain stakeholder engagement. • Implement communications plan. Actions • Update Consultation Plan. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement communications plan. • Maintain stakeholder engagement. Actions • Continue stakeholder consultation. Supporting Material for all Stages • Refer to Function: Community Consultation


COMMUNITY SERVICES - GRANT FUNDING (EXAMPLE SENIOR AND DISABILITY SERVICES) STAGE 1: NOW – JULY 2014 Objective • Collate and analyse all the current external funding agreements relating to the provision of seniors and disability services. Actions • Undertake audit of all existing external funding agreements, including state and federal and/or private funding. • Identify funding terms and conditions focusing on commonalities and differences. • Seek input from funding bodies about process for the alignment of agreements. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence analysis and mapping of funding agreement(s). Actions • Seek input from funding bodies about process for the alignment of agreements. • Develop draft funding agreements taking into consideration mutually agreed objectives, levels of service / contracted hours required, funding amount required, reporting requirements, time frames and acquittal details. • Undertake consultation with stakeholders regarding draft funding agreements. • Liaise with finance departments to ensure integrated planning. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise revised funding agreement(s) schedule. Actions • Undertake consultation with stakeholders regarding draft funding agreements. • Liaise with finance departments to ensure integrated planning. • New funding agreements signed by all parties. • Ensure all agreement objectives and funding requirements are documented accordingly. STAGE 4: JUNE 2015 – ONWARDS Objective • Finalise revised funding agreement(s) schedule. Actions • Ensure all agreement amendments and funding requirements are documented accordingly. • Ensure reporting systems and acquittal processes are implemented. SUPPORTING MATERIAL FOR ALL STAGES Community Grants Programs Service Delivery Model Audit Checklist


EVENTS MANAGEMENT STAGE 1: NOW – JULY 2014 Objective • Develop a systemised and structured Events Management protocol for the new entity. Actions • Identify all events ‘owned’ by the Local Government. • Identify funding models and event management model. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop a systemised and structured Events Management protocol for the new entity. Actions • Consolidate all events ‘owned’ by merging partners. • Identify funding models and event management model. • Establish a calendar of events. • Explore opportunities to consolidate events. • Consult with community/stakeholders when required. • Compare event management policy, process, fees and charges etc. Identify better practice opportunities. • Develop a risk management plan and insurance schedule. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop a systemised and structured Events Management protocol for the new entity. Actions • Prepare an inventory and calendar of events for the new entity. • Review staffing requirements. • Maintain communications / consultation with stakeholders. • Prepare draft Events Management Plan and policy for adoption. • Prepare new procedures and undertake staff training. Outline insurance requirements. • Develop an Events Management Pack for customers. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the Events Management protocol for the new entity. Actions • Adopt policy. • Endorse and implement new Events Management Plan. • Implement the customer Events Management Pack. • Implement new procedures and training. • Continue to engage stakeholders. SUPPORTING MATERIAL FOR ALL STAGES Events Management Tasks and Considerations • Refer to Function: Risk Management


RECREATION SERVICES STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Review recreation facilities. • Review club development strategy. Actions • Refer to previous examples. Supporting Material Facilities and Services: Review of recreation facilities Club Development – better practice Sport and Recreation Review of Services City of Stirling Clubs Forever Program Example – Community Infrastructure Strategy and Rosalie Park Master Plan Example – Lords Business Report (Facility Review)


COMPLIANCE Please refer to the Governance function.


CUSTOMER SERVICE When a Local Government makes changes strategically and operationally you can expect that this will have an impact upon your ratepayers, clients, user groups and stakeholders (your external customers). Regardless of the changes being made, your external customers will continue to demand consistent and seamless service across all customer contact points. Expectations will also remain high within the organisation with internal customers also seeking to maintain or improve current levels of service. Now, more than ever, is there a need to ensure interdepartmental communication, information sharing and support is efficient and effective so that service levels are not compromised and the customer (internal and external) is not feeling confused, undervalued or misinformed. The best way to ensure that the customer experience (both internal and external) is a great one is to adopt the customer's view. If we use this approach, we can sequence and coordinate customercontact interactions in a way that creates a better and more fulfilling customer experience. Other ways of securing a great experience are: • Embed consideration of the customer experience as an integral part of what you do. • Identify and accelerate actions to improve the customer experience or increase the value of your offering to them. • Communicate and listen. • Make sure you have the tools and information you need to respond to customers caught up in the change. If not, make it happen. • Deliver on the basics, minimise complexity for the customer, communicate in a simple, respectful and compelling way, optimise the customer experience. The function of customer service comprises of two sub-functions 1. Customer service model (the overall strategic approach the organisation takes with customer service); and 2. Front line customer service – administration building, which focuses on the operational aspect of customer service. The scenario of the front counter or administration building customer experience is used as an example only as there are numerous customer contact points i.e. online, Community Resource Centre’s etc.

CUSTOMER SERVICE MODEL STAGE 1: NOW – JULY 2014 Objective • Determine current state for the customer service model. Actions • Collate all current customer service related material, charter, policy or guidelines, processes, standards and guidelines. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence the development of a revised customer service model. Actions • Compare the existing approach and customer service models used by the merging partners. • Review the charter, policy or guidelines, systems, process, standards and reporting requirements. Identify better practice methodologies. • Through consultation with stakeholders, commence the mapping and development of a consolidated customer service model including processes, structure and staffing requirements. • Map business system requirements.


STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the customer service model Actions • Finalise the overarching framework that guides the provision and standards of customer service. Include charter, policy or guidelines, systems, process, standards and reporting requirements. • Address any business systems needs and /or improved functionality. Prepare costing’s and follow normal approval procedures. • Develop an implementation and communications plan to support the revised model. • Identify and develop and training programs required to support the model. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the customer service model. • Adopt new policy if applicable. Actions • Continue implementation and communication of the revised model. • Implement training programs and inductions to support the new model. • Implement monitoring processes for continuous improvement purposes. SUPPORTING MATERIAL FOR ALL STAGES Reviewing the Customer Service Model Example – Customer Service Charter • Refer to Function: Human Resource Management • Refer to Function: Service Delivery


FRONT LINE CUSTOMER SERVICE – ADMINISTRATION BUILDING STAGE 1: NOW – JULY 2014 Objective • Determine current state for the systems, processes and standards applied to all customer contact points - i.e. Community Resource Centre’s, online and front line customer service delivery. • As Local Governments have numerous customer contact points, the scenario of the main Administration Building function of customer service has been used as an example. Actions • Collate all current front line customer service related policy, processes and guidelines. Identify all integration points across the organisation i.e. with HR, IT, finance and budgets etc. • Collate all inter-departmental procedures, schedules and calendar of events i.e. rates, registrations. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Compare and analyse the systems, processes and standards applied to all customer contact points- i.e. Community Resource Centre’s (CRC’s),online and front line service delivery. • As Local Governments have numerous customer contact points, the scenario of the main Administration Building function of customer service has been used as an example. Actions • Compare and review the current front line customer service related guidelines, standards and processes from the merging Local Governments. Review all inter-departmental procedures. Identify better practice and establish / revise the procedural manual. • Prepare an inventory of all marketing collateral for re-branding. • Review complaint handling procedure. • Review site location requirements and customer traffic estimates – staffing for service. • Working in partnership with the HR team, commence mapping and design of business unit functions. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the service delivery model, systems and processes. Actions • Finalise the services to be provided and the standards of service provision. • Finalise the procedural manual. • Confirm the inventory of all marketing collateral including signage for re-branding and uniform requirements (if applicable). • Finalise complaint handling procedure. • Develop and implement a changeover day checklist in readiness for the commencement of the new entity. • Address any site location / accommodation issues. • Finalise business unit structure and positions. Develop a staff induction program to support existing and /or staff redeployed or transmitted. • Review budgets. • Develop an implementation plan ensuring all internal stakeholders are fully aware of changes, contact points and procedures.


STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the service delivery model, systems and processes. Actions • Finalise the services to be provided and the standards of service provision. • Implement the procedural manual and any training required to support staff. • Commence changeover of marketing collateral including signage etc. (if applicable). • Continue implementation of changeover day checklist. • Ensure RO’s are aware of budget and procurement procedures. • Implement team building activities and induct all employees. SUPPORTING MATERIAL FOR ALL STAGES Checklist – Customer Service Changeover Day example Complaint Handling Guide example • Refer to Function: Changeover Day • Refer to Function: Business Systems • Refer to Function: Project Management • Refer to Function: Human Resource Management • Refer to Function: Marketing and Brand Management


DUE DILIGENCE To minimise exposure to risk and interruption to service delivery, critical analysis of the operations of the amalgamating (or adjusting) Local Governments needs to be undertaken. Merging Local Governments is not dissimilar to corporate mergers and acquisition in the private sector and requires a minimum level of examination. This examination process will ensure that key risks from each organisation and their evaluation processes are identified in addition to the potential risks created as a result of the boundary changes / amalgamation.

DUE DILIGENCE High Risk Function that can have a significant or detrimental impact if not managed effectively. STAGE 1: NOW – JULY 2014 Objective • Commence the due diligence examination. Actions • Establish a project plan and working group to oversee the due diligence process. • Map milestones and deadlines. • Ensure resources are allocated to key tasks. • Prepare due diligence report in readiness for Stage 2: August 2014 – March 2015 and the announcement of the Governors Orders. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence the development of an overarching transition plan. Actions • In partnership with the merging Local Governments commence analysis of the current state. Map milestones and deadlines. • Finalise the Due Diligence Report for the LIC, Council and CEOs. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Prepare a revised due diligence report in readiness for the commencement of the new entity or boundary changes. Actions • Present the findings to all key working groups and stakeholders. • In response to the Report, amend any work schedules / project plans and time lines accordingly.


STAGE 4: JUNE 2015 – ONWARDS Objective • Utilise the due diligence report outcomes and recommendations to support the smooth transition to the new entity / adjusted Local Government. Actions • Present the findings to the Interim CEO and Commissioner(s) if applicable. • In response to the Report, amend any work schedules / project plans and time lines accordingly. • Ensure risk, communications, workforce, service provision and key asset and financial matters are managed in accordance with the due diligence recommendations. SUPPORTING MATERIAL FOR ALL STAGES Due Diligence Checklist • Refer to Function: Risk Management


IMPACT OF BOUNDARY CHANGES High Risk Function that can have a significant or detrimental impact if not managed effectively. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop a response and action plan to manage asset ownership and transfer; and continuity of services. Actions • Identify the impact of the boundary changes to existing (and proposed) assets and liabilities and service provision. Develop an Action Plan to address: o asset excision and ownership o asset related liabilities and debt o FCWP and LTFP o Employees o Developer contributions o Major projects o Contractors o Plant and Equipment • Identify impact to service delivery and standards and rationalisation options. • Establish a stakeholder engagement plan including developers (if applicable), contractors, legal team etc. • Commence negotiations regarding transfer of assets, P & E, etc. • Maintain records. Supporting Material Property Transfer Information Sheet


ENVIRONMENTAL MANAGEMENT Natural Resource Management (NRM) While not compulsory, most Local Governments recognise the importance of long term planning when managing natural resources, e.g. water, reserves, and wildlife and generational impact. Local Government reform is an opportunity to introduce better practice management and ensure natural resources are enjoyed both now and into the future. Biodiversity Local Governments manage reserves and other natural areas and support private landholders and volunteers in natural resource management. Adopting a strategic approach to planning on-ground action has proven to maximise the effectiveness of limited resources and increase opportunities to access external grant funding for place management. State Government policy encourages Local Governments to prepare Local Biodiversity Strategies to inform local land use planning. Climate Change Many Local Governments recognise the importance of having long term plans for managing the impact of climate change on their local communities and environment. Results from the 2013 Environmental Issues Survey conducted by WALGA, indicate that Local Governments are interested in both mitigating climate change as well as adapting to the impacts that climate change will have on man-made and environmental assets. There are a range of actions that Local Governments can take to plan, mitigate and respond to climate change and the reform process is an opportunity to introduce climate change management better practice.

NRM – PLANNING STAGE 1: NOW – JULY 2014 Objective • Identify and review all NRM related strategies and plans. It is not mandatory for Local Governments to develop Environment Strategies and Plans; however the reform process is an opportunity for Local Governments to introduce best practice into their everyday business. Actions • Gather and review better practice scenarios for the new entity. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop an Environment Strategy or Plans. It is not mandatory for Local Governments to develop Environment Strategies and Plans. Actions • Consolidate strategies and plans and all associated policies (if applicable) and develop a new strategy / plan in line with SCP’s. • Extend strategy/ plan coverage area in line with new entity. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Integrate the Environment Strategy or Plan into the land using planning processes. Actions • Integrate revised plans / priorities with key overarching land use plans. • Identify any budget implications.


STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the Environment Strategy or Plans. Actions • Commence implementation of the new strategies and plans. • Consolidate policies and prepare for adoption (if applicable). • Implement a communications plan. SUPPORTING MATERIAL FOR ALL STAGES DLGC Integrated Planning and Reporting City of Wanneroo - Local Environmental Plan 2009-2014 City of Subiaco - Environment Enhancement Plan 2012-2016 • Refer to Function: Community Consultation • Refer to Function: Integrated Planning and Reporting


LOCAL BIODIVERSITY STRATEGIES STAGE 1: NOW – JULY 2014 Objective • Prepare a consolidated and prioritised Local Biodiversity Strategy for the new entity. • Integrate the Local Biodiversity Strategy with land use planning. Actions • Identify and document all current local biodiversity strategies. Identify unique place management issues. • State Government policy encourages Local Governments to prepare Local Biodiversity Strategies to inform local land use planning. Local Biodiversity Strategies provide for strategic and transparent consideration of biodiversity in decision making, reserve management and support for private land conservation and volunteering in natural resource management. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Prepare a consolidated and prioritised Local Biodiversity Strategy for the new entity. • Integrate the Local Biodiversity Strategy with land use planning. Actions • Assess and prioritise all natural area management strategies and objectives from all merging Local Governments. Identify gaps and develop strategies. • Develop Private Landholder Incentives Strategies. • Integrate revised plans / priorities with key overarching land use plans. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Prepare a consolidated and prioritised Local Biodiversity Strategy for the new entity. • Integrate the Local Biodiversity Strategy with land use planning. Actions • Integrate revised plans / priorities with key overarching land use plans and reserve management plans. • Identify any budget implications.


STAGE 4: JUNE 2015 – ONWARDS Objective • Prepare a consolidated and prioritised Local Biodiversity Strategy for the new entity. • Integrate the Local Biodiversity Strategy with land use planning. Actions • Commence implementation of Local Biodiversity Strategy. • Implement a communications plan. SUPPORTING MATERIAL FOR ALL STAGES Local Biodiversity Program website Guidelines for Bushland Management NATA Templates NAIA Database On-line Environmental Planning Tool Existing resources on LBP website (such as vegetation status statistics, Local Government Biodiversity Planning Guidelines for the Perth Metropolitan Region) Regional Framework for Local Biodiversity Conservation Priorities for Perth and Peel Publications: 1 Summary of WAPC documents relevant to biodiversity conservation planning 2 Guidance for the Integration of biodiversity into land use planning 3 Best practice examples of local biodiversity conservation planning Directions Paper on the Integration of NRM into Land Use Planning • Refer to Function: Community Consultation


NRM – WILDLIFE ENHANCEMENT STAGE 1: NOW – JULY 2014 Objective • Develop Wildlife Enhancement Strategy or Plan. It is not mandatory for Local Governments to develop a Wildlife Enhancement Strategy or Plan. However the reform process is an opportunity for Local Governments to introduce best practice into their everyday business. Actions • Identify and review all NRM related strategies and plans. • Gather and develop better practice scenarios for the new entity. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop Wildlife Enhancement Strategy or Plan. It is not mandatory for Local Governments to develop a Wildlife Enhancement Strategy or Plan. Actions • Consolidate strategies and plans and all associated policies (if applicable) and develop a new strategy / plan in line with SCP’s. • Extend strategy/ plan coverage area in line with new entity. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Integrate the Wildlife Enhancement Strategy with land use planning. Actions • Integrate revised plans / priorities with key overarching land use plans. • Identify any budget implications. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the Wildlife Enhancement Strategy or Plan. Actions • Commence implementation of the new strategies and plans. • Consolidate policies and prepare for adoption (if applicable). • Implement a communications plan. SUPPORTING MATERIAL FOR ALL STAGES City of Subiaco – Wildlife Enhancement Plan


WATER RESOURCE MANAGEMENT – WATERWISE COUNCIL STAGE 1: NOW – JULY 2014 Objective • Ongoing participation in the Waterwise Council Program. Actions • WALGA is awaiting the outcomes of the Water Corp Review. Once to hand, WALGA will review Local Government mergers and their status in the Waterwise Council Program and identify scenarios i.e. what happens when an endorsed council merges with a non-endorsed council / or participating and non-participating. • WALGA to advise Councils in due course. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Ongoing participation in the Waterwise Council Program – follow up Water Corp Review outcomes and respond accordingly. Actions • Await the outcomes of the Water Corp Review: • Review council amalgamations and their status in the Waterwise Council Program. • Extend strategy/ plan coverage area in line with new entity. SUPPORTING MATERIAL FOR ALL STAGES Water Corporation Website Refer to Function: Community Consultation


NRM – INTEGRATED CATCHMENT MANAGEMENT STAGE 1: NOW – JULY 2014 Objective • Develop Integrated Catchment Management Plan. It is not mandatory for Local Governments to develop an Integrated Catchment Management Plan; however the reform process is an opportunity for Local Governments to introduce best practice into their everyday business. Actions • Identify and review all NRM related strategies and plans. • Gather and develop better practice scenarios for the new entity. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop Integrated Catchment Management Plan. • Provide sufficient information to guide best practice in Local Government. It is not mandatory for Local Governments to develop an Integrated Catchment Management Plan. Actions • Consolidate strategies and plans and all associated policies (if applicable) and develop a new strategy / plan in line with SCP’s. • Extend strategy/ plan coverage area in line with new entity. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Integrate the Integrated Catchment Management with land use planning. Actions • Integrate revised plans / priorities with key overarching land use plans. • Identify any budget implications. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the Integrated Catchment Management Plan. Actions • Commence implementation of the new strategies and plans. • Consolidate policies and prepare for adoption (if applicable). • Implement a communications plan. SUPPORTING MATERIAL FOR ALL STAGES The Eastern Hills Catchment Management Program.


NRM – FRIENDS GROUP STAGE 1: NOW – JULY 2014 Objective • Develop Friends Group Strategy/ Manual It is not mandatory for Local Governments to develop Friends Group Strategy; however, it is best practice. Actions • Identify and review all NRM related strategies and plans. • Gather and develop better practice scenarios for the new entity. • Communicate a clear statement emphasising the important and valued contribution of volunteers. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop Friends Group Strategy/ Manual It is not mandatory for Local Governments to develop Friends Group Strategy, however, it is best practice. Actions • Consolidate strategies and plans and all associated procedures (if applicable) and develop a new strategy / plan in line with SCP’s. • Develop and implement an induction program for volunteers and the Manual. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement Friends Group Strategy/ Manual Actions • Implement inductions for the new Manual if required. • Ensure all risk management and insurance issues are addressed prior to implementation. • Implement Friends Group. • Implement a communications plan. SUPPORTING MATERIAL FOR ALL STAGES Shire of Mundaring -Friends Group Manual


CLIMATE CHANGE STAGE 1: NOW – JULY 2014 Objective • Update Local Government Planning Framework to include climate change considerations. • Incorporate climate change considerations into Local Government Sustainability and/or Environment Strategies It is not mandatory for Local Governments to include climate change considerations in the Planning Framework or develop an Environment Strategy/Plan; however it is best practice. Actions • Develop integration links within the IPR Framework. • Identify and review all Sustainability and/or Environment Strategies or related plans. • Gather and develop better practice scenarios for the new entity. • Where climate change is not included in Sustainability and/or Environment Strategies, consider the preparation of a Climate Change policy as an alternative. • Refer to the two attached examples of effective Local Government Sustainability/Environment Strategies that have climate change considerations already incorporated (Vincent and Capel). STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Update LG Planning Framework to include climate change considerations. • Incorporate climate change considerations into Local Government Sustainability and/or Environment Strategies It is not mandatory for Local Governments to include climate change considerations in the Planning Framework or develop an Environment Strategy/Plan, however it is best practice. Actions • Develop integration links within the IPR Framework. • Identify and review all Sustainability and/or Environment Strategies or related plans. • Gather and develop better practice scenarios for the new entity. • Where climate change is not included in Sustainability and/or Environment Strategies, consider the preparation of a Climate Change policy as an alternative. • Refer to the two attached examples of effective Local Government Sustainability/Environment Strategies that have climate change considerations already incorporated. • Extend strategy/ plan coverage area in line with new entity. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Update Local Government Planning Framework to include climate change considerations. • Incorporate climate change considerations into Local Government Sustainability and/or Environment Strategies Actions • Develop integration links within the IPR Framework. • Identify and review all Sustainability and/or Environment Strategies or related plans. Commence consolidation. • Where climate change is not included in Sustainability and/or Environment Strategies, consider the preparation of a Climate Change policy as an alternative. • Identify any budget implications.


STAGE 4: JUNE 2015 – ONWARDS Objective • Update Local Government Planning Framework to include climate change considerations. • Adopt Policy (if applicable) Actions • Develop integration links within the IPR Framework. • Commence implementation of the new strategies and plans. • Prepare policy for adoption (if applicable). • Implement a communications plan. SUPPORTING MATERIAL FOR ALL STAGES Background and guideline for incorporating climate change in Local Government Planning Frameworks City of Vincent- Sustainable Environmental Strategy 2011-2016 Shire of Capel – Sustainability Strategy 2013 – 2018 WALGA’s Template Climate Change Policy Statement • Refer to Function: Community Consultation • Refer to Function: Integrated Planning and Reporting


CARBON MANAGEMENT AND GREENHOUSE GAS EMISSION STAGE 1: NOW – JULY 2014 Objective Develop an Operational Carbon Management Policy or Greenhouse Gas Emission Reduction Strategy Actions Collate, review and combine all relevant plans and information. Update current Operational Carbon Management Policy/ Greenhouse Gas Reduction Strategy or consider the development of a new strategy. STAGE 2: AUGUST 2014 – MARCH 2015 Objective Develop an Operational Carbon Management Policy or Greenhouse Gas Emission Reduction Strategy. Actions Collate, review and combine all relevant plans and information. Update current Operational Carbon Management Policy/ Greenhouse Gas Reduction Strategy or consider the development of a new strategy. STAGE 3: APRIL 2015 – JUNE 2015 Objective Consolidate Operational Carbon Management Policies and/or Greenhouse Gas Emission Reduction Strategies. Actions Collate, review and combine all relevant plans and information. Update current Operational Carbon Management Policy/ Greenhouse Gas Reduction Strategy or consider the development of a new strategy. Develop an Emission reporting platform. Identify any budget implications. STAGE 4: JUNE 2015 – ONWARDS Objective Implement the Greenhouse Gas Emission Reduction Strategy. Report greenhouse gas emissions. Adopt Operational Carbon Management Policy. Actions Commence implementation of the new strategies and plans. Prepare policy for adoption. Develop an Emission reporting platform and commence reporting. Ensure alignment of new plans with the IPR Framework. Implement a communications plan. SUPPORTING MATERIAL FOR ALL STAGES City of Cockburn- Greenhouse Gas Emission Reduction Strategy 2011-2020 Operational Carbon Management Policy WALGA Template WALGA Greensense Reporting Platform


WALGA’S LOCAL GOVERNMENT CLIMATE CHANGE DECLARATION STAGE 3: APRIL 2015 – JUNE 2015 Objective • Sign off WALGA’s Local Government Climate Change Declaration Actions • Identify Declarations. Discuss merit for new entity. Prepare new Declaration for signing. WALGA’s Local Government Climate Change Declaration is a voluntary opportunity for Councils to demonstrate their political commitment to locally appropriate climate change management, and to participate in a sector wide leadership approach. STAGE 4: JUNE 2015 – ONWARDS Objective • Sign off WALGA’s Local Government Climate Change Declaration. Actions • Sign new Declarations. • Implement a communications plan. SUPPORTING MATERIAL FOR ALL STAGES WALGA’s Climate Change Declaration Wording Background on the Local Government Climate Change Declaration


REPRESENTATION – CLIMATE CHANGE INDUSTRY GROUPS STAGE 3: APRIL 2015 – JUNE 2015 Objective • Maintain or consider representation on Climate Change industry groups. Actions • Nominate a representative to join WALGA’s Climate Change Senior Officers Group - Provides guidance to WALGA to ensure that the needs of the sector are being met. The group assists the Association to identify policy and program gaps and considers appropriate responses to them. • Nominate a representative to join WALGA’s Climate Change Councillors Group - Provides guidance to WALGA on topical and timely climate change issues. STAGE 4: JUNE 2015 – ONWARDS Objective • Confirm the new entity representative on the Climate Change industry groups. Actions • Confirm representatives from the new entity for WALGA’s Climate Change Senior Officers Group and the Climate Change Councillors Group. SUPPORTING MATERIAL FOR ALL STAGES Climate Change Senior Officer Group Climate Change Councillors Group


FINANCIAL MANAGEMENT SIGNIFICANT ACCOUNTING POLICIES AND DELEGATIONS STAGE 1: NOW – JULY 2014 Objective • Collate and review existing policies and delegations to be used in preparation for the Significant Accounting Policies Manual and Delegations Manual for the new entity. Actions • Ensure all existing policies are compliant with the Australian Accounting Standards (AAS), and Local Government (Financial Management) Regulations 1996. • Collate existing Delegated Authorities. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Review the Significant Accounting Policies and Delegations for the new entity in preparation for Council adoption. Actions • Create a project team for the merging entities to drive the development of the consolidated annual budget 2015/16 and the review and development of a single set of policy, delegations, procedural manuals in line with the AAS and compliance requirements for the new entity. • Compare the policies of the merging entities and consider how they can be aligned and transitioned into policies and delegations for the new entity. • Identify accounting policies that may not be applied consistently. This can include: • Asset classes, depreciation rates, materiality, capitalisation thresholds, valuation of assets, register of portable and attractive items, methodology for valuing employee entitlements. • Draft policies for the new entity. Consider adopting model policies to assist with compliance to the Australian Accounting Standards. • Liaise with Auditors to ensure that the draft policies, procedures and reporting are consistent with the Australian Accounting Standards including: o Goods and Services Tax o Cash Requirements o Trade and Other Receivables o Inventories o Fixed Assets o Financial Instruments o Impairment o Trade and Other Payables o Employees Benefits o Borrowings o Investments o Grants and Other Contributions o Current and Non-Current Classifications • Document all Delegations in a Delegation Register Index. • Create an Exercise of Delegated Authority form to document all delegations. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Draft the Significant Accounting Policies and Delegations for the new entity. Actions • Finalise draft policies for the new entity. Local Governmett Reform Toolkit Workbook Page 61 of 236

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Finalise draft delegations for the new entity.

STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt and implement policies and delegations. Actions • Update the new policy manual and delegations manual. Finalise and implement supporting processes. • Update the annual budget documentation to reflect changes and annual financial statement templates. • Communicate the new policies and procedures to stakeholders. Implement staff training / information sessions. SUPPORTING MATERIAL FOR ALL STAGES Property Valuation Information • Australian Accounting Standards and Local Government (Financial Management) Regulations 1996. • Local Government Accounting Manual, UHY Haines Norton “Shire of Somewhere” model financial statements, Australian Accounting Standards & Pronouncements. • UHY Haines Norton’s “Shire of Somewhere” model budget and annual financial statements.


ACCOUNTING PRACTICES STAGE 1: NOW – JULY 2014 Objective • Identify and collate all current practices for review. Actions • Consider what practices are needed to support Significant Accounting Policies and the financial operations of the new entity. • Review the suitability of existing practices for the new entity. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence review and development of revised accounting practices. Actions • Compare and analyse the existing procedure manuals for each of the merging entities. • Consider opportunities to design better practice into the existing approach. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the accounting practices. Actions • Consult with staff. • Compile the draft Manual for the new entity. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement new practices. Actions • Ensure accessibility of new procedures. Implement training if required. SUPPORTING MATERIAL FOR ALL STAGES Accounting Practices Checklist WA Local Government Accounting Manual • Budget, Financial Reporting, general accounting practice • Local Government Act 1995 – Part 6. • Local Government (Financial Management) Regulations 1996


ACCOUNTING STANDARDS STAGE 1: NOW – JULY 2014 Objective • Review the current level of compliance and performance with the accounting standards. Actions • Ensure compliance with the AAS and Local Government (Financial Management) Regulations 1996. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence development of new practices to ensure mitigation of compliance breaches. Actions • Compare and analyse the existing practices in place to support compliance with the standards. • Consider opportunities to design better practice into the existing approach. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the accounting standards procedures. Actions • Consult with staff. • Compile the final suite of standards. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement new standards. Actions • Ensure accessibility of new procedures. Implement training if required. SUPPORTING MATERIAL FOR ALL STAGES Accounting Standards Checklist


ANNUAL BUDGET 2015/16 STAGE 1: NOW – JULY 2014 Objective • Determine the current state. • Review the current processes for developing the annual budget, budget reviews and reporting. Actions • Collate current processes that inform the annual budget in line with the IPR Framework. • Summarise current reporting framework and reporting format. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence mapping and development of the Annual Budget 2015/16. • Prepare an Annual Budget based on the Corporate Business Plans and associated informing strategies of the existing entities. Actions • Create a project team from the staff of the merging entities to drive the development of the consolidated annual budget 2015/16, and the review and development of a single set of policy, delegations, procedural manuals in line with the AAS and compliance requirements for the new entity. • Analyse implications for the Financial Assistance Grant for the merging entities. • Establish a governance and integrity process for the new budget that includes CEOs, Directors, finance teams and the LIC. • Establish a working team with the ICT business unit to assess the financial reporting and system needs. • Develop a model that will achieve the consolidation of the merging partners budgets (this will vary across Local Governments due to the new entity model i.e. boundary charges vs amalgamation). Consider compiling separate budgets extracted from the data of the merging Local Governments, and from there, consolidate into an inaugural budget for the new entity. • Consider all requirements of the IPR framework. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise and prepare budget for adoption. • Establish and communicate the changes to the new reporting framework. Actions • Clearly articulate how the rate model addresses the difference in rating regimes. • Consolidate insurances and premiums. • Calculate the salaries and wages budget based on the interim organisational structure, workforce plan and interim service delivery model requirements. • Calculate the FCWP and asset management requirements in line with the IPR framework. • Ensure accounting policies are applied consistently. • Ensure changes in relation to assets and liabilities as a result of boundary changes are communicated in the annual budget.


STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt budget and implement. Actions • Implement training program. • Implement communications plan to socialise new budget. • Establish reporting framework. • Ensure all RO’s are trained in budget and reporting requirements. SUPPORTING MATERIAL FOR ALL STAGES DLGC Integrated Planning and Reporting Annual Budget 2015/16 Checklist Property Valuation Information Property Transfer Information Sheet • Guideline 8 - Net Current Assets • Guideline 18 – Financial Ratios • Refer to Function: Asset Management • Refer to Function: Integrated Planning and Reporting


ANNUAL REPORT 2014/15 STAGE 1: NOW – JULY 2014 Objective • To produce annual reports for each of the existing entities for the year ended 30 June 2015. Actions • Document current process for the development of the Annual Report. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Produce annual reports for each of the existing entities for the year ended 30 June 2015. Actions • Commence preparation for each individual Local Governments 2014/15 Annual Report. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt the Annual Reports for each of the existing entities for the year ended 30 June 2015. • Prepare for the production of the annual report for the new entity following 30 June 2016. Actions • Finalise the Annual Report 2014/15 for the individual Local Governments. • Compare Annual Report production processes across the merging entities. Identify better practice. Commence the development of a framework for the new entity. SUPPORTING MATERIAL FOR ALL STAGES There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


AUDIT AND RISK STAGE 1: NOW – JULY 2014 Objective Ensure that all outstanding audit items are addressed. Actions Review results of internal audit reports for the past 2 years and ensure that any issues relevant to the new entity are addressed through improved processes / training. Review current procedures, reporting and Terms of Reference (TOR) for Audit and Risk Committee. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Scope the audit and risk requirements for the new entity with consideration for better practice. • Commence consolidation of audit frameworks and practices. Actions • Develop an audit project plan to determine priorities and ensure the audit requirements for the existing entities and the new entity are met within the legislated timeframes. • Prepare a process for reviewing the current auditor contract. • Review the current Audit and Risk frameworks across the merging entities and commence consolidation. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Draft a TOR for the new Audit and Risk Committee. • Confirm audit framework and procedures. • Confirm the new entity’ auditor. • Prepare audit and risk material for adoption. Actions • Finalised and communicate new audit framework and reporting requirements. • Confirm the contractual arrangements for the new entity’ auditors. • Establish new TOR for the Audit Committee and prepare for adoption. • Develop a compliance calendar and checklists to ensure policies, delegations, standards and practices are implemented in accordance with all regulatory and statutory requirements. STAGE 4: JUNE 2015 – ONWARDS Objective • Ensure all statutory requirements are met at the inaugural meeting of the new entity. Actions • Implement the new Audit and Risk Framework. • Appoint the auditor. • The new Audit and Risk Committee is established. • Ensure any training needs are identified for employees and Councillors/Commissioner(s). Implement accordingly.


SUPPORTING MATERIAL FOR ALL STAGES Audit and Risk Checklist Local Government Act 1995 7.1A Audit committee Guideline 9 – Audit Committees • Refer to Function: Governance • Refer to Function: Risk Management


BANKING AND INVESTMENT STAGE 1: NOW – JULY 2014 Objective • Determine current state for banking requirements and investment portfolio. Actions • Collate and review current systems and processes, policies, reporting and controls. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Compare and review current state of entities. Commence mapping of future requirements. Actions • Review and consider investment strategies in line with the LTFP. • Advise current financial institutions of impending changes. • Identify the impact of boundary changes on the investment loan portfolio. • Review investment opportunities and interest rates. • Determine banking solutions for the new entity. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise and prepare all banking and investment arrangements for the new entity. • Prepare policy for adoption (if applicable). Actions • Develop a new Investment Strategy in line with the LTFP and Corporate Business Plan. • Establish EFTPOS and other payment receipting facilities, BPAY, Bpoint etc. • Establish opening balances (determine initial cash flow requirements) • Register of account/cheque signatories – internal register and authorisations lodged with financial institutions • Audit bank, trust and reserve accounts for existing entities. • Prepare policy and procedures where applicable. • Identify all material that is to be re-branded with the new logo (if applicable). STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt and implement policy. • Communicate and implement processes. Actions • Transfer balances (post audit) to new entity (allow provision for uncleared cheques and EFTs). • Report all changes to the investment portfolio in the inaugural meeting of the new entity. SUPPORTING MATERIAL FOR ALL STAGES Banking and Investment Checklist • Guideline 11 - Corporate Credit Card


LOANS AND DEBT STAGE 1: NOW – JULY 2014 Objective • Determine current state for the loan portfolio and debt ratios. Actions • Summarise current state including loans, self-supporting loans, debt ratios and reporting mechanisms. • Collate all systems, processes and policies. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Compare and review current state of entities. • Commence mapping of future requirements and debt strategies in line with the LTFP. Actions • Identify the impact of boundary changes on the loan portfolio. Address all asset and loan related implications. • Review debt ratios. • Contact all stakeholders (lenders and self-supporting loan debtors) to advise of changes. • Develop a new Lending Strategy in line with the draft LTFP and Corporate Business Plan. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise debt management and lending strategy. • Prepare policy for adoption (if applicable). Actions • Develop a new Lending Strategy in line with the LTFP and Corporate Business Plan. • Review policy and procedures. Address any deficiencies. • Update debtors and creditor records. • Create a loan repayment program for 10+ years. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt and implement policy. • Communicate and implement processes. Actions • Finalise the new Lending Strategy. • Ensure new procedures are documented and well communicated. • Maintain communications with stakeholders. SUPPORTING MATERIAL FOR ALL STAGES Property Transfer Information Sheet


BUSINESS ENTITY, ABN AND GST STAGE 1: NOW – JULY 2014 Objective • Await outcomes of the Governors Orders to determine future actions in relation to business entity requirements. Actions • If a new entity is created, a new ABN and GST Registration is required. For FBT purposes a new TFN and FBT Registration is required. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Complete all new business entity requirements where required and in line with new business entity model. Actions • Apply for new ABN and GST registration with Australian Taxation Office. • Apply for a Tax File Number (for FBT purposes) and apply for FBT Registration. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Prepare and/or amend all necessary documentation and systems for implementation. Actions • Close off old ABN and GST number once final audit outcomes are ratified. • Ensure debtors are notified of changes. • Ensure appropriate stationary is updated with tax numbers as required. SUPPORTING MATERIAL FOR ALL STAGES Applying for a new ABN


CAPITAL WORKS STAGE 1: NOW – JULY 2014 Objective • Determine current state and rational for capital works schedule. Actions • Collate and review capital management systems and software that exists in each entity. • Audit all works program. Assess the prioritisation process for capital works and prioritised works. • Assess whether capital works plans are consistent with the relevant asset management plans. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop the new draft capital works plan based on the asset management plans and other informing plans within the merging Local Governments Integrated Planning and Reporting Frameworks. Actions • Identify the impact from boundary changes on the capital works plan and address accordingly. • Evaluate and recommend capital management systems and software. • Develop better practice systems and prioritisation processes for capital works planning and delivery. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the capital works plan in line with asset management plans. Actions • Ensure the draft capital works plan is incorporated into the draft Long Term Financial Plan and the draft annual budget. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt the new capital works plan (via adoption of the annual budget 2015/16). • Communicate and implement new processes. Actions • Ensure business systems are populated with the new schedule of works. • Ensure RO’s are well informed of new schedules, procedures and reporting requirements. • Distribute works schedules and ensure all affected employees are inducted and orientated into their work environment (some may be relocated). • Ensure all training needs are identified and addressed and Job Safety Assessments (JSA) (or equivalent) are implemented from day one of changeover. • Ensure adequate plant and equipment is available. • Adopt better practice with OSH policy, practices and reporting from day one of changeover. SUPPORTING MATERIAL FOR ALL STAGES Capital Works Checklist • Refer to Function: Asset Management


CASH RESERVES STAGE 1: NOW – JULY 2014 Objective • Prepare an inventory of cash reserves. Actions • Collate and review Cash Reserves. • Identify any project specific allocations. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Compare and commence alignment of cash reserves. Actions • Identify the impact from boundary changes on the reserves and address accordingly. • Collate and review merging entities Cash Reserves collectively. • Identify values, types and sources of reserves, objectives and legislation. • Review purpose of Reserves in order to consolidate. • Analyse options to combine objectives and funds. • Consider location based reserves. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise alignment of cash reserves for the new entity. Actions • Identify/review purpose of Reserves in order to consolidate. • Prepare new objectives / purpose of reserves if applicable and incorporate in the budget adoption process. • Communicate cash reserve changes. • Align reserves with long term financial plan requirements. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt the new cash reserves strategy (via adoption of the annual budget 2015/16). • Communicate and implement new processes. Actions • Align reserves with long term financial plan requirements and capital works schedule. • Document and clearly communicate the consolidation process. Establish an audit trail for reporting and auditing purposes. SUPPORTING MATERIAL FOR ALL STAGES Cash Reserves Notes Local Government Act 1995, s 6.11


CHART OF ACCOUNTS (COA) STAGE 1: NOW – JULY 2014 Objective • Determine current state of COA including systems, processes and reporting. Actions • Review the database structure and functionality of existing financial management systems. • Review the reporting process and the extent of reporting. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Consider whether the existing COA’s can be merged or whether a completely new COA should be developed. Actions • Establish a working team to oversee the development of a COA for the new entity. • Compare the existing COA to determine suitability for the new entity. • Consult with end users and managers to determine function and capability i.e. controls, reporting requirements, overheads, activity based costing. • Review ICT requirements with regard to better practice structures for COA. Determine preferred solution and cost implications. Progress approvals as per normal course of business and exploration of procurement and existing contractual obligations. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the COA and reporting to meets the needs of the new entity and financial management framework. Actions • Load a test version of the chart of accounts. Migrate test data and test run reports and functionality. • Develop a training package for employees, responsible officers and management. STAGE 4: JUNE 2015 – ONWARDS Objective • Communicate and implement new COA and processes. • Provide resources to support users until they are proficient in the use of the new chart of accounts. Actions • Consult with users and managers to determine capability i.e. controls, reporting requirements, overheads, activity based costing. • Continue to review ICT requirements with regard to better practice structures for COA. Prepare business case (if applicable). • Implement training package for employees, RO’s and management. SUPPORTING MATERIAL FOR ALL STAGES COA Checklist • LG Accounting Manual, UHY Haines Norton “Shire of Somewhere” model financial statements, Australian Accounting Standards & Pronouncements


COMMERCIAL ENTERPRISES AND MAJOR LAND TRANSACTIONS STAGE 1: NOW – JULY 2014 Objective • Identify and review all commercial enterprises. Actions • Review all business cases, approvals etc. for each commercial enterprise. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Collate and review all commercial enterprises, transactions and objectives. Actions • Obtain business cases, approvals etc. for each commercial enterprise / transaction within the merging entities. • Develop strategies to ensure the reform process does not have an adverse impact on these activities. • Review risk strategies and determine any residual issues. • Maintain communication with stakeholders. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise and document strategies to address all commercial enterprises and major land transactions. Actions • Develop strategies to ensure the reform process does not have an adverse impact on these activities. • Review risk strategies and determine any residual issues. Address all legal requirements. • Prepare a briefing paper for LIC, Council, CEOs on all major land transactions and major trading undertakings. Include in due diligence report (due end of Stage 3: April 2015 – June 2015). STAGE 4: JUNE 2015 – ONWARDS Objective • Ensure all legal, financial and property matters are managed in accordance with legislative requirements. Actions • Maintain effective communication with stakeholders. SUPPORTING MATERIAL FOR ALL STAGES • Regulation 9 Local Government (Financial Management) Regulations 1996 • Property Transfer Information Sheet • Refer to Function: Due diligence • Refer to Function: Governance


CONCESSIONS, WAIVERS AND DISCOUNTS STAGE 1: NOW – JULY 2014 • Refer rates and rate setting; and Fees and Charges Supporting Material There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


CREDITORS STAGE 1: NOW – JULY 2014 Objective Identify current suppliers Actions Ensure database details are current. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence consolidation of creditors. Actions • Collate and review existing suppliers. Check for duplicates, payment methods, ABN registration and age. • Ensure Supplier Statements are up to date and reconciled. • Review payment terms and options (EFT preferred) and contractual payment dates. • Review the process for processing invoices (i.e.: manual approvals vs. automated/work flow approvals, officer dollar approval limits). • Review Payment process. • Determine and register the number of account signatories (Primary and Secondary) within the financial system and banking requirements. • Advise suppliers of new changes to process or payment methods. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise creditor system and processes. • Advise Suppliers of new changes to process or payment methods. • Prepare for implementation. Actions • Document the revised system and supporting processes for creditors and implement training where required. • Communicate new processes. • Ensure new stationery (i.e.: blank cheques) with new entity details are printed. • Payout existing creditors from each entity. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt and implement policy. • Communicate and implement processes. Actions • Communicate and implement new processes and policy. • Ensure staff training requirements are identified and met. SUPPORTING MATERIAL FOR ALL STAGES There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


DEBTORS STAGE 1: NOW – JULY 2014 Objective • Identify current debtors and supporting processes and reporting requirements. Actions • Review current debtors for doubtful and bad debts. • Ensure Debtors Module is reconciled to the General Ledger. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Identify current debtors, supporting processes and reporting requirements. Actions • Collate all relevant information / business cases supporting concessions, waivers and discounts from all merging entities. • Compare, review and consolidate current Fees and Charges Schedule. Review large anomalies. • Sort by Category and Amount. Review for GST compliance. • Determine any changes / additions as a result of the interim service delivery model and service provision. • Consider changes to fees and charges in line with actual cost recovery. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise debtors system, supporting processes and reporting requirements. Actions • Collate all aged debtors ready for migration. • Review and amend policy. Prepare for adoption. • Finalise new Delegated Authority for writing off debts. Write off any debts where applicable. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt and implement policy. • Communicate and implement processes. Actions • Communicate and implement new processes and policy. • Ensure staff training requirements are identified and met. SUPPORTING MATERIAL FOR ALL STAGES There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


FEES AND CHARGES STAGE 1: NOW – JULY 2014 Objective • Maintain Fees and Charges schedule Actions • Collate all relevant information / businesses cases / Council resolutions supporting concessions, waivers and discounts. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Prepare draft Fees and Charges schedule for the new entity. Actions • Collate all relevant information / business cases supporting concessions, waivers and discounts from all merging entities. • Compare, review and consolidate current Fees and Charges Schedule. Review large anomalies. • Sort by Category and Amount. Review for GST compliance. • Determine any changes / additions as a result of the interim service delivery model and service provision. • Consider changes to fees and charges in line with actual cost recovery. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Prepare draft Fees and Charges schedule for adoption. Actions • Determine any changes / additions as a result of the interim service delivery model and service provision. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt draft Fees and Charges schedule for the new entity (via the Annual Budget). Actions • Inform internal and external stakeholders of new Fees and Charges (new Fees and Charges Schedule to be advertised in accordance with statutory requirements). • Update internal systems with new Fees and Charges information. • Ensure front line customer service officers are aware of changes. SUPPORTING MATERIAL FOR ALL STAGES There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


GRANTS STAGE 1: NOW – JULY 2014 Objective • Prepare inventory and background of grants (does NOT refer to Financial Assistance Grants). Actions • Audit the status of all grants administered to ensure that milestones and reporting conditions have been complied with. This should form part of the due diligence process. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop a draft framework to manage the grants administration process. Actions • Audit the status of all grants administered by the merging Local Governments to ensure that milestones and reporting conditions have been complied with. • Identify and escalate the impact of boundary changes on the grants portfolio. Address all implications. • Contact the grant provider/s to advise of the changes in regard to the new entity and if this will impact on the terms and conditions of any grants. • Review all grants administration processes including Council reporting and acquittals. • Develop a revised Grants framework for grants administration. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise and include the schedule of grants in the long term financial plan and annual budget. Actions • The rollover of any unspent grant funding and the refund of any unspent grant funding to the ensuing financial year has implications for reporting purposes and must be taken into account in the preparation of the annual financial report. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the new grants administration framework. Actions • Implement the new grants administration system and processes. Provide training where required. • Communicate acquittal process to all affected RO’s. SUPPORTING MATERIAL FOR ALL STAGES Property Transfer Information Sheet • Refer to Function: Due diligence


LONG TERM FINANCIAL PLAN (LTFP) STAGE 1: NOW – JULY 2014 Objective • Collate all the necessary documentation and informing material for the LTFP in preparation for consolidation. Actions • Collate all supporting information and strategies. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Review the LTFP and all informing documents. • Commence the preparation of the draft LTFP. Actions • Establish a working group to co-ordinate and develop the draft LTFP for the new entity. Working group could also include rates and rate setting in project scope. • Collate all supporting information and strategies from the merging partners. • Working with the merging entities, commence mapping the requirements of the LTFP from the corporate business plans, asset management plans, services plans (operational plans), FCWP, rate setting strategy, revenue and debt strategy etc. • Review current processes and establish draft processes for the new entity regarding the review and development of the LTFP in the context of the IPR Framework. • Review and update Asset Registers. Commence consolidation of Registers in line with changes made as a result of boundary changes / amalgamations. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise preparation of the draft LTFP. Actions • Capture all financial implications from the interim service delivery model, organisation and staffing structure, lending and investment strategy etc. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt the LTFP. Actions • Socialise the LTFP with all tiers of management, Council and LIC. • Conduct information and training sessions for relevant staff. SUPPORTING MATERIAL FOR ALL STAGES LTFP Framework & Guidelines, Model LTFP Property Valuation Information Property Transfer Information Sheet Long Term Financial Planning Practice Note 6 • Refer to Function: Integrated Planning and Reporting • Refer to Function: Asset Management


RATES AND RATE SETTING STAGE 1: NOW – JULY 2014 Objective • Recommendations are submitted to the LGAB and reflected in the Consequential directions of the Governors Orders regarding imposing differential rating (Local Government Act 1995, s6.33). • Collate all current rating information in readiness for review with merging partners. Actions • Submit recommendations to the LGAB to enable the continued application of differential rating currently imposed by the merging entities. • Collate all current rating information including: methodology of valuation, differential rating and purpose, special area rating, refuse charges, installment charges, debt recovery, collection, data and systems, processes. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence rates modeling. Actions • Establish a working group to co-ordinate and develop the draft LTFP for the new entity. Working group could also include rates and rate setting in project scope. • Collate and examine all current rating information including: methodology of valuation; differential rating, objectives and purpose; special area rating (SAR); refuse charges; installment charges; debt recovery; collection; and data, systems and processes. • Examine current SAR, differential rates and objectives. Assess the relevance to the new entity. • Review methodology for residential refuse charges. • Carry out an audit of all properties in the rate schedule to ensure valuations are up to date. • Review the rates billing processes, debt collection, management of databases and compliance levels. • Commence assessment of business systems and future requirements. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the rate model to inform the annual budget 2015/16 preparation. Actions • Finalise the new entity’s rating capacity and prepare rate models which consider the previous rating regimes. • Continue the assessment of business systems and future requirements. • Confirm the differential rating strategy. • Review non-rateable properties and concessions. • Update databases and electoral roll. STAGE 4: JUNE 2015 – ONWARDS Objective • Finalise rate model and prepare rate setting statement for adoption. Actions • Reprint rates collateral material (mail outs, rates notice and other communiqués) with new entity logo if applicable.


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In consultation with staff, develop and implement processes including dispatch of rates, installment notices etc.

SUPPORTING MATERIAL FOR ALL STAGES Rates and Rate Setting - Considerations Property Valuation Information • Refer to Function: Business Systems


FINANCIAL REPORTING STAGE 1: NOW – JULY 2014 Objective • Determine current state. Actions • Collate all financial reports, processes and systems. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Determine future reporting requirements, standards and formatting. Actions • Compare all financial reports, processes and systems. • Consult with merging partners and staff and refer to industry standards. Develop a draft reporting framework including the Monthly Activity Statement. • Strive for a better practice reporting framework. • Integrate reporting with the IPR Framework and reporting requirements. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise future reporting framework and format. Actions • Finalise draft reporting framework. • Develop new processes to support the framework and address any business systems issues. • Develop a training program for all users. • Integrate the reporting into the governance structure including audit and risk. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement new process and financial reporting framework. Actions • Develop a delegation of authority for the interim CEO to make payments from the Municipal and Trust Funds. • Develop List of Payments report for presentation to Council. • Develop and implement a new training package for management, RO’s and employees as appropriate. SUPPORTING MATERIAL FOR ALL STAGES Property Valuation Information • Regulation 34(1) of the Local Government (Financial Management) Regulations 1996


INVENTORY AND STORES STAGE 3: APRIL 2015 – JUNE 2015 Objective • Audit existing processes and procedures. • Establish better practice process for new entity. Actions • Determine whether inventory and stock control is centralised or decentralised. • Identify and review existing inventory controls. • Examine opportunities for efficiency and savings i.e. removal of duplication of stock / obsolete stock / introduce just in time strategies. • Consider software and controls/policies to be used by the new entity. • Dispose of obsolete stock prior to changeover day. • Reconcile, document and transfer inventory records to new entity. STAGE 4: JUNE 2015 – ONWARDS Objective • Finalise and implement new stock and inventory processes. Actions • Undertake stock takes as at 30 June, including quantities, value, location etc. • Reconcile against end of year audits. • Implement staff training immediately. SUPPORTING MATERIAL FOR ALL STAGES There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


TRUST FUNDS STAGE 1: NOW – JULY 2014 Objective • Determine current state. Actions • Collate and review trust funds held, processes and reporting requirements. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Review all merging entities Trust Funds and prepare to consolidate. Actions • Collate and review trust funds held in each entity. • Advise current financial institutions of impending changes. • Determine banking solutions and tailor investment strategies for the new entity. • Develop new Trust Register. • Review audit of trust accounts for existing entities. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise arrangements and make provisions for new process. Actions • Maintain sufficient funds to process uncleared cheques and EFTs made from existing accounts. • Transfer balances (post audit) to new entity (allow provision for uncleared cheques and EFTs). STAGE 4: JUNE 2015 – ONWARDS Objective • Establish new banking arrangements and implement new processes. Actions • Arrangement closure of accounts no longer required and transfer of funds to new entity. • Undertake a review of any unclaimed money. • The first annual report of the new Local Government will need to comply with regulation 37 of the Local Government (Financial Management) Regulations 1996 and include for each class of trust, a statement of o the amounts brought forward on 1 July; o the amounts received during the financial year; o the purpose for which the money was held or received; o the amounts paid out during the financial year; and o the closing balance at 30 June. SUPPORTING MATERIAL FOR ALL STAGES • Local Government Act 1995, s 6.9


BUSINESS UNIT STRUCTURE STAGE 1: NOW – JULY 2014 Objective • Determine current state. Actions • Collate and update all position descriptions and business unit structure in preparation for structural review. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Establish an interim business unit structure. Actions • Collate and review all merging entities current staffing requirements, functions and responsibilities. • With the support of the HR team, commence mapping and assessing the future business unit needs in line with the interim organisation structure project. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Establish an interim business unit structure. Actions • Working with HR, determine future staffing and business unit structure. • Ensure all industrial and employee transmittal matters are case managed in accordance with statutory and policy guidelines. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the new interim business unit structure. Actions • Commence employee inductions. • Implement team building activities. • Support employees through the transition stage. SUPPORTING MATERIAL FOR ALL STAGES • • •

Refer to Function: Organisation structure – interim Refer to Function: Service Delivery Refer to Function: Human Resource Management


GOVERNANCE POLICY STAGE 1: NOW – JULY 2014 Objective • Update Policy Manual and supporting processes and material to reflect current state. • Develop an inventory of all existing processes that support policy and/or update relevant process manuals and business operating procedures. Actions • Develop an inventory of all existing Local Government policies currently utilised. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence review of merging local governments policy and process manuals. • Establish a base level suite of Policies for each business unit. • Establish a Draft Policy Manual. • Allocate a project officer to co-ordinate policy and delegations project and Manuals. Actions • Collate and compare all policies and processes from merging Local Government. Identify similarities and differences. • Develop a standard policy and processes template. • Each business unit to review policies and develop a suite of key policies to form a Draft Policy Manual (policies required by legislation and recommended in DLGC Guidelines). Identify and establish better practice. Complete review process for processes and procedures. • Commence consultation processes. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Review Draft Policy Manual. Prepare for adoption. • Undertake necessary stakeholder consultation. • Review draft processes and procedures – develop an Operating Procedures Manual (or equivalent name). Actions • Undertake community consultation if applicable. • Undertake peer review of Draft Policy Manual and establish supporting processes and reporting requirements. Include processes in Operating Procedures Manual (or equivalent). • Identify key integration points across business functions, budget implications and training requirements. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt Policy Manual. Actions • Ensure a training program is developed to support policies and processes. • Ensure Manuals are accessible and well communicated to all stakeholders.


SUPPORTING MATERIAL FOR ALL STAGES Checklist - policy review and consolidation Operational Guideline No 17 Department of Local Government and Communities • Refer to Function: Risk Management


DELEGATIONS STAGE 1: NOW – JULY 2014 Objective • Update Register/Manual of Delegations to reflect current state. Actions • Update and collate an inventory of all delegations. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Identify and establish relevant delegations or where ‘acting through’ is appropriate. Actions • Each business unit is to collate a list of activities that can be delegated or where ‘acting through’ is appropriate. • Develop an Instrument of Delegation Template. • Commence drafting of the Delegations Manual. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Establish and review Draft Delegations Manual. Prepare for adoption. • Undertake necessary stakeholder consultation. Actions • Undertake peer review of Draft Delegations Manual. • Establish a register to record Annual and Primary Returns. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt Delegations Manual and ‘Acting through’ listing. Actions • Ensure delegations are communicated and staff trained accordingly. • Ensure delegations are reported in accordance with legislative guidelines. SUPPORTING MATERIAL FOR ALL STAGES Operational Guideline No 17 Department of Local Government and Communities


COMPLIANCE AND AUDIT STAGE 1: NOW – JULY 2014 Objective • Identify all compliance and audit systems, processes and supporting documents. Actions • Identify all compliance and audit processes and documents as required under the Act and Regulations. • Identify any outstanding matters from pervious audits / compliance checks. Refer to the attached Comprehensive Compliance Calendar. The Calendar covers all business units and functions and will need to be maintained and updated in line with legislative, governance and management changes. The Calendar is structured so that the officer has forewarning of pending compliance requirements and opportunity to provide comment. Calendar should be fully customised to suit organisational needs and reporting requirements. Comprehensive Compliance Calendar is courtesy of City of Melville. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Establish a Compliance and Audit Framework that encapsulates all compliance systems and processes, documents, reporting and registers as required under the Act and Regulations. Actions • Identify all compliance and audit related activities within the merging Local Governments. • Identify any outstanding matters from previous audits / compliance checks and any potential impact upon the new entity. • Consult with stakeholders to determine compliance and audit requirements, registers, processes, standards and reporting. • Review TOR for Audit and Risk Committee to ensure alignment. • Review current systems and develop better practice Compliance and Audit Framework. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the Compliance and Audit Framework. Actions • Review and develop policy if required. • Ensure all outstanding compliance and audit issues are addressed. If any matters may affect the new entity, ensure matters and mitigating action is documented and ready for transfer to new entity. Include in due diligence report.


STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt policy. • Implement the Compliance and Audit Framework and new reporting requirements. Actions • If required, prepare new policy for adoption. • Confirm new process with auditor if so desired. • Prepare education and training package for end users. • Socialise new framework with employees and Council/Commissioner(s) and implement. SUPPORTING MATERIAL FOR ALL STAGES Comprehensive Compliance Calendar LG (Audit) Regulations 1996 Compliance Registers and Documents Audit in Local Government – Guideline revision draft Department of Local Government and Communities • Refer to Function: Due Diligence • Refer to Function: Financial Management – Audit and Risk


COMMON SEAL STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop a Common Seal for the new entity. Actions • Draft designs to be prepared for Council consideration. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt new Common Seal. Actions • At the first meeting of the new Council, resolve to adopt the Common Seal. • Print new seal and store in secured area. SUPPORTING MATERIAL FOR ALL STAGES •

Local Government Act 1995, s. 2.5 and s. 9.49A


REGISTERED DESIGNS, BUSINESS NAMES, TRADEMARKS AND INTELLECTUAL PROPERTY STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Existing registered entitlements and protections to be assigned to the new Council as successor owner. Actions • Collate and review existing registered entitlements and protections. • Identify any issues associated with shared entitlement. • Local Governments should consider ownership in intellectual property and prepare agreements as to future use and entitlement. • Develop an Action Plan to resolve any matters or legal requirements. Include outcomes in due diligence report. Supporting Material • Refer to Function: Due Diligence


PROPERTY OWNERSHIP STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Property ownership details may require amendment. Actions • Collate and review existing property ownership details. Amend transfer to other entity if required. Include outcomes in due diligence report. Supporting Material Property Management notes • Refer to Function: Due Diligence • Refer to Function: Property Management • Refer to Function: Asset Management


MEMBERSHIPS STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Collate and review current and proposed memberships. Actions • Review the constitution and obligations of current and proposed membership organisations and determine membership suitability. • Advise any existing members of changes, contact details etc. Prepare recommendations for renewal / continuity / cancellation for the new entity. Supporting Material for all Stages There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


HUMAN RESOURCE MANAGEMENT HRM - PROJECT MANAGEMENT STAGE 1: NOW – JULY 2014 Objective • Establish project framework and governance. Identify key milestones and timeframes for completion. Actions • Develop an overarching project plan. Allocate project resources and identify any budget implications. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Project Plan is reviewed, amended and current. Actions • Undertake a regular review of the project plan to accommodate issues and risks identified. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Project Plan reflects Stage 3: April 2015 – June 2015 priorities, changeover day and Stage 4: June 2015 – onwards priorities. Risk management plan developed and implemented. Actions • Continue to review project plan to accommodate issues and risks raised and the overall achievement of milestones and tasks. • Changeover day plan prepared. STAGE 4: JUNE 2015 – ONWARDS Objective • Changeover Day – Project Plan reflects Stage 4: June 2015 – onwards priorities. • Risk management plan developed and implemented. Actions • Maintain regular and detailed reviews of the project plan and timelines. • Address issues and risks raised and the overall achievement of milestones and tasks. SUPPORTING MATERIAL FOR ALL STAGES • • •

Refer to Function: Project Management Refer to Function: Changeover Day Refer to Function: Risk Management


HUMAN RESOURCE MANAGEMENT » HRM - BUSINESS SYSTEMS INCLUDING PAYROLL STAGE 1: NOW – JULY 2014 Objective • Inventory of all systems established. Actions • Commence review of existing systems and system requirements. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Map and consolidate systems. • With support teams, establish plan for systems development and transition. Actions • Identify critical functions. • Working with ICT / Business systems teams, review and plan for transition. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Explore system criteria and selection (may be pushed out to Stage 4: June 2015 – onwards). • Develop a procurement plan (may be pushed out to Stage 4: June 2015 – onwards). Actions • Identify critical functions. • Working with ICT / Business systems teams, review and plan for transition. • Map and consolidate systems. STAGE 4: JUNE 2015 – ONWARDS Objective • Explore system criteria and selection. • Develop a procurement plan. Actions • Identify critical functions. • Prioritise business systems harmonisation in line with organisational capacity and needs. • Map and consolidate systems. SUPPORTING MATERIAL FOR ALL STAGES • Refer to Function: Business Systems


HRM - WORKFORCE PLAN STAGE 1: NOW – JULY 2014 Objective • Ensure workforce plan is up to date and captures current employee allocation. Actions • Review and update workforce plan. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence preparation of new workforce plan. Actions • Collate and review all merging partners’ workforce plans. • Utilise information from the current workforce plans to support the development of the interim organisation structure. • Liaise with working group developing the interim service delivery model and interim organisation structure. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the workforce plan. Actions • Identify workforce implications for the new entity, including priorities, actions and responsibilities, asset management and long term financial planning requirements. • Ensure all servicer delivery and interim organisation structure implications are captured. • Identify budget implications. Integrate into the IPR Framework. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the workforce plan. Actions • Within the framework of the IPR and supporting the interim organisation structure, implement the workforce plan. SUPPORTING MATERIAL FOR ALL STAGES DLGC Workforce Planning: The Essentials – A toolkit for Western Australian Local Governments • Refer to Function: Integrated Planning and Reporting • Refer to Function: Annual Budget 2015/16


HRM - INTERNAL COMMUNICATIONS STAGE 1: NOW – JULY 2014 Objective • Establish clear, concise and consistent communication with employees. Actions • Develop and implement internal communications strategy including all forms of communication channels i.e. intranet, face to face, specific reform communications etc. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Workforce is well-informed on the stages of transition and the necessary processes. Regular and effective communications maintained. Actions • Review effectiveness of communications. • Ensure timely updates. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Two-way communication continues and incorporates changeover day expectations and requirements. Actions • Review effectiveness of communications. Ensure timely updates. • Ongoing review of the communications plan to support the development of the: • Enterprise Agreement • Changeover day transition • Commission(s) and interim CEO appointments • Staff engagement, Good news stories etc. STAGE 4: JUNE 2015 – ONWARDS Objective • Communications is focused on changeover day expectations and requirements. • Ensure two-way communication channels are effective Actions • Review effectiveness of communications and encourage feedback. • Ensure timely information updates. • Maintain focus on Enterprise Agreement. SUPPORTING MATERIAL FOR ALL STAGES Human Resource Change Management Plan • Refer to Function: Communications – Internal


HRM - EMPLOYEE ASSISTANCE PROGRAM (EAP) STAGE 1: NOW – JULY 2014 Objective • All employees are advised of the EAP available to them and have access 7 days a week. Actions • Review current EAP arrangements to ensure all employees have access to the service 7 days a week. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • All employees are advised of the EAP available to them and have access 7 days a week. Actions • Review current EAP arrangements to ensure all employees have access to the service 7 days a week. • Establish peer support program. STAGE 3: APRIL 2015 – JUNE 2015 Objective • All employees are advised of the EAP available to them and have access 7 days a week. Actions • Review current EAP arrangements to ensure all employees have access to the service 7 days a week. STAGE 4: JUNE 2015 – ONWARDS Objective • All employees are advised of the EAP available to them and have access 7 days a week. Actions • Review current EAP arrangements to ensure all employees have access to the service 7 days a week. SUPPORTING MATERIAL FOR ALL STAGES There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


HRM - WORKING GROUPS STAGE 1: NOW – JULY 2014 Objective • HR / ER / OD representation on all relevant internal working groups is confirmed. Actions • Identify relevant working groups and confirm representation. Supporting Material • Refer to Function: Project Management • Refer to Function: Leading & Managing Change


HRM - HRM PLANS STAGE 2: AUGUST 2014 – MARCH 2015 Objective • All strategies and plans from merging partners are reviewed with the view to consolidate. Actions • Collate and review all merging partners strategic and operational HRM Plans. Include Disability Access and Inclusion Plans, Equal Employment Opportunity Management Plans and the Code of Conduct. • Commence consolidation of all plans. Identify and include better practice. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalisation of the consolidation of HRM plans. • Budget implications identified and integrated into the Annual Budget 2015/16. Actions • Commence consolidation of all plans where applicable. • Identify cost impact. STAGE 4: JUNE 2015 – ONWARDS Objective • All strategies and plans from merging partners are reviewed with the view to consolidate. Actions • Collate and review all merging partners strategic and operational HRM Plans. Include Disability Access and Inclusion Plans, Equal Employment Opportunity Management Plans and the Code of Conduct. • Commence consolidation of all plans. Identify and include better practice. SUPPORTING MATERIAL FOR ALL STAGES Human Resource Change Management Plan Code of Conduct Notes Disability Access and Inclusion Plan Equal Employment Opportunity Management Plan www.disability.wa.gov.au www.eoc.wa.gov.au www.publicsector.wa.gov.au/publications-resources


HRM - POLICY AND PROCEDURE STAGE 2: AUGUST 2014 – MARCH 2015 Objective • All policy, delegations and procedures reviewed (includes HRM, ER and OD). Actions • Prepare an inventory of all policy, procedures, authorisations and delegations. • Analyse and develop draft policies and procedures for consultation taking into consideration all legislative requirements and obligations. • Cost new policies and identify budget implications. • Develop employee communications plan. • Commence consultation. • Prepare HRM policy and procedure manual for adoption in July/August 2015. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt Policies and Delegations. • Implement procedures. Actions • Ensure all cost implications are including in the annual budget 2015/16. • Implement employee communications plan. • Prepare HRM policy, delegations and procedure manual for adoption in July/August 2015. SUPPORTING MATERIAL FOR ALL STAGES Workforce Transition Checklist • Refer to Function: Governance


HRM - WORKERS COMPENSATION AND REHABILITATION (WCR) STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Identify and collate current claims. • Determine insurance / premium status. Actions • Establish a methodology to manage the merging of the WCR programs and actions plans. • Determine and document financial impact. STAGE 4: JUNE 2015 – ONWARDS Objective • Current claims consolidated. • Insurance / premium status confirmed. Actions • Establish a methodology to manage the merging of the WCR programs and actions plans. • Determine and document financial impact. SUPPORTING MATERIAL FOR ALL STAGES Workers Compensation and Rehabilitation Act 1981 Workers Compensation and Rehabilitation Regulations 1982 Workers Compensation and Rehabilitation (Workcover)


HRM - OUTPLACEMENT SERVICES STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Ensure outplacement services are provided. Actions • Engage service provider(s) to deliver outplacement services to employees; including: • Career counselling • Resume preparation, job application and interview techniques • Financial advice • Lifestyle/early retirement Supporting Material • There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


HRM - GRIEVANCE PROCESS STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Grievance process established. Actions • Collate and review all existing Grievance policy statements and applicable procedures • Develop an agreed grievance process. Communicate process and ensure all employees are aware of the process. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Grievance process is reviewed for effectiveness Actions • Review grievance process to ensure its validity and effectiveness. Communicate any changes to employees and encourage use. • Establish grievance officer training/retraining where required. SUPPORTING MATERIAL FOR ALL STAGES Workforce Transition Checklist Fair Work Ombudsman Fair Work Commission Equal Opportunity Commission of WA • Refer to Function: Governance


HRM – UNIFORMS STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Provide employees with newly branded uniforms (if applicable). Actions • Establish a uniform working group. In partnership with Marketing Dept (new logo), commence preparation for the new uniform initiative (and good luck!). • Develop an implementation plan and identify priority positions for rebranding first (consider customer facing positions first). • Engage service provider for production of new uniforms. • Ensure all OSH uniform requirements are met. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Provide employees with newly branded uniforms. Actions • Implement re-branding strategy. Rollout rebranding for priority positions. Uniform changeover plan can be prioritised and staged. SUPPORTING MATERIAL FOR ALL STAGES There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


HRM - LETTERS OF APPOINTMENT STAGE 3: APRIL 2015 – JUNE 2015 Objective • Letters of appointment are distributed to all employees. Actions • Letters of appointment for employees from the new entity are distributed prior to changeover day. Supporting Material Workforce Transition Checklist


HRM - RECORDS MANAGEMENT STAGE 3: APRIL 2015 – JUNE 2015 Objective • Merge and archive all personnel records in accordance with statutory requirements. Actions • Collate and manage / archive all records accordingly. Supporting Material • Refer to Function: Records Management


ER - ENTERPRISE AGREEMENT STAGE 1: NOW – JULY 2014 Objective • Undertake preparatory work and analysis. Actions • Commence collation and review of industrial arrangements. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence comparative analysis of industrial instruments. Actions • Establish a working party to project manage the new agreement and implementation plan. • Identify parity and differences between existing agreements. • Engage stakeholders including employee representatives. • Commence consolidation process. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the new Industrial Agreement and draft budget. Finalisation of the new EA will vary across all Local Governments. Actions • Review and amend consultation/communications plan as required. • Employees and representatives are engaged formally with relevant communication channels updated regularly. • Review project management plan timelines and outcomes and ensure all stakeholders are regularly briefed and are aware of milestones. STAGE 4: JUNE 2015 – ONWARDS Objective • Finalise the new Enterprise Agreement. Finalise budget. • Commence transition to new Agreement. Finalisation of the new EA will vary across all Local Governments. Actions • Continue stakeholder and employee representative consultation. • Negotiate final Industrial Agreement. • Include financial implications in the Long Term Financial Plan. SUPPORTING MATERIAL FOR ALL STAGES Workforce Transition Checklist EXAMPLE Industrial Relations – Enterprise Agreement Plan Fair Work Commission


ER - INDUSTRIAL RELATIONS STAGE 1: NOW – JULY 2014 Objective • Develop an overarching Industrial Framework for the new entity. Actions • Review current IR systems and processes. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop an Industrial Framework. Actions • Develop a project plan to drive the development of a new industrial framework and Agreement for the new entity. • Include better practice systems and process for managing IR matters and procedures for the new entity. • Engage unions. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the Industrial Framework. • Identify and document all industrial disputes and matters. Actions • Finalise the draft Industrial Framework for the new entity. Prepare summary report outlining framework, processes and induction program. • Identify industrial disputes in Court and under investigation. Maintain currency of schedule in readiness for transition to new entity / adjusting Local Government. • Prepare new policy if required. STAGE 4: JUNE 2015 – ONWARDS Objective • Finalise / implement the new Industrial Framework. • Adopt policy if applicable. Actions • Finalise the new Industrial Framework for the new entity. Present summary report outlining framework and process. • Commence education program to socialise the new framework. SUPPORTING MATERIAL FOR ALL STAGES Legislative Provisions Workforce Transition Checklist Fair Work Act Fair Work Commission Legislative Provisions - Employees


ER - POSITION DESCRIPTIONS (PD) STAGE 1: NOW – JULY 2014 Objective • PD’s are audited and current. • Confirm current workforce profile. Actions • Undertake a full review of all position descriptions to ensure an accurate reflection of functions, responsibilities and delegations of authority etc. • HR and Payroll databases are accurate. • Prepare to review and develop revised PD’s for the new entity once the new entity details are known. Supporting Material for all Stages Human Resource Change Management Plan Workforce Transition Checklist


ER - EMPLOYMENT CONTRACTS STAGE 1: NOW – JULY 2014 Objective • Inventory of contracts established. Actions • All contracts reviewed and assessed. • Entitlements, benefits etc. identified. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Establish an inventory of contracts within the merging partners. Actions • Collate and review all terms and conditions of individual contracts. • Identify deficiencies and necessary actions. • Identify contracts nearing expiring and develop necessary actions. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Continue to case manage all contracted employees. Actions • Explore transition options with employees. SUPPORTING MATERIAL FOR ALL STAGES Workforce Transition Checklist


ER – VOLUNTEERS STAGE 1: NOW – JULY 2014 Objective • Volunteers are engaged and well informed of any transition planning and activities. Actions • Communicate a clear statement emphasising the important and valued contribution of volunteers. • Update volunteer register. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Volunteers are engaged, informed and have a clear understanding of the transition plan and impact. Actions • Establish transition and retention plan and processes. Explore local placement opportunities. • Prepare Volunteer Induction pack. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Volunteers are engaged, informed and have a clear understanding of the transition plan and impact. Actions • Implement volunteer transition and retention plan and processes. • Ensure volunteer inductions / orientation programs are implemented. SUPPORTING MATERIAL FOR ALL STAGES Human Resource Change Management Plan Volunteering WA


ER - JOB SECURITY STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Employees are well informed regarding their entitlements and contractual obligations. Actions • Implement employee information sessions. • Develop effective two-communication pathways. Supporting Material for all Stages Workforce Transition Checklist


ER - GRIEVANCE PROCESS STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Grievance process established Actions • Collate and review all existing Grievance policy statements and applicable procedures • Develop an agreed grievance process. Communicate process and ensure all employees are aware of the process. Supporting Material for all Stages Workforce Transition Checklist


ER - JOB ROLES AND RESPONSIBILITIES STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence identification of roles and responsibilities. Actions • Establish agreed processes for job design. • Review rosters. • Review existing organisation charts. • Identify occupational licensing arrangements. • Prepare job specifications. • Map all positions including contracts to the interim service delivery model (when possible). • Identify new positions, prepare PD’s and classify positions as required. • Identify HR / ER impact of the interim service delivery model. Supporting Material for all Stages Human Resource Change Management Plan Workforce Transition Checklist • Refer to Function: Interim Service Delivery Model


ER - LABOUR HIRE STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Determine ongoing labour hire needs. Actions • Identify all employees who are employed through employment agencies on a ‘labour hire’ basis. • Determine ongoing need for labour hire workers. • Liaise with labour hire agencies to advise regarding requirements for their staff. Supporting Material for all Stages There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


ER - DISABILITY EMPLOYMENT STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Identify and review all employees who identify as having a disability. Actions • Identify employees who are employed on the basis of supported wages. • Identify and contact any/all agencies supporting employees with disabilities. Supporting Material for all Stages Disability Services Commission • Refer to Function: Human Resource Management - HRM Plans


ER - OVERSEAS WORKERS STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Establish new working arrangements. Actions • Identify all overseas workers, their visa status and the term of their contracts. • Establish new working arrangements. • Undertake any requisite visa approval process with Dept. of Immigration & Border Control. Supporting Material for all Stages Assistance available from WALGA Department of Immigration and Border Protection


ER - PLACEMENT AND REDEPLOYMENT POLICY AND PROCESSES STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Framework developed and communicated to all affected employees. Actions • Develop a policy to guide all transition, placement and deployment obligations. Include relocation of workplace. • Document processes and timeframes for affected employees. • Commence consultation. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Policy developed. Framework developed and communicated to all affected employees. • Transition consultation commenced. Actions • Document processes and timeframes for affected employees. • Commence consultation. SUPPORTING MATERIAL FOR ALL STAGES Workforce Transition Checklist Human Resources Change Management Plan


ER - INTERIM ORGANISATIONAL STRUCTURE STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Key milestone: To be adopted July 2015. • Commence preparatory work. Actions • Establish framework for developing interim organisation structure including cross-functional working group. • Develop communications plan for Interim Organisation Structure project. • Commence job mapping process. • Review relevant Integrated Planning and Reporting documentation. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Key milestone: To be adopted and implemented July 2015. • Finalisation of Interim Organisation Structure and budget. Actions • In accordance with the interim Corporate Business Plan and proposed interim service delivery model, finalise interim organisation structure including budget estimates. • Review net impact of transition of employees and document changes accordingly i.e. PD’s • Continue employee communications. STAGE 4: JUNE 2015 – ONWARDS Objective • Key milestone: To be adopted and implemented July 2015. • Adopt and implement the interim Organisation Structure. • Adopt policy if applicable. Actions • Implement transition placements and redeployment in accordance with policy, Local Government Act 1995 and Workforce Transition Checklist. • Maintain communications and implementation plan for interim Organisation Structure. • Ensure Casual and Temporary Workers, Overseas Workers and Volunteer transition plans are implemented effectively. • Ensure budget implications, (including workforce planning) are integrated into the Long Term Financial Plan. • Prepare interim organisation structure and budgets for adoption. SUPPORTING MATERIAL FOR ALL STAGES Example Terms of Reference • Refer to Function: Organisation Structure – Interim • Refer to Function: Service Delivery Model • Refer to Function: Project Management


ER - ENTITLEMENT AND BENEFITS STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Establish policy and process for negotiation of entitlement and benefits. • Harmonisation process for entitlements and benefits commenced. Actions • Identify entitlements and benefits requiring harmonisation. • Develop policy and process including rationalisation of employee benefits i.e. use of Council vehicle. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Continue re-negotiation of entitlements and benefits with affected employees. Actions • Identify entitlements and benefits requiring harmonisation. • Finalise negotiations in accordance with legislative and policy guidelines. SUPPORTING MATERIAL FOR ALL STAGES Workforce Transition Checklist


ER – REDUNDANCY STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Adopt a case management approach and explore opportunities for redeployment or alternative redundancy option. Actions • Develop and communicate redundancy process. • Implement redundancy process. • Identify and consult with all affected employees. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Continue to case manage redundant positions. Actions • Identify positions and available options including redeployment or voluntary redundancy. • Ensure EAP and outplacement services are available and promoted. SUPPORTING MATERIAL FOR ALL STAGES Workforce Transition Checklist • Refer to applicable Certified Agreement(s).


ER - VOLUNTARY SEPARATIONS STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence discussions with affected employees. Actions • Establish policy, process and timeframes to: call for; assess; and implementing voluntary redundancies. • Identify affected employees and commence discussions. • Ensure EAP and outplacement services are accessible and promoted. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Continue to case manage all employees affected. Actions • Establish policy, process and timeframes to: call for; assess; and implementing voluntary redundancies. • Identify affected employees and commence discussions. • Ensure EAP and outplacement services are available and promoted. SUPPORTING MATERIAL FOR ALL STAGES Workforce Transition Checklist


ER - CASUAL AND TEMPORARY EMPLOYEES STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Employees are engaged, informed and have a clear understanding of the transition plan and impact. Actions • Establish transition plan and process. Explore local placement/job share opportunities. • Standardise documentation and contracts. • Identify possibility of loss of corporate knowledge. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Employees are engaged, informed and have a clear understanding of the transition plan and impact. Actions • Identify extent of transition. • Review termination dates and reinstatement dates if applicable. • Maintain communications. SUPPORTING MATERIAL FOR ALL STAGES Workforce Transition Checklist


ER - APPRENTICESHIPS AND TRAINEESHIPS STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Advise trainees, apprentices and cadets of the continuity of their programs as appropriate. Actions • Audit trainee, apprentice or cadetship schemes, contracts with external providers (such as a Group Training Scheme). Supporting Material for all Stages There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


ER - MONITORING AND REPORTING STAGE 4: JUNE 2015 – ONWARDS Objective • Monitor and report progress. Actions • Commence monitoring and reporting of transition including employee transmittal, employee morale, customer satisfaction and impact to service delivery model. Supporting Material for all Stages There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


OD - TRAINING AND DEVELOPMENT STAGE 1: NOW – JULY 2014 Objective • Commence mapping of current professional training and development programs. Corporate systems and process training will be required. Begin to identify re-training options and requirements as necessary. Actions • Collate and review all training and development schedules – current and pending. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Training and Development Plans reflect: re-training; orientation and induction; and organisationwide T & D i.e. management and leadership competency. Actions • Develop an organisation training framework in readiness for the finalisation of organisational systems, software and processes and the necessary employee training required to operate and /implement same. • Identify skill gaps and develop new training programs. Identify any technical re-training options and requirements as necessary. • Develop organisation induction / orientation program for employees. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Update future training requirements and schedules. • Identify and commence (if possible) any re-training of redeployed employees to different positions / inheriting new responsibilities. Actions • Continue corporate systems training for relevant employees. • Continue with organisational orientation sessions for all employees where necessary. • Ongoing identification of re-training options and requires as necessary. STAGE 4: JUNE 2015 – ONWARDS Objective • Ongoing implementation of Training and Development plan. • Monitor and review requirements. • Monitor performance and effectiveness of training. Actions • Continue corporate systems training for relevant employees. • Continue with organisational orientation sessions for all employees where necessary. • Identify re-training options and requires as necessary. SUPPORTING MATERIAL FOR ALL STAGES Human Resource Change Management Plan HR Induction Process (City of Joondalup) Employee Induction Handbook Inside Staff Employee Induction Handbook Outside Staff


OD - ORGANISATIONAL DEVELOPMENT (OD) STAGE 1: NOW – JULY 2014 Objective • Continue to engage employees in the reform process. Assess current levels of engagement and encourage employees to communicate or become actively involved in transition activities. Actions • Develop an enterprise-wide change management strategy. • Engage all levels of management. • Determine current skill levels internally in relation to: change management, culture change, leadership, problem solving, emotional intelligence and other change skills and competencies. • Consider implementing employee engagement survey to benchmark current level of engagement and track continuous improvement. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop a draft consolidated OD Plan for the new entity. • Cultural and change management strategies are implemented and reviewed. • Level of employee engagement is monitored and responded to accordingly. Actions • Review all current OD Plans from the merging Local Governments and commence consolidation. • Develop a change management strategy to encapsulate all merging Local Governments. Establish consistent strategies and outcomes. Commence implementation as soon as possible. • Consider implementing employee engagement survey to measure satisfaction levels and effectiveness of OD strategies. • Review change management skills and competencies and develop a training program to support key change leadership positions. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Merging cultures and change management strategies are implemented and reviewed. Actions • Continue to monitor and review OD strategies and the effectiveness of the initiatives. • Level of employee engagement is monitored and responded to accordingly. STAGE 4: JUNE 2015 – ONWARDS Objective • Level of employee engagement is monitored and responded to accordingly. • Finalise new OD Plan for new entity. Actions • Consider implementing employee engagement survey (September 2015) to monitor cultural impact. • Ensure OD strategies address post-merger issues. SUPPORTING MATERIAL FOR ALL STAGES Corporate Values - Example of definitions • Refer to the Function: Leading and Managing Change


OD - PERFORMANCE MANAGEMENT FRAMEWORK STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop draft framework and procedures for the new entity. Actions • Review current performance management frameworks. • Develop a standardised framework including templates, processes, appraisals, corporate values etc. • Merge and diarise all employee appraisals. STAGE 4: JUNE 2015 – ONWARDS Objective • Finalise and implement performance management framework and procedures for the new entity. Actions • Develop a standardised framework, processes and templates. Ensure integration with the IPR Framework. • Develop a training package for all employees and employees with management/supervisory responsibilities. • Merge and diarise all employee appraisals. • Implement the training program for all employees. May need to be staged. SUPPORTING MATERIAL FOR ALL STAGES There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


INTEGRATED PLANNING & REPORTING ESTABLISH THE IPR FRAMEWORK STAGE 1: NOW – JULY 2014 Objective • Identify current state and the existing IPR Framework and supporting processes and reporting requirements. Actions • Collate and review the existing IPR Framework and policies. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Establish processes and systems for a revised Integrated Planning and Reporting Framework within the new entity / adjusting Local Government. • Implement an IPR project plan to facilitate the consolidation of all IPR related plans. • Communicate the IPR framework and process to employees and relevant stakeholders. Actions • Establish IPR implementation project plan. • Plan and document the IPR framework for the new entity. Determine timeframes for establishing IPR processes and systems (including business systems) for the new entity. • Determine internal capacity to implement IPR – resourcing and skill level. • Establish a risk management approach for the Local Government. • Establish integration links within the existing Local Governments to the new entity framework. • Develop and implement an internal communications strategy to keep employees informed. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Implement the IPR project plan to facilitate the consolidation of all plans. • Continue to communicate the IPR framework and process to employees and relevant stakeholders. • Consult stakeholders. Actions • Finalise the IPR Framework and supporting policy if required. • Finalise the risk assessment and embed into the enterprise-wide risk management plan. • Establish integration links within the existing Local Governments to the new entity framework (establish linkages between financial planning, workforce planning, asset management and other informing plans). • Develop a consultation plan. Document future engagement and consultation strategies. • Develop and implement an internal communications strategy to keep employees informed.


STAGE 4: JUNE 2015 – ONWARDS Objective • Finalise and implement the revised IPR Framework. • Establish a schedule of planning to support legislative requirements and community expectation. • Adopt policy if applicable. Actions • Consolidate all existing Local Governments IRP plans into the new entity framework. • Determine and implement appropriate engagement and consultation strategies. • Continue to communicate with employees. SUPPORTING MATERIAL FOR ALL STAGES DLGC Integrated Planning and Reporting Example IPR process for merging Local Governments Introduction to Risk Management IPR Implementation – Summary Table


DEVELOP A STRATEGIC COMMUNITY PLAN (SCP) STAGE 1: NOW – JULY 2014 Objective Development of a new SCP is at the discretion of the amalgamating or merging Local Governments. It is anticipated that the Governors Orders will push out the review date. An understanding of the existing SCP’s is still required though to inform future planning. Actions • Collate the recent history of community consultation activities in relation to the development of the SCP (will assist in understanding strategic intent of SCP). STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Review current SCP’s from merging Local Government. Determine and document a strategy for managing the SCP’s (some Local Governments may choose to undertake a desk top exercise only). Actions • Collate and review all existing Strategic Community Plans. Identify relevant IPR frameworks and processes. • Determine internal capacity to review/develop a new SCP. Consider the establishment of a SCP development project plan, including key timeframes, desk top review options and community consultation. • Identify areas of parity and difference and place management strategies. • Determine appropriate community consultation methodologies • Develop and implement an internal communications strategy to keep employees informed. • If required, develop an IPR policy and outline the management of the merging Local Governments SCP’s. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Identify and address key objectives from the SCP’s in the future IPR model. Ensure integration with the Corporate Business Plan and Long Term Financial Plan. Actions • Finalise consolidation of the SCP’s. • Ensure place management issues are included. • Develop a revised performance metric to support implementation and reporting. STAGE 4: JUNE 2015 – ONWARDS Objective • If required, adopt changes to the SCP. Implement the revised /new IPR Framework. • Adopt policy if applicable. Actions • Finalise changes to the SCP’s systems and process and performance measures. • If applicable, adopt and give local public notice. • Continue to engage employees and community.


SUPPORTING MATERIAL FOR ALL STAGES DLGC Integrated Planning and Reporting Community Engagement • Refer to Function: Community Consultation • Refer to Function: Risk Management


DEVELOP AN INTERIM OR NEW CORPORATE BUSINESS PLAN (CBP) STAGE 1: NOW – JULY 2014 Objective • Identify current state Actions • Collate all the informing documents for the CBP in readiness for review STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence the development of the new Corporate Business Plan (or Interim Corporate Business Plan. Actions • Establish a CBP development project plan, including key timeframes and responsibilities. • Collate and review all Local Government’s existing corporate business plans and informing plans. • Identify relevant IPR systems and processes. • Establish CBP inclusion/exclusion criteria. • Determine internal capacity to develop a new CBP – dedicated resources and skills. • Commence the development of the new CBP through IPR process linking to and integrating with the new Long Term Financial Plan. • Ensure linkages across the merging Local Governments with the interim service delivery model, interim organisation structure, workforce plan and annual budget (2014/15 and 2015/16). STAGE 3: APRIL 2015 – JUNE 2015 Objective • Complete the planning process and review of existing Corporate Business Plans. • Commence consolidation of the Corporate Business Plans to support the Annual Budget – including Service Plans, Long Term Financial Plan and other informing strategies. Actions • Continue the development of the new CBP through the IPR process and integrating with the Long Term Financial Plan and Annual Budget preparation. • Prepare supporting processes and reporting framework to support the CBP. • Develop a training package for employees. STAGE 4: JUNE 2015 – ONWARDS Objective • Finalise and adopt the new or Interim Corporate Business Plan. Actions • Continue to further refine the CBP through the IPR process. • Implement performance measures and reporting. • Support the implementation of the CBP with a structured communications and training plan.


SUPPORTING MATERIAL FOR ALL STAGES DLGC Integrated Planning and Reporting CBP - Incorporating issue specific planning • Refer to Function: Financial Management • Refer to Function: Risk Management • Refer to Function: Service Delivery Model • Refer to Function: Asset Management


DEVELOP A SERVICE / OPERATIONAL PLAN STAGE 1: NOW – JULY 2014 Objective • Collate and review / update all operational and service plans and supporting or informing documentation and plans. Actions • Collate all services currently provided.

 Ensure w orkforce plan is current

STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Identify the services to be delivered to the community by the new entity. • Establish integrated plans to facilitate service delivery. • Engage with community on services and levels of service required. Actions • Collate and review all current service plans. Identify areas of parity and difference. Identify place management services/functions. Establish inclusion/exclusion criteria. • Determine services to be delivered. (In line with the development / review of the SCP and coordinated through the development of the CBP). Audit for alignment to new CBP. • Establish service delivery and project plans. • Ensure enterprise-wide integration across the merging Local Governments and with other Council functions. • Review, amend and include workforce plan strategies. • Align new plans with the interim organisation structure. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Establish integrated plans to facilitate service delivery and agreed levels of service. • Determine budgets and resources and integrate with the Annual Budget. • Engage with community on services and levels of service required. Actions • Align new plans with the interim organisational structure. Establish service delivery and project plans to oversee implementation and service provision. • Integrate with the new Long Term Financial Plan and Annual Budget preparation. • Where required, ensure ongoing engagement with community (internal and external stakeholders, residents, ratepayers, visitors etc.). • Identify workforce implications for the new entity, including priorities, actions and responsibilities, also asset management and long term financial planning requirements. • Update the workforce plan and align with the interim organisation structure. • Review premises/facilities requirements. • Ensure all procedures, fees and charges are well communicated to staff. • Prepare induction and orientation programs for employees.


STAGE 4: JUNE 2015 – ONWARDS Objective • Implement service / operational plan. • Measure performance of services and respond accordingly. Actions • Review and implement workforce plan strategies. • Develop and implement performance measures. • Maintain appropriate levels of community engagement and communication. • Implement new procedures, fees and charges and support employees with site/workplace inductions. SUPPORTING MATERIAL FOR ALL STAGES IPR Framework – Operations Planning • Refer Function: Service Delivery • Refer Function: Organisation Structure - interim • Refer to Function: Financial Management • Refer to Function: Risk Management • Refer to Function: Asset Management


INTERIM CEO INDUCTIONS STAGE 4: JUNE 2015 – ONWARDS Objective • For amalgamation purposes: o Outgoing CEO and executive team to induct Interim CEO and Commissioner(s). o Acknowledge contribution made by the outgoing CEO and Council. Actions • Outgoing CEO (if available) and executive team to induct the newly appointed interim CEO and Commissioner(s). Due Diligence Report to be part of the induction program. • Interim CEO to formally acknowledge the contribution of the outgoing CEO and Council. Supporting Material Elected Member Induction Framework – Example DLGC Guidelines No4 Elected Members Inductions


CHANGEOVER DAY STAGE 4: JUNE 2015 – ONWARDS Objective • Review plans for changeover day (if timing allows). • Execute brilliantly. Actions • Ensure changeover day plans are in place. Key risks identified and mitigated. • Media management plan in place. • Interim CEO/CEO and executive team are proactively involved in the workplace (i.e. visible and accessible to employees – more hands on to promote a positive environment) Supporting Material for all Stages • Refer to Function: Management: CEO and Executive Team • Refer to Function: Changeover Day – Guidelines


FIRST MEETING OF THE NEW ENTITY STAGE 4: JUNE 2015 – ONWARDS Objective • With administration support from the interim CEO, Commissioner(s) to conduct the inaugural meeting of the Council. Actions • In accordance with legislative requirements, conduct the inaugural meeting of the new entity. Relevant statutory and strategic items adopted. Supporting Material for all Stages Commissioners role and the inaugural meeting Special Council Meeting Agenda – 1 July 2011 City of Greater Geraldton


COUNCIL ELECTIONS STAGE 4: JUNE 2015 – ONWARDS Objective • Project Manage the October 2015 Council Elections. • Prepare Changeover Plan for newly elected Council. Actions • August 2015. Establish project team and determine method – Postal or In Person. • Engage Electoral Commission. • Pre-election tasks to be completed. • Appoint Returning Officer. • Amalgamation: Support the Commissioner in the development of a Changeover Plan for the newly elected Council with a summary of the reform process to date including key risks. • Induct the newly appointed Council. • Acknowledge the contribution made by the outgoing Commissioner. Supporting Material for all Stages Manuals, Candidate Information kits and Election timetable tool


INDUCTIONS FOR NEW COUNCIL STAGE 4: JUNE 2015 – ONWARDS Objective • Interim CEO to implement Elected Members Induction Program. • Formally acknowledge contribution from outgoing Commissioner. Actions • Interim CEO and executive team to induct the new Council. • Council to formally acknowledge the contribution of the outgoing Commissioner Supporting Material for all Stages Elected Member Induction Framework- Example DLG Guidelines No4 Elected Members Inductions


GOVERNANCE STAGE 4: JUNE 2015 – ONWARDS Objective • Implement all statutory and strategic requirements for the newly elected Council and Councillors. Actions • In accordance with legislative requirements, establish committees of Council, relevant working groups, Councillor allowances and other governance requirements. Supporting Material for all Stages List of example of meeting guides: Full list • Guideline No 3 Managing Public Question Time • Guideline No 5 Council Forums • Guideline No 6 Disruptive Behaviour by the Public at Council Meetings • Guideline No 7 Clarity in Council Motions • Guideline No 9 Audit in Local Government (explains the role of the Audit Committee which is a statutory Committee of Council) • Guideline No 12 Elected Members relationship with Developers • Guideline No 15 Meeting Fees, Allowances and Expenses for Elected Members Operational Guidelines • Guideline No 5 Meetings fees allowances expenses for Elected Members (currently being revised) • Guideline No 20 Disclosure of Financial Interests at meetings


RECRUITMENT OF THE INTERIM CEO (FOR AMALGAMATION PURPOSES) STAGE 2: AUGUST 2014 – MARCH 2015 • An Information Pack is currently being developed which will outline the recruitment process for the Interim CEO (for amalgamation purposes) and a Project Director (if required). Supporting Material Executive Recruitment


LEADING & MANAGING CHANGE CHANGE MANAGEMENT High Risk Function that can have a significant or detrimental impact if not managed effectively. STAGE 1: NOW – JULY 2014 Objective • Develop and implement a Change Management Plan. • Demonstrate strong leadership in the change process through effective communication, guidance and engagement at all levels. Actions • Develop a Change Management Framework and assign responsibilities. • Establish the People and Culture Working Group (or similar entity to drive the change process and employee engagement). • Engage and develop executive and management teams in leading change principles and practices. • Undertake a skills audit of employees in key change leadership positions. Develop a training and development plan to support staff. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Implement the Change Management Plan and change leadership capabilities. Actions • Identify risk factors and determine business impact of change across all stages of transition. Modify strategies accordingly. • Continue to build capacity and capability in managing and leading change. • Support the involvement of staff wherever possible in service and delivery planning. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Continue to implement change management strategies and monitor effectiveness. • Articulate the mandate for change to take place, empowering employees to engage in the transition process. Actions • Monitor progress and address issues as they arise. Provide regular information and progress updates and celebrate successes achieved to date.  Ensure leaders and change line managers have adequate resources in addition to personal support (they will be managing employee relations in addition to service and structural changes).  C om m unicate draft o structure and reporting lines and strategic direction as soon as available. STAGE 4: JUNE 2015 – ONWARDS Objective • Continue to support management and change leaders. • Ensure enterprise-wide internal communications are targeted and consistent. Actions • Engage with staff during post changeover to provide assurance, information and progress against objectives. • Formally and informally recognise past achievements and contributions from terminating bodies. • Update the Change Management Plan to reflect post-merger environment, risks and actions.


SUPPORTING MATERIAL FOR ALL STAGES Checklist – Leading and Managing Change DLGC HR Change Management Plan and Template Leading and managing change overview Presentation – Leadership in the Management of Change Leadership and Change Slides John Kotter – 8 Step Process for Leading Change


PEOPLE AND CULTURE High Risk Function that can have a significant or detrimental impact if not managed effectively. STAGE 1: NOW – JULY 2014 Objective • Identify and plan strategies to increase participation, reduce anxiety and support culture blending and seamless transitions. Actions • Establish the People and Culture Working Group (or similar entity to drive the change process and employee engagement). • Develop and implement the People and Culture Survey initiative. • Determine current and desired cultural attributes and risks. • Promote and encourage team building activities. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Build tools and resources to inform and engage staff and key stakeholders. • Establish baseline data and review processes. • Recognise and support achievement. Actions • Carry out initial People and Culture Survey. • Identify different workplaces and workgroup cultures and adapt strategies accordingly. • Develop communication and information resources. • Establish peer support networks and commence engagement processes. • Develop cultural performance measures and monitor strategies. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Engage, consult and build commitment, ownership and voluntary participation in the preparation for the new entity changeover. Actions • Review communication strategies. • Monitor workplace for issues and resistance and address accordingly. • Develop and implement culture blending activities and strategies. • Support the involvement of staff wherever possible in service and delivery planning. • Re-survey staff and communicate results. • Prepare a People and Culture Summary Report for inclusion in the Due Diligence Report.


STAGE 4: JUNE 2015 – ONWARDS Objective • Review the people and culture strategies and modify accordingly. Focus on corporate values, team work and common vision. Actions • Re-survey staff (Sept 2015). • Celebrate the operation of the new entity as soon as possible with all employees (and previous Council/CEO is applicable). • Begin to normalise the changes in all communications going forward. • Ensure communication and feedback loops are kept open and robust. • Continue to celebrate milestones and positive outcomes and manage employee issues and transition difficulties with empathy. • Ensure employee support mechanisms and communication plans remain in place and are monitored for at least the first year post transition. SUPPORTING MATERIAL FOR ALL STAGES Presentation - Leadership in the management of Change Employee Engagement - People and Culture Survey Example Terms of Reference People and Culture Working Group Team Building Shire of Mundaring Workplace Culture Framework Corporate Values - Example of definitions John Kotter – 8 Step Process for Leading Change • Refer to Function: Human Resource Management (Organisational Development) • Refer to Function: Due Diligence


LEGAL LEGAL PROCEEDINGS STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Ensure the merging partners have a consolidated list of all current legal proceedings. Actions • Prepare and maintain a register of all ongoing and potential legal proceedings relating to the Local Government. Include current and forecasted costs and potential impact of proceedings (financial and other). • Maintain records. Ensure all legal files are up to date with all pleadings on record. • Include Legal Register in Due Diligence Report due end of Stage 1: Now – July 2014. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Ensure the merging partners have a consolidated list of all current legal proceedings. Actions • Update Legal Register and include in Due Diligence Report due end of Stage 3: April 2015 – June 2015. Include current and forecasted costs and potential impact of proceedings (financial and other). • All files transferred to the new entity with stakeholders advised. Prior to transfer of legal matters to the new entity, legal advice should be obtained as records/files may become the responsibility of another Local Government due to the nature of the claim. SUPPORTING MATERIAL FOR ALL STAGES • The Local Government Act 1995 schedule 2.1 clause 11(d) and Regulation 6(4)(f) of the Local Government (Constitution) Regulations 1998. • Refer to Function: Due Diligence


LEGAL BUSINESS UNIT STAGE 3: APRIL 2015 – JUNE 2015 Objective • Review services, functions and mode of delivery (in-house / outsourced) and resources required. Actions • In partnership with the HR business unit, map roles, responsibilities and desired functions for the new entity. Review budgets across the entities. • In line with the interim organisation structure project, determine functions and services to be delivered internally / out-sourced. Establish budgets. Supporting Material for all Stages • Refer to Function: Organisation Structure – Interim • Refer to Function: Service Delivery


LEGISLATION LEGISLATION STAGE 1: NOW – JULY 2014 Objective • To provide Local Governments with legislative requirements relating to reform. Actions • For reference. Supporting Material for all Stages Local Government (Constitution) Regulations 1998 Governor’s Orders Example of Governor’s Orders to Legislation Local Government Act 1995 Schedule 2.1


LOCAL GOVERNMENT AMALGAMATION GUIDE 2013 (NOT LEGISLATED) STAGE 1: NOW – JULY 2014 Objective • To provide Local Governments with a high level summary of requirements relating to reform. Actions • For reference. Supporting Material for all Stages DLGC Local Government Amalgamation Guide 2013


MANAGEMENT: CEO & EXECUTIVE TEAM ADMINISTRATION SUPPORT STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Ensure the Office of the CEO is resourced adequately for reform. Actions • Consider the impact of reform upon the Office of the CEO and implement resources accordingly i.e. appoint a project support officer / project administration officer, communications officer. Supporting Material for all Stages There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


PROJECT MANAGEMENT STAGE 1: NOW – JULY 2014 Objective • Develop and implement an overarching project plan to manage the reform process. Actions • Establish and implement an overarching project plan to oversee the reform process. • Establish and activate key working groups with Terms of Reference (TOR). • Confirm and communicate to the workforce the governance framework including the relationship between Council, LIC, metRIC and project director. • Develop and implement a change management plan. • Develop a risk management plan for the reform process. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Ensure effective project management. Reassess timelines, resourcing, risks and barriers. • Review communications plans. Actions • In partnership with merging entities, establish one plan project plan. Review actions against key tasks and milestones. • Ensure monitoring and performance of all project activities is reported accurately and consistently. • Implement the change management plan. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Ensure effective project management. Actions • Audit project plan against key tasks and milestones. • Ensure monitoring and performance of all project activities is reported accurately and consistently. • Continue to implement and review the change management and communications plans. STAGE 4: JUNE 2015 – ONWARDS Objective • Ensure effective project management. Actions • Audit project plan against key tasks and milestones. • Ensure monitoring and performance of all project activities is reported accurately and consistently. • Continue to implement and review the change management plan. • Review membership of the working groups.


SUPPORTING MATERIAL FOR ALL STAGES Example Terms of Reference • Refer to Function: Project Management • Refer to Function: Internal Communications • Refer to Function: External Communications • Refer to Function: Leading and Managing Change • Refer to Function: Risk Management • Refer to Function: Due Diligence


CHANGEOVER DAY (FIRST WEEK) STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop changeover day and implementation plan for all divisions. Identify key risks are develop mitigating action. Actions • Review, revise and communicate plan. • Manage associated risks, remove barriers. • Review the effectiveness of two-way, communication channels. STAGE 4: JUNE 2015 – ONWARDS Objective • Changeover Day plan is implemented. • Management teams are scheduled to be highly visible and accessible during the first week. Actions • Manage associated risks, remove barriers. • Review the effectiveness of two-way, communication channels. • Media management plan in place. • Plan for the Interim CEO/CEO and executive team, ensuring all are proactively involved in the workplace during the first week of transition (i.e. visible and accessible to employees – more hands on to promote a positive environment and build morale). SUPPORTING MATERIAL FOR ALL STAGES Preparing for Changeover Day Customer Service Changeover Day Checklist example


DUE DILIGENCE STAGE 1: NOW – JULY 2014 Objective • Commence the due diligence process in readiness for Stage 2: August 2014 – March 2015 and the announcement of the new entity. Actions • Develop a due diligence process that captures and documents the current state of the organisation. • Prepare a summary report that will inform the next stage of the transition stage with the merging Local Government(s). STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Distribute the due diligence report to Council, LIC and CEOs. Refer to baseline information to inform the initial project planning across the merging entities. Actions • Finalise the due diligence process. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Updated due diligence report is presented to Council, LIC and used as part of the induction program for the interim CEO and Commissioner(s) – if applicable. Actions • Finalise the due diligence process and prepare report. • Prepare a handover summary plan for the incoming interim CEO and Commissioner(s). SUPPORTING MATERIAL FOR ALL STAGES • Refer to Function: Due Diligence


GOVERNORS ORDERS STAGE 1: NOW – JULY 2014 Objective • Recommendations to modify the Act are submitted – Wards (s. 2.2(1)(a) and 2.3(2) of the Local Government Act 1995) and Consequential directions (Local Government Act 1995, s 9.62). Actions • Recommendations to modify the Act are submitted to the LGAB and reflected in the Wards and Consequential directions of the Governors Orders. This will provide direction to the new entity in relation to the wards and names of wards, Integrated Planning and Reporting requirements (Local Government Act 1995, s 5.56); imposing differential rating (s 6.33) and Local Laws (s 3.12). This may vary in line with individual Local Government requirements. Supporting Material Example of Governors Orders LG (Constitution) Regulations 1998 Governor’s Orders


ASSET OWNERSHIP AND TRANSFER STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Clarify the impact of boundary changes upon asset ownership and liabilities. • Develop an Action Plan to satisfy all financial, legal and governance requirements. Actions • Identify the impact of the boundary changes to existing (and proposed) assets and liabilities and service provision. Develop an Action Plan to address: o asset excision and ownership o asset related liabilities and debt o FCWP and LTFP o Employees o Developer contributions o Major projects o Contractors o Plant and Equipment • Determine the flow on affect to allocation of employees, plant and equipment, developer contributions and FCWP. • Identify impact to service delivery and standards and rationalisation options. • Establish a stakeholder engagement plan including developers (if applicable). STAGE 3: APRIL 2015 – JUNE 2015 Objective • The impact of boundary changes upon asset ownership and liabilities is finalised. Actions • Negotiation relating to the distribution of assets, resources and liabilities is finalised. Documentation is prepared. Changes are reflected in the workforce plans, asset and financial schedules etc. SUPPORTING MATERIAL FOR ALL STAGES Property Transfer Information Sheet • Refer to Function: Asset Management • Refer to Function: Long Term Financial Plan


INDUCTION AND HANDOVER STAGE 3: APRIL 2015 – JUNE 2015 Objective • Induct interim CEO and Commissioner(s) – if applicable. • Commence recruitment of the new CEO (if applicable and depends upon the new model – this process may start earlier). Actions • Preparation for the handover to the Interim CEO and Commissioner(s) is finalised. • Collate all necessary information and reports for handover. Could include: o Due Diligence Report o Overall Transition Plan update o Changeover day plan • Liaise with HR Department and commence CEO recruitment process. Supporting Material for all Stages Executive Recruitment • Refer to Function: Due Diligence • Refer to Function: Changeover Day


RECRUITMENT OF THE CEO POSITION (BOUNDARY CHANGES) AND PROJECT DIRECTOR STAGE 2: AUGUST 2014 – MARCH 2015 An Information Pack is currently being developed which will outline the recruitment and appointment process for the CEO position (Boundary Changes) if applicable, and the appointment of a Project Director (if required). Supporting Material Executive Recruitment


MARKETING & BRAND MANAGEMENT STRATEGIC MARKETING STAGE 1: NOW – JULY 2014 Objective • Establish current state of all marketing and brand management functions. Actions • Collate and review all relevant marketing plans, processes and systems. • Prepare an inventory of all key events and activities. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop a consolidated Strategic Marketing Plan for the merging Local Governments. • Commence development of an interim business unit structure. Actions • Commence consolidation and mapping of all current strategies, policy, systems, processes, actions and resources. • Identify key areas of difference. Determine business unit functions and responsibilities. Identify better practice and service delivery model (in-house / outsourced / combination). • Commence mapping of staff resources, roles and responsibilities for interim organisational structure. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Implement the consolidated Strategic Marketing Plan for the merging entities. • Finalise the interim marketing business unit structure – implement changes where possible. Actions • In consultation with stakeholders, finalise the Strategic Marketing Plan with policy and processes. • Finalise performance metrics. • Finalise mapping of staff resources, roles and responsibilities for interim organisational structure. • Where possible, commence mobilisation of employees and resources, employee induction program and systems integration. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the consolidated Strategic Marketing Plan for the merging Local Governments. • Adopt policy if applicable. • Implement the interim business unit structure. Actions • Implement Strategic Marketing Plan with supporting policy and processes. • Ensure training is delivered to support staff through any process changes. • Finalise mapping of staff resources, roles and responsibilities for interim organisational structure. • Finalise mobilisation of employees and resources, employee induction program and systems integration.


SUPPORTING MATERIAL FOR ALL STAGES Marketing and Communications Strategy Framework • Refer to Function: Communications • Refer to Function: Community Consultation • Refer to Function: Organisation Structure – Interim


BRAND MANAGEMENT STAGE 1: NOW – JULY 2014 Objective • Establish current state of brand strategy in preparation for review. Actions • Collate and review all relevant plans, processes and systems. • Link with relevant internal working groups. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Where applicable, implement a Re-branding strategy including a community consultation strategy and staff engagement strategy. Actions • Develop a Re-branding strategy with resourcing and budget requirements for approval. • Commence stakeholder consultation. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Implement a Re-branding strategy including a community consultation strategy and staff engagement strategy. Actions • Review and implement changeover plan for new brand/logo and commence ordering of new collateral. Staged the roll-out in order of priority re-badging. NOTE: not all collateral and signage will be replaced prior to changeover day. • Commence employee and community education campaign for the new logo, tag line (if applicable), image, brand story and brand attributes. • Escalate approval process for new brand strategy and supporting collateral. • Determine uniform changeover strategy. STAGE 4: JUNE 2015 – ONWARDS Objective • Continue with implementation of Re-branding strategy. Actions • Continue to implement the Re-branding strategy. • Continue with staged roll-out of new corporate image material. • Continue community education campaign for the new corporate image. SUPPORTING MATERIAL FOR ALL STAGES Marketing and Communications Strategy Framework Checklist: Corporate Image and Re-branding Inventory • Refer to Function: Communications • Refer to Function: Community Consultation


NATIVE TITLE SOUTH WEST NATIVE TITLE AGREEMENT STAGE 1: NOW – JULY 2014 Objective • Await the outcomes of the new uniform strategy for the management of Aboriginal cultural heritage (as a result of the cessation of the Native Title Act 1993). Once the actions are completed WALGA will notify Local Governments of the impact. Actions • The actions outlined below are being undertaken by the following parties on behalf of the Local Governments: o Department of Premier & Cabinet o South West Land and Sea Council (SWLASC) o WALGA Senior Community Policy Advisor • Actions by WALGA: o Identify aspects of the SW Agreement that impact on Local Government. o Identify Local Governments with relevant policy documents. o Insert a review mechanism/point of contact to ensure up-to-date information is provided to the affected Local Governments. o Identify potential impacts on Local Government to assist with future service provision planning. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Await the outcomes of the new uniform strategy for the management of Aboriginal cultural heritage (as a result of the cessation of the Native Title Act 1993). Once the actions are completed Local Governments will be advised of the impact. Actions • The actions outlined below are being undertaken by the following parties on behalf of the LG’s: o Department of Premier & Cabinet o SWLASC o WALGA Senior Community Policy Advisor • Actions by WALGA: o Identify aspects of the SW Agreement that impact on Local Governments. o Identify LGs with relevant policy documents. o Insert a review mechanism/point of contact to ensure up-to-date information is provided to affected Local Governments. o Identify potential impacts on Local Government to assist with future service provision planning.


STAGE 3: APRIL 2015 – JUNE 2015 Objective • Await the outcomes of the new uniform strategy for the management of Aboriginal cultural heritage (as a result of the cessation of the Native Title Act 1993). Once the actions are completed Local Governments will be advised of the impact. Actions • The actions outlined below are being undertaken by the following parties on behalf of the Local Governments: o Department of Premier & Cabinet o SWLASC o WALGA Senior Community Policy Advisor • Actions by WALGA: o Identify aspects of the SW Agreement that impact on Local Governments. o Identify Local Governments with relevant policy documents. o Insert a review mechanism/point of contact to ensure up-to-date information is provided to affected Local Governments. o Identify potential impacts on Local Government to assist with future service provision planning. STAGE 4: JUNE 2015 – ONWARDS Objective • Await the outcomes of the new uniform strategy for the management of Aboriginal cultural heritage (as a result of the cessation of the Native Title Act 1993). Once the actions are completed Local Governments will be advised of the impact. Actions • The actions outlined below are being undertaken by the following parties on behalf of the Local Governments: o Department of Premier & Cabinet o SWLASC o WALGA Senior Community Policy Advisor • Actions by WALGA: • Identify aspects of the SW Agreement that impact on Local Governments. • Identify Local Governments with relevant policy documents. • Insert a review mechanism/point of contact to ensure up-to-date information is provided to affected Local Governments. • Identify potential impacts on Local Government to assist with future service provision planning. SUPPORTING MATERIAL FOR ALL STAGES Department of Premier and Cabinet website South West Aboriginal Land and Sea Council (SWALSC) SWALSC Newsletter August 2013


ORGANISATIONAL STRUCTURE – INTERIM INTERIM ORGANISATION STRUCTURE STAGE 1: NOW – JULY 2014 Objective • Review, update and document all necessary data in preparation for comparative analysis and transition planning. • Implement project plan, commence mapping of existing structures and staffing levels. • Establish internal communications. Actions • Review current organisational structure of merging entities. • Map all functions, staff and business units. • Review Strategic Community Plan and Corporate Business Plans for strategic direction, key goals and objectives. • Ensure current organisation structure chart is current. • Ensure Workforce Plan is updated. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • In partnership with all business units, commence mapping of existing structures and staffing levels and the development of an interim model in line with proposed service provision and service delivery model. • Develop and implement an internal communications plan. Actions • Review current organisational structure of merging Local Governments. • Collate and map all functions, staff and business units. • Engage unions. • Review Strategic Community and Corporate Business Plans for strategic direction, key goals and objectives. • Identify key services and functions and geographical location. • Identify executive roles and responsibilities and interim structure. • Determine desired type of structure for new entity i.e. Functional, Geographical or Hybrid. • Working with operational staff, determine interim structure in line with proposed service provision and service delivery model. • Review, publish and communicate interim structure. • Interim Organisation Structure Implementation Plan to be developed. This will vary across the sector and will be customised to suit each Local Government model. • Develop budgets and document all associated costs. • Commence re-alignment with a top down approach (recommended) to establish key lines of management. • Confirm, and communicate executive management structure. • Executive management team to consult with incumbent middle management to develop third line management structure and so on.


STAGE 3: APRIL 2015 – JUNE 2015 Objective • Confirm appointments and mobilise employees if applicable. • Continue internal communications. • Continue to implement the Interim Organisation Structure Implementation Plan. • Consider a top down staged approach. Actions • Commence design of HR systems and processes to support the new structure and entity – industrial relations framework, reward and recognition, performance management frameworks, talent management etc. • Budgets confirmed and included in LTFP and annual budget 2015/16. • Redeployment and voluntary redundancy matters are case managed. • Prepare new policy(s) where applicable. • Interim structure reviewed and ratified, published and communicated. Prepare for adoption. • Commence recruitment and transmittal of employees where possible. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt interim organisation structure. • Escalate implementation of interim structure. • Continue internal communications. • Support employees through the changeover period. • Embed new HR systems and processes. Actions • Monitor the effectiveness of transition and employee satisfaction / well-being. • Monitor service delivery and satisfaction levels. Establish metrics. • Prepare policies for adoption. • Develop induction and training program. • Advise external stakeholders of any impact of the changes. SUPPORTING MATERIAL FOR ALL STAGES Interim Organisation Structure – Considerations Human Resource Change Management Plan Workforce Transition Checklist • Refer to Function: Service Delivery Model • Refer to Function: Human Resource Management • Refer to Function: Risk Management • Refer to Function: Financial Management


INTERIM ORGANISATION STRUCTURE – PROJECT MANAGEMENT STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Establish a project management framework for the new interim structure. Actions • Develop a comprehensive project plan, TOR and activate a working group. • Communicate project deliverables to all stakeholders. • Document key tasks and milestones to achieve project objectives. Supporting Material for all Stages Example Terms of Reference Refer to Function: Project Management Refer to Function: Leading and Managing Change


PLANNING & DEVELOPMENT WALGA will be undertaking workshop sessions in collaboration with the Local Government Planners Association and the Planning Institute of Australia to further develop Planning information for this Toolkit. In some instances, Local Governments will be responsible for administrating more than one scheme, so it is important that interim transitional arrangements are considered and ultimately, that these schemes are unified to avoid inconsistent town planning provisions. Also, it will be important that the WAPC completes the preparation of the metropolitan sub-regional structure plans and the urban consolidation plan for inner suburban local governments, to provide clear guidance on what could be included in the new planning schemes. The workshops will be held in the upcoming months with senior local government planning officers, with additional information for the Toolkit to be completed by 31 March 2014.

STRATEGIC AND STATUTORY PLANNING STAGE 1: NOW – JULY 2014 Objective • Collate and analyse the existing strategic and statutory plans / schemes and planning processes for eventual harmonisation. Actions • Commence an audit of the Strategic and Statutory planning frameworks. • Identify specific precinct or place management issues in relation to the individual Local Governments Local Planning Scheme. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence the analysis of the existing strategic and statutory plans / schemes and planning processes. • Ensure regular and relevant communication with all planning customers, developers and other stakeholders. Actions • Commence the review of the merging Local Governments Strategic and Statutory Planning Frameworks. • Develop an agreed set of processes, level of service and customer contact points for the new entity to ensure a smooth transition for customers. • Develop and implement a communications plan to ensure all planning customers are advised of transitional processes, timeframes and any changes resulting from the boundary realignments. • Ensure Developers are advised of any changes as a result of boundary changes and the impact to developer contributions. Maintain records.


STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop a project plan for consolidation of the Local Planning Schemes. Actions • Determine an agreed position on the consolidation of the Local Planning Scheme; applicable where one local government expands its boundaries to include an adjoining portion of a Local Government’s Local Planning Scheme, in accordance with legislative requirements. • Discuss with the Department of Planning the initiation of a Scheme Amendment to include this portion of adjoining Scheme into the main Local Planning Scheme. • Communicate this proposed Scheme Amendment process to all stakeholders. • Contact current applicants and customers advising any changes in officer contact details if applicable. • Consider all current environmental management plans and integrate into land use planning where applicable. STAGE 4: JUNE 2015 – ONWARDS Objective • Obtain endorsement of agreed position and develop a project plan, in order to initiate the preparation of a Local Planning Strategy and Local Planning Scheme for the new entity. Actions • Prepare the overall project plan to initiate the preparation of a new Local Planning Strategy to achieve eventual harmonisation of all strategic and statutory plans. SUPPORTING MATERIAL FOR ALL STAGES Strategic and Statutory Planning Checklist ABS Boundary Changes Information Sheet Western Australian Legislation WAPC Planning Makes it Happened Phase 2 reforms Property Valuation Information • Refer to Function: Environmental Management • Refer to Function: Community Consultation • Refer to Function: Risk Management WALGA will be launching the LG Planning Portal early 2014 in addition to best practice guides, policies and delegations throughout 2014


BUILDING PERMIT AND CERTIFICATION STAGE 1: NOW – JULY 2014 Objective • Determine current state of activities and function. Actions • Collate and review all processes, levels of service, documentation, methodologies etc. for building services. • Map all processes including records management processes. • Advise ICT business unit of current business systems and databases being used by Local Governments. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence the development of the service delivery model. Actions • Collate and review all merging partners processes, levels of service, documentation, methodologies etc. for building services. • Map all processes including records management processes. • Advise ICT business of current business systems and databases being used by merging Local Governments. • Consolidate processes and address inconsistencies. • Ensure developers are advised of any changes. Developer contributions are managed in accordance with statutory requirements. Records are maintained. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the service delivery model. Actions • In partnership with ICT business unit, commence transition and/or consolidation of data. • Develop an agreed set of processes, procedures and levels of service. • Develop policy if applicable. • Confirm all fees and charges. • Ensure developers are advised of any changes. Developer contribution managed in accordance with statutory requirements. • Records maintained.


STAGE 4: JUNE 2015 – ONWARDS Objective • Implement new delivery model. • Adopt policy if applicable. Actions • In partnership with ICT business unit, continue transition and/or consolidation of data. • Continue to review process and procedures to identify opportunities for continuous improvement. • Maintain customer contact. SUPPORTING MATERIAL FOR ALL STAGES Building Commission Checklist Building and Certification Services • Refer to Function: Business Systems • Refer to Function: Service Delivery Model


HERITAGE PROVISIONS AND INCENTIVES STAGE 1: NOW – JULY 2014 Objective • Identify the potential areas for enquiry / concern relating to heritage and heritage management. Actions • Collate information on heritage places and develop an inventory. Note: A review of the Heritage Act 1990 is currently in progress which may have an impact on Local Governments. The State Heritage Office will have more information in relation to time frames etc. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Determine potential areas for enquiry / concern relating to heritage and heritage management. • Identify opportunities to integrate heritage management into planning process. Actions • Identify planning provisions for heritage within the Local Governments. • Identify non-planning policies and arrangements within the Local Governments. • Identify areas of parity and difference within the Strategic Community Plan. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Identify opportunities to integrate heritage management into planning process. Actions • Identify strategic and statutory Heritage management gaps across the Local Governments planning frameworks. • Collate information and confirm asset management planning and costing’s for heritage places. STAGE 4: JUNE 2015 – ONWARDS Objective • Commence harmonisation of planning provisions and non-planning policies. Actions • Determine the process of harmonisation with all planning provisions and non-planning policies. • Ensure that all heritage management (including financial and asset management) activities and arrangements for the new entity are identified and integrated into statutory and strategic planning functions. SUPPORTING MATERIAL FOR ALL STAGES State Heritage Office Heritage Info Sheet • Refer to Function: Community Consultation


PROCUREMENT OVERALL PROCUREMENT REFORM SUPPORT STAGE 1: NOW – JULY 2014 Objective • Ensure all Local Governments have access to information and technical support throughout the reform process. Actions • Communicate support material and resources to all relevant business units and employees. Supporting Material for all Stages Procurement Overall Reform Support Reform Toolkit – Procurement Guide • Refer to Function: Risk Management


PROCUREMENT STRUCTURE STAGE 1: NOW – JULY 2014 Objective • Review and explore current procurement structure, numbers of staff, numbers of contracts and workflow. Actions • Review current structure, systems and software and purchasing processes. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Determine initial procurement structure and the role of the procurement team. • Determine the management structure of procurement. Actions • Will there be centralised or decentralised procurement? • Plan the structure of the business unit / team. • Are there similar or different structures within the incumbent organisations? • Do the systems and software used by each organisation vary? • Are the internal purchasing thresholds aligned? STAGE 3: APRIL 2015 – JUNE 2015 Objective • Consider skills development for staff seeking roles in the future organisation. • Check for alignment between the draft Purchasing Policy and the procurement structure deployed. Actions • What development opportunities will be considered for the future procurement team? • What structural enablers will be put in place to position general administrative staff to grow into purchasing based roles? • Refer to Purchasing Policy section, and cross check for structural alignment. STAGE 4: JUNE 2015 – ONWARDS Objective • Recruit staff for new purchasing team. • Review structure, technology, and workflow. • Set annual procurement plan. Actions • Are specialist procurement recruitment agencies deployed? • Are position descriptions inclusive of procurement capabilities and competencies? • Is the optimum structure working as intended from the start date of the new entity? If not, are the issues systemic and structural in nature, or driven by operational circumstances? • Has the procurement team been introduced and have their roles been communicated through the new organisation? • Procurement planning by new procurement team. SUPPORTING MATERIAL FOR ALL STAGES Procurement Structure Notes Procurement Structure – support resources Reform Toolkit - Procurement Guide Local Governmett Reform Toolkit Workbook Page 180 of 236

PURCHASING POLICY STAGE 1: NOW – JULY 2014 Objective • Review current purchasing policy documents of the current entities. Actions • Draft a schedule outlining current policy and supporting documentation including Price Preference etc. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Scope future size of procurement operation and determine suitable thresholds. • Review procurement process controls, separation of duties and fraud minimisation strategies. • Determine additional purchasing policy requirements. Actions • Develop thresholds that are commensurate with the number and value of envisaged contracts. • Relate back to organisational structure and reporting lines, delegations register, and internal audit. • Beyond the minimum consider audit, analytics, regional economic development and supplier review requirements that should be elevated to policy level outside of operational practice. • Draft a schedule of differences. • Reconcile content. • Check all elements of the policy are included. • Determine if Regional Price Preference is required and what Buy Local inclusions apply. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Merge the current purchasing policies in conjunction with the model template and other discussions to draft a new Purchasing Policy. • Check policy for Procedural Fairness. Actions • Maintain a focus on the future, not the past. The new entity has the opportunity to improve and enhance its procurement function, driven by the new policy. • Test out procurement processes through reviews and probity audits to ensure that the process is procedurally fair and that objectivity has been applied. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement procurement governance compliance and conditioning report. • Establish regular policy review/check. Actions • Incorporate a methodology for Elected Members to be able to assess compliance with the policy and to have attention drawn towards any policy departures relating to unique circumstances. • Regularly assess the policy to ensure it is meaningful, effective, and practical. SUPPORTING MATERIAL FOR ALL STAGES Procurement Purchasing Policy Notes Procurement Purchasing Policy – support resources Reform Toolkit - Procurement Guide Local Governmett Reform Toolkit Workbook Page 181 of 236

GOVERNANCE STAGE 1: NOW – JULY 2014 Objective • Administration to collect information relating to current environment (procurement related directives of the current Council). Actions • Identify if there any policies or reporting requirements • Is the Delegations Register sufficiently detailed to address procurement responsibilities? STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop principles of procurement governance. • Integrate Governance into corporate planning documentation. Actions • What values and definitions does the new Council wish to consider to order to define their own procurement role? • Determine the role of the Code of Conduct, if any. • Consideration including procurement in the organisation’s compliance policy. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Review structure. Actions • What regulatory or legislative changes will impact future procurement processes in Local Government? STAGE 4: JUNE 2015 – ONWARDS Objective • Prepare and present procurement governance framework to the new Council. Actions • Potential for the new Council to workshop and set modifications to proposed Procurement Governance structure. SUPPORTING MATERIAL FOR ALL STAGES Procurement Governance Notes Procurement Governance – support resources Reform Toolkit - Procurement Guide


CONTRACTS REGISTER STAGE 1: NOW – JULY 2014 Objective • Assess current Contracts Register. Actions • Identify format of the current registers. • Are the registers used to just record information or to drive workflow? • What training and support is currently delivered? STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Assess future Contract Register. • Organise legacy data from previous contracts and determine archive format. • Determine a contract category classification system. Actions • What systems and technology platform will be deployed? • What workflow efficiencies and process controls can be delivered? • How will old information be accessible yet retained separate from current contract information? • Will transitioned and novated contracts be specifically coded for identification as pre-existing arrangements? • What breaks can be made between old and new classifications. • Has consideration been given to The United Nations Standard Products and Services Codes (UNSPSC)? STAGE 3: APRIL 2015 – JUNE 2015 Objective • Implement Contract Management. Actions • Systems implementation and testing • Input of data. STAGE 4: JUNE 2015 – ONWARDS Objective • Plan for Contract Management development. Actions • Ongoing review and continual improvement. SUPPORTING MATERIAL FOR ALL STAGES Procurement Contracts Register Notes Procurement Contracts Register – support resources Reform Toolkit - Procurement Guide


TENDER REGISTER STAGE 1: NOW – JULY 2014 Objective • Assess current tender register format and procedural controls. Actions • Ensure Tender Register is up to date and current procedures are documented. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Determine future system Actions • Determine level of compatibility and differences between merging local governments. • Consider electronic format. • Develop security and process controls. • Develop guidelines, use and policy. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Skills Development and Operational guidelines. Actions • Adopt process map for tender opening. • Provide procedure and operating manual. • Training and information development for future use. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement new Tenders Register. • Undertake internal Audit. Actions • Process and security controls. • Ensure technology is licensed and that IP is protected. • Checks and balance to determine that compliance is fully tested. SUPPORTING MATERIAL FOR ALL STAGES Procurement Tender Register Notes Procurement Tender Register – support resources Reform Toolkit - Procurement Guide


RESOURCES AND TEMPLATES STAGE 1: NOW – JULY 2014 Objective • Assess current contract models and documentation within merging organisations. Actions • Is model documentation in place? • What access and controls support the use of templates? • How often does a review of processes take place? STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Assess future organisational needs in conjunction with procurement structure and purchasing policy. Actions • Has feedback been obtained from suppliers regarding contract structures? • Will the WALGA Procurement Handbook be applied and if so, what specific variances will be needed? • What naming conventions will be applied for easy access to procurement records? • What process will be put in place to record and manage departures from the Organisations terms? • What are the differences in General Conditions applied to each organisation? STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop and prepare templates. Actions • Set new model documentation with access and instructions for organisation. • Set the KPI’s within contract templates to ensure they are relevant with the new organisation. • If the WALGA templates are not utilised, has the model RFX documentation been legally checked? STAGE 4: JUNE 2015 – ONWARDS Objective • Implement new resources and templates. • Review the effectiveness of new processes. Actions • Run information sessions for suppliers and potential suppliers. • Provide training and support within the organisation. • Set triggers and regular process. SUPPORTING MATERIAL FOR ALL STAGES Procurement Resources and Templates Notes Procurement Resources and Templates – support resources Reform Toolkit - Procurement Guide


CURRENT ACTIVITY STAGE 1: NOW – JULY 2014 Objective • Review and map expiry date of contracts, suppliers to those contracts, and nature/importance of contracts • Ensure entry to new contracts contains clauses specific to termination and transition with respect to Local Government reform Actions • Identify the contracts of most strategic importance • Which of the contracts are of high value? • Which of the contracts are most complex to operate? • Which of the contracts have limited service providers in the market? • Are the model clauses provided by WALGA suitable? • Has context been provided within the procurement process? STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Review longer term contracts that will continue past July 2015 and future contract extension options with respect to reform. Actions • Have discussions been held with suppliers? • Is there a contractual head of power to terminate for cause or to transition? • Is it appropriate to test the market or to extend a contract? • Will the risk and value of the contract be substantially impacted due to amalgamation? • Will there be service providers who want to bid for the new entities business? STAGE 3: APRIL 2015 – JUNE 2015 Objective • Prepare and sign contract transition/extension documents and negotiate revised terms of supply. Actions • Propose transition using new terms effective from date of new entity. • Ensure communication and written paper trail of intentions with respect to interim and transitional arrangements. • Ensure further extension options are provisioned in case they are required. • Utilise legal services where appropriate (where there is non-acceptance by the supplier).


STAGE 4: JUNE 2015 – ONWARDS Objective • Implementation of transitional and extended arrangements. • Prepare procurement plan and run procurement processes for new supply arrangements. Actions • Ensure that contract management activity is maintained and tracked from day one. • Maintain and audit compliance with contract and pricing applied to services provided to the new entity. • Utilise and continuously review priorities set and timetables applied. SUPPORTING MATERIAL FOR ALL STAGES Procurement Current Activity Notes Procurement Current Activity – support resources Reform Toolkit - Procurement Guide


DUE DILIGENCE STAGE 1: NOW – JULY 2014 Objective • Assess current practices and levels of due diligence within procurement processes. Actions • Is regular activity undertaken? • Are external agencies utilised to obtain credit ratings? • What measures are in place to identify and respond to suppliers encountering financial distress? STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Establish operational guidelines for future activity. • Meet with potential agency service providers and assess products and services available. Actions • What processes will be implemented for supplier selection, management and renewal? • What triggers, thresholds and risk profiles will be set for obtaining external information? • What internal processes, audit and review/check activity will be put in place. • Which combination of products will be selected? • Will proactive alert services be engaged? STAGE 3: APRIL 2015 – JUNE 2015 Objective • Undertake updated assessments of key suppliers through consideration of transition and novation. • Incorporate due diligence into procurement process activity. Actions • Advise suppliers of due diligence. • Raise any issues with suppliers that are identified through assessment activity. • Amend tender and quotation documentation. • When using Preferred Suppliers access to due diligence can be facilitated through the WALGA prequalification. STAGE 4: JUNE 2015 – ONWARDS Objective • Incorporate due diligence into regular procurement activity. Actions • Tender evaluation guidelines. • Contract Management activity. • Contract review activity. SUPPORTING MATERIAL FOR ALL STAGES Procurement Due Diligence Notes Procurement Due Diligence – support resources Reform Toolkit - Procurement Guide


INSURANCE STAGE 1: NOW – JULY 2014 Objective • Review all contracts to ensure the extent to which suppliers are insured. Actions • Review compliance (actual levels of insurance against contractual requirement). • Review insurance types and classifications by contract. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop a risk allocation framework to determine appropriate insurance levels. Actions • Set desired insurance levels based on future estimated contract spend value and risk. • Consult with suppliers and other stakeholders where substantial change is proposed. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Implement contracts (transition and new contract development). Actions • Represent new levels of insurance in documentation. • Ensure a process is available to maintain access to certificates of currency. • Ensure the contents of the insurance policies provide sufficient protection. • Ensure all premiums and other financial implications are addressed through the Annual Budget. STAGE 4: JUNE 2015 – ONWARDS Objective • Review activity. • Maintain register of insurance compliance. Actions • Review insurance coverage and risk allocation framework. • Maintain register of supplier insurances invoked/claims processed through contractor activity. • Consideration of KPI’s for contract management. SUPPORTING MATERIAL FOR ALL STAGES Procurement Insurance Notes Procurement Insurance – support resources Reform Toolkit - Procurement Guide


SKILLS DEVELOPMENT STAGE 1: NOW – JULY 2014 Objective • Review current staff qualifications and training. Actions • Are current competencies and training opportunities provided? STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop professional development plans. Actions • What skills and qualifications are sought? • Which agencies and providers will be used? STAGE 3: APRIL 2015 – JUNE 2015 Objective • Incorporate required and desired qualifications and skills into procurement related position descriptions. Actions • Identify core competencies and skills required for the position and include in all supporting documentation i.e. position descriptions, training and development plans. • What tertiary and post graduate qualifications will form the standard for senior procurement roles? STAGE 4: JUNE 2015 – ONWARDS Objective • Provide training and development to staff. Actions • Consider in-house training. • Staff development plans. • External qualifications, events and activities. • Participation in WALGA Procurement Network. SUPPORTING MATERIAL FOR ALL STAGES Procurement Skills Development Notes Procurement Skills Development – support resources Reform Toolkit - Procurement Guide • Refer to Function: Human Resource Management (Organisational Development)


COMPLIANCE AND PROBITY STAGE 1: NOW – JULY 2014 Objective • Review current corporate documentation. Actions • Code of conduct. • Purchasing policy. • Procurement plan documentation. • Declaration of interest and other disclosures. • Delegations register and structure. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Research and Development. Actions • Current sector activity. • Best Practice procurement documentation. • Identify future requirements. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop new organisational standards. Actions • Policy development. • Procurement guidelines. STAGE 4: JUNE 2015 – ONWARDS Objective • Monitor compliance and probity. Actions • Code of conduct training (ethics and procurement). • Corporate Governance standards. • Audit and forensic review guidelines. • Procurement review /probity audit. SUPPORTING MATERIAL FOR ALL STAGES Procurement Compliance and Probity Notes Procurement Compliance and Probity – support resources Reform Toolkit - Procurement Guide


PROPERTY CONTRACTS AND CAPITAL ASSETS STAGE 1: NOW – JULY 2014 Objective • Update and maintain asset register. Actions • Confirm accuracy and completion of register. • Currency of valuations. • Condition assessment criteria. • Data and analysis from Asset Management system. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Future planning for Buildings • Review current arrangements. Actions • Define procurement relationship to Asset Management. • Indicative profiling of future assets to be retained / divested. • Maintenance and upgrade prioritisation. • Determine term and future status of property lease contracts. • Determine term and future status of current service provider and property management contracts. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Preparation for post reform. Actions • Preparation of property and asset strategies, systems, and processes • Preparation for novation of property leases. • Upgrade of buildings. STAGE 4: JUNE 2015 – ONWARDS Objective • New Building Management activity. Actions • Transition of leases. • New service provider contracts. • Ownership and divestment strategy adopted. SUPPORTING MATERIAL FOR ALL STAGES Procurement Property Contracts and Capital Assets Notes Procurement Property Contracts and Capital Assets – support resources Reform Toolkit - Procurement Guide • Refer to Function: Asset Management • Refer to Function: Property Management


ICT CONTRACTS STAGE 1: NOW – JULY 2014 Objective • Document current systems and technology platforms. Actions • Type of system (hosted, local client). • Integration of systems. • Number of suppliers. • Length and renewal options of current contracts. • Test and refine audit processes and integrity of data. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop ICT Strategy Actions • Identify commonalities and differences within systems use for merging organisations. • Consider schedule of changeover to systems, in particular the release of future ratings. • Create contingency strategies • Archive and access for legacy data • Telecommunications strategy for external hosting. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Preparation of ICT Procurement Plan. Actions • Consider ETI (early tender involvement) strategy • Identification of timetable. • Development of specifications. • Establishment of contract model. STAGE 4: JUNE 2015 – ONWARDS Objective • Selection, contracting and deployment of new systems. Actions • Implement new systems. • Testing and migration of data. • Redundancy and support. • Ongoing development. SUPPORTING MATERIAL FOR ALL STAGES Procurement ICT Contracts Notes Procurement ICT Contracts – support resources Reform Toolkit - Procurement Guide • Refer to Function: Business Systems


SERVICE CONTRACTS STAGE 1: NOW – JULY 2014 Objective • Compile a list of current service arrangements and incumbent contractors. Actions • How many suppliers are there? • What systems and processes are in place to monitor and report compliance against KPIs? STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Merge service provision information across current Local Government areas and map out future structures for service provision. Actions • Which suppliers are common to merging organisations, and which are different supply arrangements? • Benchmark pricing in key service areas from current suppliers. • Determine supply areas and capacity to supply on an interim basis. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Schedule interim and contract transition plan. Actions • Which contracts will be retained and varied on an interim basis. • Which contracts will be put to market (procurement plan schedule development). • Apply communications processes to advise supplies of the intentions and processes of the organisation • Incorporate service level and key performance indicators into future contract templates. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement new contracts. Actions • Effect new arrangements for the entity. • Action procurement plan and regularly review. • Engage in contract management performance review. SUPPORTING MATERIAL FOR ALL STAGES Procurement Services Contracts Notes Procurement Services and Goods Contracts – support resources Reform Toolkit - Procurement Guide


GOODS CONTRACTS STAGE 1: NOW – JULY 2014 Objective • Compile a list of current goods contracts (contracts register extract) Actions • How many suppliers are there? • What tracking mechanisms are in place to monitor inventories? STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Determine future mechanisms for managing and tracking supplies Actions • Contracts Management system • Ordering and tracking functionality within purchasing system. STAGE 4: JUNE 2015 – ONWARDS Objective • Future operations Actions • Effect new arrangements for the entity. • Action procurement plan and regularly review. • Engage in contract management performance review. • Shift from annual and biannual supply contracts to point of purchase buying structure. SUPPORTING MATERIAL FOR ALL STAGES Procurement Goods Contracts Notes Services and Goods Contract – support resources Reform Toolkit - Procurement Guide


PROJECT MANAGEMENT PROJECT MANAGEMENT, BUSINESS PROCESS RE-ENGINEERING AND PROJECT GOVERNANCE STAGE 1: NOW – JULY 2014 Objective • Establish a project management framework with governance structure immediately. Actions • Determine the right project framework and governance structure specific to the needs and culture of the Local Government. • Establish and activate working groups. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Review the current project management framework and consolidate to include merging Local Governments. Actions • Determine the right project framework and governance structure specific to the needs and culture of merging Local Government. • Establish and activate working groups with representation from merging Local Governments. • Ensure overall reporting framework meets the needs of all stakeholders including the LIC. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Regularly review deliverables and timeframes. Actions • Renew the effectiveness and performance of the project framework. • Capture impact of process improvement and other productivity gains. STAGE 4: JUNE 2015 – ONWARDS Objective • Undertake ongoing review of project management framework and plan. Actions • Review project outputs and goals for the coming period 2015/16. • Review working group’s scope and membership. • Ensure all reform costs/efficiencies have been documented. SUPPORTING MATERIAL FOR ALL STAGES Project Management, BPR and Project Governance Elements of Continuous Improvement – Slides Transition Project Plan Example – Transition Project Plan: MS Project Format Example – Transition Project Plan Excel Project Format Example – Continuous Improvement Framework City of Melville Example – Process Management Framework City of Melville • Refer to Function: Communications Internal & External • Refer to Function: Leading & Managing Change • Refer to Function: Risk Management


PROPERTY MANAGEMENT PROPERTY MANAGEMENT STAGE 1: NOW – JULY 2014 Objective • Prepare a register (or similar) capturing all property agreements. Actions • Undertake audit of all leases, licenses, easements, management orders and property. Ensure data is housed in a property register and where applicable, on the asset register. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Identify and manage property matters affected by boundary changes. Actions • Analyse all property matters and prioritise. • Working with other divisions i.e. community development, business enterprise etc., determine files affected by boundary changes and develop action plan. • Contact current customers advising of changes in property management or contact details. • Review and update Asset Registers. Commence consolidation of Registers in line with changes made as a result of boundary changes / amalgamations. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise property management register for new entity. • Ensure compliance with statutory requirements. Actions • Collate all management orders, leases, title deeds, and licence agreements for the new entity. • Establish consolidated Property Management System with property identifiers included. The Property Management System could include the following • The type of land: • The method of acquisition and how the land is held; The former owner of the land i.e. which Local Government held the land; Whether the land is encumbered and if so the portion, duration and terms of the encumbrance; • Value: • On-going responsibilities for the new entity; outgoings, asset management. • Any current dealings: as required. • All agreements, orders, licenses, leases, deeds to be placed in the records management system as vital records and all originals to be held securely. • Develop an agreed set of processes, level of service and customer contact points for the new entity to ensure a smooth transition for customers. • Prepare for changeover day and contact current customers advising of changes in property management or contact details. • Provide summary of property management agreements and risks (as part of the due diligence process)


STAGE 4: JUNE 2015 – ONWARDS Objective • Maintain proactive and visible contact with customers. Actions • Develop a fulfillment pack for customers: A Property Management Pack for customers outlining contact details, maintenance requests and process, emergency contact details after hours etc. • Implement staff training. SUPPORTING MATERIAL FOR ALL STAGES Property Management Notes Property Valuation Information Property Transfer Information Sheet Residential Tenancies Act 1987 Commercial Tenancy (Retail Shops) Agreements Act 1985 • Refer to Function: Due Diligence • Refer to Function: Asset Management • Refer to Function: Community Consultation • Refer to Function: Risk Management


PROPERTY MANAGEMENT – FRAMEWORK, SYSTEMS AND PROCESSES STAGE 1: NOW – JULY 2014 Objective • Collate, map and document all business systems and functions. Actions • Collate, map and document all business systems and critical functions and processes. Update inventory of software and hardware currently utilised. • Collate all plans, policies, procedures and related documentation, including the Long Term Financial Plan implications. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence planning and identification of preferred property management framework i.e. combined best practice, policies, standardisation of templates and process, levels of service, enterprise wide and financial integration etc. Actions • Compare merging partners ‘current state’ business systems, critical functions and customer service levels. Identify disparate and similar systems. • Commence preparation of revised policies, procedures and delegations. Liaise with other divisions i.e. community development, engineering, asset management, finance etc. • Scope ICT business systems future state specifications and system design. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Establish, communicate and resource changeover day plan. • Ensure new systems and procedures are documented, accessible and communicated. Training is delivered. Actions • Review priorities for achieving changeover day requirements and mobilise resources accordingly. • Scope future state specifications and system design for ICT requirements. • Complete budget estimates and Long Term Financial Plan implications. • Review data migration plans and timelines and testing program for ‘go live’. • Liaise with key business units to ensure integration and understanding of revised processes i.e. finances, asset management, maintenance etc. STAGE 4: JUNE 2015 – ONWARDS Objective • Finalise budgets and Long Term Financial Plan implications. • Implement ‘go live’ strategy. • Prepare policies for adoption and implement procedures. Actions • Continue to review data migration plans and timelines and testing program for ‘go live’. • Implement supporting strategies ongoing i.e. training plan, communications plan and customer service.


SUPPORTING MATERIAL FOR ALL STAGES • • • •

Refer to Function: Business Systems Refer to Function: Service Delivery Refer to Function: Community Consultation Refer to Function: Governance


PROPERTY MANAGEMENT – SERVICE DELIVERY STAGE 1: NOW – JULY 2014 Objective • Undertake preparatory planning with the aim to developing a consolidated service delivery model. Actions • Undertake a full review of all position descriptions to ensure an accurate reflection of functions, responsibilities and delegations of authority etc. • Undertake preparatory planning with the aim to developing a consolidated service delivery model that ensures services are maintained during the transitional stages and allows for further growth / changes. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Implement communications plan. • Commence analysis and development of new service delivery model and supporting processes and procedures. Actions • Determine internal model of delivery i.e. asset owner / service owner. • Review all property and AM plans (including the Corporate Business Plans and LTFP’s) and strategies to identify all maintenance, upgrade, renewal plans and other proposed projects relating to managed properties. • Develop new service levels and standards for each property/lease in consultation with service owner (i.e. community development – POS, ovals and reserves). • Review the current state of facilities management and in consultation with stakeholders (internal and external), develop better practice policy and processes). • Commence workforce planning requirements in line with proposed service delivery, structure and levels of service. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop interim service and operational plans, processes and systems to support continuity of service provision. • Implement internal communications plan outlining changes and contact points for customer service. • Finalise interim business unit structure, positions and responsibilities. Actions • Review and develop revised operational plans to inform budget. Ensure all human resource and industrial relations processes are implemented. • Mobilise and consolidate all resources, systems and staff. • Develop and implement induction, training and development program. • Ensure communications strategies are implemented.


STAGE 4: JUNE 2015 – ONWARDS Objective • Implement service and operational processes and systems to support continuity of service provision. • Implement new interim business unit structure. Actions • Monitor service delivery and satisfaction levels. Undertake a customer satisfaction survey for benchmarking and continuous improvement purposes. SUPPORTING MATERIAL FOR ALL STAGES Property Transfer Information Sheet • Refer to Function: Service Delivery • Refer to Function: Organisation Structure – Interim • Refer to Function: Financial Management • Refer to Function: Asset Management • Refer to Function: Integrated Planning and Reporting • Refer to Function: Communications (Internal)


RECORDS MANAGEMENT FREEDOM OF INFORMATION STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Establish a FOI officer for the new entity. Actions • Allocate resources to manage all FOI requests for the new entity. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Ensure all FOI requests are actioned in accordance with statutory guidelines. Actions • FOI resources are adequate. STAGE 4: JUNE 2015 – ONWARDS Objective • Ensure all FOI requests are actioned in accordance with statutory guidelines. Actions • FOI resources are adequate. SUPPORTING MATERIAL FOR ALL STAGES •

Freedom of Information Act 1992


BUSINESS SYSTEMS STAGE 1: NOW – JULY 2014 Objective • Selection of a Business System. Actions • Review current systems and requirements in preparation for amalgamation / adjusting boundary. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Selection of a Business System. Actions • Develop a data migration plan to consolidate all records information. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Continue with systems harmonisation process. Actions • Determine system requirements. Develop implementation plan utilising existing systems or the procurement of new systems. • Commence data migration. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the Records Management (RM) Business System. • Commence data migration. Actions • Refer to Business Systems and Records Management Functions SUPPORTING MATERIAL FOR ALL STAGES • Refer to Function: Business Systems • Refer to Function: Records Management


POLICY, PLANS AND PROCESS STAGE 1: NOW – JULY 2014 Objective • Collate all Records Management policies, plans and processes. • Document initial records transfer, retention and storage procedures. Actions • Collate all policies, plans and processes including disaster management and vital records. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop a consolidated Records Management strategic plan and policies. • Develop an agreed set of processes and levels of service. Actions • Collate and review all policies, plans and processes including disaster management and vital records. Identify better practice. • Identify a centralised archival storage arrangement. • Establish a central document receipt point. • Document initial records transfer, retention and storage procedures. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop a consolidated Records Management strategic plan and policies. • Develop an agreed set of processes and levels of service. • Implement archival, storage, receipt and retention processes. Actions • Finalise all policies, plans and processes including disaster management and vital records. • Commence archiving. • Identify, record and store any historical artifacts. • Establish and communicate a central document receipt point for changeover day. • Document initial records transfer, retention and storage procedures. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the consolidated Records Management strategic plan and policies. Actions • Implement new processes and levels of service. • Implement new / revised archival, storage, receipt and retention processes. • Develop training program for staff. SUPPORTING MATERIAL FOR ALL STAGES State Records Office WA State Records Policy and Guidelines Template Records Keeping Plan State Records Act 2000 • Refer to Function: Risk Management • Refer to Function: Changeover Day


TRAINING AND INDUCTION STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Ensure all relevant staff are trained in RM processes. Actions • HR to develop a training schedule and include records management in employee inductions. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Ensure all relevant staff are trained in RM processes. Actions • HR to develop a training schedule and include RM in employee inductions. STAGE 4: JUNE 2015 – ONWARDS Objective • Ensure all relevant staff are trained in RM processes. Actions • HR to develop a training schedule and include RM in employee inductions. SUPPORTING MATERIAL FOR ALL STAGES Human Resource Management (OD)


REFORM COSTS FINANCIAL AND RESOURCING IMPACT OF REFORM STAGE 1: NOW – JULY 2014 Objective To support the identification and tracking of costs associated with reform, it is highly recommended that Local Governments establish a systemic approach to identifying and documenting all related reform costs (actual and forecasted) and savings (actual and forecasted) as soon as possible. Actions Develop a data collection tool to capture reform related expenditure, cost savings, increase / decrease in levels of service and in-kind support. STAGE 2: AUGUST 2014 – MARCH 2015 Objective To support the identification and tracking of costs associated with reform, it is highly recommended that Local Governments establish a systemic approach to identifying and documenting all related reform costs (actual and forecasted) and savings (actual and forecasted) as soon as possible. Actions Develop a data collection tool to capture reform related expenditure, cost savings, increase / decrease in levels of service and in-kind support. Suggestions • Include reform costs that are essential to continued/improved service delivery to the affected local government area; are directly attributable to the structural reform process; and are not discretionary in nature. • Group costs and/or savings into service delivery arrangements or functions i.e. waste management services, administrative arrangements (including procurement), fleet and plant operations, wage parity, operations, ICT, administration and governance (including LIC). • Identify costs as recurrent, capital or one-off. • Adopt an ‘evidence based’ approach to support findings and assist with future analysis / review (if applicable). • Provide an explanation of: o Savings: how savings have been derived; and o Costs: why the cost is essential to the local government’s ability to provide service delivery and how it is directly attributable to the structural reform process and is not discretionary in nature.


STAGE 3: APRIL 2015 – JUNE 2015 Objective To support the identification and tracking of costs associated with reform, it is highly recommended that Local Governments establish a systemic approach to identifying and documenting all related reform costs (actual and forecasted) and savings (actual and forecasted) as soon as possible. Actions Develop a data collection tool to capture reform related expenditure, cost savings, increase / decrease in levels of service and in-kind support. Suggestions • Include reform costs that are essential to continued/improved service delivery to the affected local government area; are directly attributable to the structural reform process; and are not discretionary in nature. • Group costs and/or savings into service delivery arrangements or functions i.e. waste management services, administrative arrangements (including procurement), fleet and plant operations, wage parity, operations, ICT, administration and governance (including LIC). • Identify costs as recurrent, capital or one-off. • Adopt an ‘evidence based’ approach to support findings and assist with future analysis / review (if applicable). • Provide an explanation of: o Savings: how savings have been derived; and o Costs: why the cost is essential to the local government’s ability to provide service delivery and how it is directly attributable to the structural reform process and is not discretionary in nature.


STAGE 4: JUNE 2015 – ONWARDS Objective • To support the identification and tracking of costs associated with reform, it is highly recommended that Local Governments establish a systemic approach to identifying and documenting all related reform costs (actual and forecasted) and savings (actual and forecasted) as soon as possible. Actions • Develop a data collection tool to capture reform related expenditure, cost savings, increase / decrease in levels of service and in-kind support. Suggestions • Include reform costs that are essential to continued/improved service delivery to the affected local government area; are directly attributable to the structural reform process; and are not discretionary in nature. • Group costs and/or savings into service delivery arrangements or functions i.e. waste management services, administrative arrangements (including procurement), fleet and plant operations, wage parity, operations, ICT, administration and governance (including LIC). • Identify costs as recurrent, capital or one-off. • Adopt an ‘evidence based’ approach to support findings and assist with future analysis / review (if applicable). • Provide an explanation of: o Savings: how savings have been derived; and o Costs: why the cost is essential to the local government’s ability to provide service delivery and how it is directly attributable to the structural reform process and is not discretionary in nature. SUPPORTING MATERIAL FOR ALL STAGES There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


REGIONAL COUNCILS & ENTITIES EXISTING JOINT COUNCILS STAGE 1: NOW – JULY 2014 Objective • Rationalisation and/or elimination of redundant statutory Regional Councils. Actions • Review the principles and objectives the Regional Council Establishment Agreement. Amendment to legislation is pending. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Rationalisation and/or elimination of redundant statutory Regional Councils. Actions • Review the principles and objectives the Regional Council Establishment Agreement. • Establish and implement transition management plan including: draft amendments for the new structure and arrangements, service provision details, management of assets and liabilities. • Undertake stakeholder consultation. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Rationalisation and/or elimination of redundant statutory Regional Councils. Actions • Establish and implement transition management plan including: draft amendments for the new structure and arrangements, service provision details, management of assets and liabilities. • Ensure full integration with the IPR Framework. • Undertake stakeholder consultation. STAGE 4: JUNE 2015 – ONWARDS Objective • Rationalisation and/or elimination of redundant statutory Regional Councils. Actions • Establish and implement transition management plan including: draft amendments for the new structure and arrangements, service provision details, management of assets and liabilities. • Ensure full integration with the IPR Framework. • Continue to engage with stakeholders. SUPPORTING MATERIAL FOR ALL STAGES Establishment Agreement Template Property Transfer Information Sheet Local Government Act 1995 - Provisions: Reg 6. Sub reg 4 Para 4 (i)


OTHER CONTROLLED ENTITIES STAGE 1: NOW – JULY 2014 Objective • Rationalisation and/or elimination of redundant Controlled Entities. Actions • Collate all relevant information and documentation for review. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Rationalisation and/or elimination of redundant Controlled Entities. Actions • Establish and implement transition management plan for absorption / future management of Controlled Entity assets and operations as required. • Undertake stakeholder consultation. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Rationalisation and/or elimination of redundant Controlled Entities. Actions • Establish and implement transition management plan for absorption / future management of Controlled Entity assets and operations as required. • Undertake stakeholder consultation. STAGE 4: JUNE 2015 – ONWARDS Objective • Rationalisation and/or elimination of redundant Controlled Entities. Actions • Establish and implement transition management plan for absorption / future management of Controlled Entity assets and operations as required. • Continue to engage with stakeholders. SUPPORTING MATERIAL FOR ALL STAGES Property Transfer Information Sheet


ASSOCIATIONS, PARTNERSHIPS, JOINT VENTURES AND OTHER COLLABORATIONS STAGE 1: NOW – JULY 2014 Objective • Rationalisation and/or elimination of redundant formal or informal collaborative arrangements may be necessary. Actions • Collate all relevant information and documentation for review. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Rationalisation and/or elimination of redundant formal or informal collaborative arrangements. Actions • Establish and implement transition management plan for changes to formal or informal collaborative arrangements as required. • Review requirements of all Agreements. • Undertake stakeholder consultation. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Rationalisation and/or elimination of redundant formal or informal collaborative arrangements. Actions • Establish and implement transition management plan for changes to formal or informal collaborative arrangements as required. • Undertake stakeholder consultation. STAGE 4: JUNE 2015 – ONWARDS Objective • Rationalisation and/or elimination of redundant formal or informal collaborative arrangements. Actions • Establish and implement transition management plan for changes to formal or informal collaborative arrangements as required. • Continue to engage with stakeholders. SUPPORTING MATERIAL FOR ALL STAGES Property Transfer Information Sheet


REGULATIONS & ENFORCEMENT LOCAL LAWS STAGE 1: NOW – JULY 2014 Objective • Collate and review each Local Government’s local laws. Actions • Prepare an inventory of all Local Government’s local laws, last review dates, compliance levels and any specific place management matters. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Review the inventory of all local laws collectively. • If possible, commence development of new local laws for the new entity. Actions • Establish a working group to facilitate assessment and development of local laws. • Review the inventory of all local laws collectively, last review dates, compliance levels and any specific place management matters. • Identify areas for integration and standardisation. STAGE 3: APRIL 2015 – JUNE 2015 Objective • If there is capacity, commence development of new local laws for the new entity. Alternatively, develop policy to carry existing locals laws over to new entity. Actions • If required, develop an overarching policy that ensures existing local laws can remain current until the new entity can review them and in accordance with the Governors Order. STAGE 4: JUNE 2015 – ONWARDS Objective • Continue development and implementation of new local laws for the new entity. Actions • Develop a review schedule for the collective locals laws. Aim for completion by June 2016. • Undertake community / stakeholder consultation where applicable. • Develop and implement training and/or communications plans if applicable. SUPPORTING MATERIAL FOR ALL STAGES Local Laws Review – work flow process Local Government Operational Guidelines No 16 – Local Laws DLGC website – Local Laws and legislative requirements • Refer to Function: Community Consultation


ENFORCEMENT - GENERAL OPERATIONS STAGE 1: NOW – JULY 2014 Objective • Establish current state. Collate all data and information associated with regulatory and enforcement services. Can include Rangers, Environmental Health etc. Actions • Collate and review all systems (including ICT), processes, levels of service, documentation, methodologies, assets and committees currently utilised. • Map all processes including records management processes. • Advise ICT business of current business systems and databases being used by Local Governments. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence the development of a standardised service delivery model for inspections, issuing of permits and infringement notices etc. • Commence the development of an interim business unit structure. Actions • Collate and review all merging partners systems (including ICT), processes, levels of service, documentation, methodologies, assets, fleet and committees currently utilised. • Compare Fees and Charges schedule. Identify differences. • Compare budgets and revenue strategies in readiness for harmonisation. • Review current local law implications, Strategic Community Plan outcomes and other plans including place management. • Establish preferred business systems model. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the development of a standardised service delivery model including inspections, issuing of permits and infringement notices and all associated levels of services etc. • Confirm interim business unit structure with necessary fleet requirements. Actions • Consult with internal business units regarding processes, support services and levels of service. • Finalise budgets and revenue strategies in readiness for Annual Budget 2015/2016. • Document and communicate all policies, processes (internal and external) including records management processes. • Establish plan for harmonisation of business systems with ICT business unit. • In partnership with ICT business unit, continue transition and/or consolidation of data / databases. • Continue to review process and procedures to identify opportunities for continuous improvement. • Prepare a changeover day plan. • Communicate process changes. Ensure the customer service team is fully briefed with new contact details and procedures.


STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the service delivery model with associated levels of services etc. • Implement interim business unit structure with necessary fleet requirements. • Implement internal communications advising changes. • Adopt policy (if applicable). • Support employees through transition period. Actions • Implement changeover day plan. • Communicate policy and process changes. Ensure customer service unit are fully briefed with new contact details. • In partnership with ICT business unit, continue transition and/or consolidation of data. • Continue to review process and procedures to identify opportunities for continuous improvement. • Commence team building activities and create opportunities to develop new team(s). • Ensure business unit communications is two-way and effective. Encourage problem solving and trouble shooting. SUPPORTING MATERIAL FOR ALL STAGES • Refer to Function: Service Delivery • Refer to Function: Organisation structure – Interim • Refer to Function: Business Systems


RISK MANAGEMENT EMERGENCY MANAGEMENT STAGE 1: NOW – JULY 2014 Objective • collate all current emergency management plans and processes, committee information and resources. Actions • Collate and review all existing Emergency Management Plans, governance and reporting structures. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop a consolidated Emergency Management Plan. Actions • Collate and review all merging Local Governments existing Emergency Management Plans, governance and reporting structures. • Commence consolidation of plans with place management issues identified.  Engage stakeholder. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop a consolidated Emergency Management Plan. Actions • Ensure an interim EM Plan is in place for the new entity and all stakeholders are briefed. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the consolidated Emergency Management Plan. Actions • Finalise, document and implement the consolidated EM Plan, governance, procedural and reporting framework. • Ensure training needs are identified and met. Schedule exercises as required. stakeholders.

 Engage w ith

SUPPORTING MATERIAL FOR ALL STAGES State Emergency Management Committee Emergency Management Checklist Report & Instructions – CERA WALGA Community Emergency Risk Assessment Framework. CERA Risk Assessment Tool (WA) City of Stirling EM Paper • Refer to Functions: Community Consultation • Refer to Function: Due Diligence


OCCUPATIONAL SAFETY AND HEALTH STAGE 1: NOW – JULY 2014 Objective • Determine current state of the OSH systems and processes including reporting and performance levels. Actions • Identify existing Health and Safety Management Systems and conduct a Gap Analysis. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence preparation of a consolidated OSH Framework and Plan. Actions • Compare and identify any High Risk Areas and Activities with the merging partners in relation to people, processes and the working environment. Develop Action Plan to address any identified system gaps in High Risk Areas and Activities. • Review existing OSH policies and procedures, definitions, work instructions, guidelines, protocols, risk assessments / JSA’s, and any related OSH forms, templates, reporting etc. related to High Risk Areas and Activities. • Identify OSH related training, licensing or certification (required by legislation) in relation to processes, people and the working environment (including record keeping). • Identify existing Health and Safety Management Systems and conduct a Gap Analysis.  R eview peer support and OSH officers’ roles and training requirements. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop an overarching OSH Framework including new performance monitoring and reporting. • Develop a draft OSH Plan and identify key risks to be address immediately. • Develop a staff training and communication pack. Actions • Develop an overarching OSH Framework to accommodate OSH policies and procedures, licensing, definitions, work instructions, guidelines, protocols, risk assessments / JSA’s, and any related OSH forms, templates, recordings, reporting etc. Consult with workforce. • Develop policy and Charter if required. Consult with workforce. • Develop a TOR for the OSH Committee for the new entity.


STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the new OSH Framework and Plan. • Adopt policy (if applicable). • Communicate new requirements enterprise-wide including the new reporting and monitoring requirements. • Implement training immediately. Actions • Finalise the overarching OSH Framework and Plan. • Finalise the Action Plan to address any identified system gaps in High Risk Areas and Activities. • Finalise peer support and OSH officer’s roles and training requirements. • Prepare policy for adoption. • Finalise the Health and Safety Management Systems. • Activate the OSH Committee for the new entity and implement the new reporting and monitoring requirements. SUPPORTING MATERIAL FOR ALL STAGES • • • • •

Occupational Safety and Health Act 1984 Occupational Safety and Health Regulations 1996 Relevant Australian Standards, Codes of Practice and Guidance Notes AS/NZS 4801:2001 Occupational health and safety management system Refer to Function: Due Diligence


INSURANCE STAGE 1: NOW – JULY 2014 Objective • Review the current state of the insurance function and confirm accuracy of the insurance register. Actions • Identify all outstanding and impending claims. • Identify all current systems and processes including claims in preparation for full review. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence the development of a new insurance register and risk profile. • Commence mapping of new processes. Actions • Work together with your LGIS advisers to: • Establish a risk profile and corresponding insurance options; and • Conduct a review of claims data to identify and treat common causes of the merging partners • Review the current Insurance Register for all merging partners and confirm accuracy and relevance. Ensure all assets are protected and accurately valued. • Identify all current systems and processes including claims. • Identify key areas of similarity and differences. • Identify inadequate insurance / insurance that is not applicable etc. • Identify high claim costs risk. • Working across all business division, identify any new/changes to service delivery and the impact to the insurance profile. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise new insurance register and risk profile. • Finalise policy and processes. Actions • In partnership with the merging Local Governments, establish a consolidated risk profile and corresponding insurance options. • Cost the insurance requirements and include in the annual budget and LTFP. • Communicate new insurance register, policy and claims processes to all relevant staff. • Review claims processes and employee responsibilities. • Develop an information pack for employees including claims forms and procedures. • Ensure all collateral material (i.e. claims forms etc.) is re-branded with the new entity logo (if applicable). • Develop an Insurance Summary Report for inclusion in the due diligence report. Include all outstanding, impending and non-claimable claims.


STAGE 4: JUNE 2015 – ONWARDS Objective • Finalise new insurance register and risk profile. • Finalise budgets and include in the LTFP. • Adopt policy. • Implement employee information pack including new forms and processes. Actions • Cost the insurance requirements and include in the annual budget and LTFP. • Develop an information pack for employees including claims forms and procedures. • Centralise all claims. SUPPORTING MATERIAL FOR ALL STAGES Insurance • Refer to Function: Governance • Refer to Function: Due Diligence


STRATEGIC, OPERATIONAL AND PROJECT STAGE 1: NOW – JULY 2014 Objective • Undertake a health check or maturity assessment of the existing Local Governments risk management practices, processes and culture. Actions • Is the risk appetite and tolerance of the current organisation understood and documented? • Is there an up to date risk management policy in place that provides the statement of intent regarding risk management? • Are there effective risk management frameworks, processes, procedures, tools and templates to capture and report risk information in place? • Are there appropriate and effective risk controls in place to manage the risk exposure of Strategic, • Operational and Project risks? • Engage service provider to assist with planning activities if needed. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Obtain a detailed understanding of risks, areas of focus and priorities associated with the amalgamation process, as well as, the merging Local Governments to determine where and how to allocate time, effort and resources. Actions • With the merging partners, undertake a risk assessment of the transition process and establish a risk management plan. Ensure the risk assessment determines the level of uncertainty regarding the merging of Strategic, Operational, Human Resources, Systems, Financial and Legal objectives. • Commence sharing and comparing risk information with merging Local Governments to further understand the individual risk management culture, risk exposures, controls comparison and areas of priority. • Regularly monitor, review and report risks, controls, risk acceptance decision and treatment implementation throughout the planning phase. • Review and revise risk governance including the Risk and Audit Committee requirements for the new entity. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop and mandate the risk management framework to govern the new entities intention, approach and foundation regarding risk and risk management. Actions • Determine and document the risk appetite and tolerance. • Develop, document and endorse the risk management policy that provides the new entities statement of intent regarding risk management.


STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the risk management framework. • Adopt policy. Actions • Develop and implement risk management frameworks, processes, procedures, tools and templates to capture and report risk information. • Understand, monitor and report on the new entities key risk exposures and appropriateness and effectiveness of existing controls. • Implement a staff training package. SUPPORTING MATERIAL FOR ALL STAGES AS/NZS ISO 31000:2009 Risk Management Principles and guidelines Generic Risk Assessment Context – Planning Phase Example City of Melville Risk Management Toolkit • Sample Local Government Risk Assessment Context – Planning Phase on LGIS website – Members section. • Sample Local Government Risk Assessment and Acceptance Criteria on LGIS website – Members section. • Sample Local Government Risk Management Policy on LGIS website – Members section. • Sample Local Government Risk Management Framework and Templates on LGIS website – Members section. • Sample Local Government Risk Themes on LGIS website – Members section. • Refer to Function: Governance • Refer to Function: Integrated Planning and Reporting • Refer to Function: Due Diligence


SERVICE DELIVERY SERVICE DELIVERY MODEL STAGE 1: NOW – JULY 2014 Objective • Commence preparation for the development of a consolidated interim service delivery model that ensures services are maintained during the transitional stages and allows for further growth and changes. Actions • Document current method and impact of service delivery. • Prepare inventory of technology requirements. • Review asset, plant and equipment requirements. • Review reporting requirements – statutory, strategic and operational. • Review the current Workforce Plan and resource distribution. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop a consolidated service delivery model that ensures services are maintained during the transitional stages and allows for further growth and changes. Actions • Establish a working group with TOR to drive the project. Establish a baseline assessment model. • Establish comparable data – benchmark. • Undertake consultation. • Define services, functions etc. to be provided. • Define method and impact of service delivery. • Improve process, streamline and customer orientate. • Consider compliance requirements, pricing, equity and access. • Review technology requirements. • Review asset, plant and equipment requirements. • Review reporting requirements – statutory, strategic, and operational. • Review legal / contractual obligations and insurance requirements. • Address governance issues and policy. • Undertake a risk assessment. • Review division / business unit structure and staffing requirements – address accommodation/premises issues. • Establish budget and long term financial implications.


STAGE 3: APRIL 2015 – JUNE 2015 Objective • Prepare for Changeover Day. • Prepare budget and long term financial plan implications. • Ensure communications strategies are implemented. • Maintain strong links with interim organisation structure working group to ensure all structural planning supports service provision. • Maintain appropriate levels of stakeholder consultation. Actions • Develop interim service and operational plans, processes and systems to support continuity of service provision. • Implement the risk management plan to mitigate interruption to service provision. • Develop a Premises/Facilities Plan if required to support the revised service delivery model (includes depot, administration, co-located services). Confirm cost implications. • Define all leasing/property management and asset management requirements and actions. • Review and develop revised operational plans. Include insurance and legal implications. • Ensure all human resource and industrial relations matters are addressed. • Develop staff induction, training and development programs. • Develop a Changeover Day Plan. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the interim service delivery systems and logistical changes. • Implement revised operational plans and budgets. • Mobilise and rationalise resource distribution – accommodation, plant and equipment, employees, finance and systems. • Ensure communications strategies are effective. Actions • Implement the risk management plan to mitigate interruption to service provision. • Implement the Premises/Facilities Plan to support the revised service delivery model. • Implement asset management strategies. • Ensure all human resource and industrial relations processes are implemented and managed. • Implement staff induction, training and development programs. • Commence tracking of costs/savings for reporting and planning purposes. SUPPORTING MATERIAL FOR ALL STAGES Premises/Facilities Checklist Service Delivery Model - Considerations when reviewing the model Facilities and Services: Review of recreation facilities City of Subiaco Lords Business Plan • Refer to Function: Leading and Managing Change • Refer to Function: Risk Management • Refer to Function: Changeover Day


LEVELS OF SERVICE AND FUNCTIONALITY STAGE 1: NOW – JULY 2014 Objective • Collate all existing service levels and standards for all services. Actions • Define types of service levels (will be multiple types). • Document baseline position and performance of current service. • Define key drivers of service standards. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence preparation of revised service levels and standards for all services. Actions • Collate and compare current service standards from merging Local Governments. • Document baseline position and performance of current service. • Define key drivers. • In consultation with stakeholders, commence analysis and preparation of revised types and levels of service and standards. • Review fees and charges schedule. • Collate and review performance measures and key performance indicators and reporting mechanisms / requirements (including statutory). • Develop interim service and operational plans, processes and systems to support continuity of service provision. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Document and communicate new process and changes. • Undertake training where required. Actions • Finalise new levels of service and a revised services and facilities pricing schedule. • Establish new performance measures and key performance indicators and reporting mechanisms including statutory, operational and strategic requirements. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement new service levels and standards for all services. • Implement and communicate revised plans and processes. Actions • Establish new performance measures, key performance indicators and reporting mechanisms including statutory. • Implement operational processes and systems to support continuity of service provision. • Develop and implement a customer satisfaction survey for continuous improvement purposes. SUPPORTING MATERIAL FOR ALL STAGES Reviewing or Establishing Levels of Service • Refer to Function: Asset Management


STAKEHOLDER CONSULTATION STAGE 1: NOW – JULY 2014 Objective • Develop a stakeholder consultation plan. Identify and engage stakeholders as required. Actions • Identify all stakeholders and develop communications plan for all groups i.e. staff, community, user groups, contractors etc. • Identify key milestones for consultation. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Ensure all stakeholders are identified and engaged. • Implement communications plan. Actions • Identify and commence stakeholder consultation with regular and effective communications. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Ensure all stakeholders are engaged. • Implement internal and external communications plan. Actions • Continue stakeholder consultation with regular and effective communications. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement communications plan. • Maintain stakeholder engagement. Actions • Continue stakeholder consultation. SUPPORTING MATERIAL FOR ALL STAGES • •

Refer to Function: Community Consultation Refer to Function: Integrated Planning and Reporting


WASTE MANAGEMENT EDUCATION STAGE 1: NOW – JULY 2014 Objective • Determine current state. Actions • Collate and review all waste education and communications currently provided / delivered. • Identify any current measurement and reporting of outcomes of the education and communication activities. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Review all waste management education and marketing material. Identify common themes and unique programs. Actions • Collate and review all waste education and communications currently delivered across the Local Governments. • Identify any current measurement and reporting of outcomes of the education and communication activities. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop a consolidated draft education and communications plan for waste management. Actions • Develop a better practice waste education and communication plan in line with the State Waste Strategy and begin to identify budget and staffing resources to support the plan. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement a consolidated education and communications plan for waste management. Actions • Ensure new material is printed and dispatched. • New processes are communicated internally. SUPPORTING MATERIAL FOR ALL STAGES Introduction to the Waste Management Checklists Waste Management Checklist 1


EVENTS STAGE 1: NOW – JULY 2014 Objective • Establish an inventory of waste events and management of recycling undertaken by the Local Government. Actions • Identify, collate and review the events currently provided, approved or supported. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Establish an inventory of waste events and management of recycling undertaken by all merging Local Governments. • Identify the future requirements and commence planning for the new entity. Actions • Identify areas of divergence and similarity in current service provision and future requirements (includes waste, recycling, organics, other services, bin or other collection infrastructure, processing etc.). • Identify what sources of data are available to assess the current services (recovery rates, contamination rates). • Identify method of service provision (delivered by Local Governments, outsourced, combination of both) and duration of existing contracts if applicable. • Identify how waste material is processed and managed. • Identify the key drivers of waste management in the Local Governments Strategic Community Plans. • Commence the development of a plan for a consistent service across the area and transition to a better practice approach to event waste management. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop a draft Waste Management – Events Plan which includes a first cut for budget requirements, assets, resources, fleet, staff etc. Actions • Commence the development of a plan for a consistent service across the area and transition to a better practice approach to event waste management. STAGE 4: JUNE 2015 – ONWARDS Objective • Ensure consistent service provision across the new entity with a change management approach applied to any services requiring a staged transition / implementation. Actions • Develop and implement a draft Waste Management – Events Plan which supports and integrates with the Waste Management Facilities Plan and other key strategic plans, budgets, resources and asset management plans. SUPPORTING MATERIAL FOR ALL STAGES There is no supporting material for this sub-function. If you would like to request that some information is made available, please contact us on [email protected].


FACILITIES STAGE 1: NOW – JULY 2014 Objective • Identify the range of facilities provided, licensing, legislative requirements and service delivery model. Actions • Collate and identify the range of facilities the Local Government is currently responsible for (transfer station, depots, material recovery facility, landfill). STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop an overarching operational plan for the facilities, including contingency planning and risk management. Actions • Collate and identify the range of facilities the Local Governments are currently responsible for (transfer station, depots, material recovery facility, landfill). • Identify the activities that occur on each site (collection, storage, processing). • Identify the range of legislative requirements / license for each facility. • Identify approach to service provision (delivered by Local Government, outsourced, combination of both) and duration of existing contracts. • Identify if services are provided to commercial customers and on what basis. • Identify preferred data and business systems to support the change and commence merging of data. • In partnership with HR business unit, commence mapping of interim business unit structure to support service provision. • Continue consultation with stakeholders. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop an overarching interim operational plan for the facilities, including contingency planning and risk management. Actions • Develop a consolidated budget for operations, resourcing and assets. • Commence rationalisation / consolidation of service provision and mobilisation of resources where required to support desired levels of services. • Finalise business unit structure and staffing requirements. • Identify preferred data and business systems to support the change and commence merging of data. • Continue to engage with stakeholders. • Review risk management strategies.


STAGE 4: JUNE 2015 – ONWARDS Objective • Develop a consolidated operational plan for the facilities, including facilities contingency plan and risk management. Actions • Continue with rationalisation / consolidation of service provision and mobilisation of resources where required to support desired levels of services. • Continue to engage with stakeholders. • Continue to identify continuous improvement strategies and manage risk. SUPPORTING MATERIAL FOR ALL STAGES Waste Management Facilities Checklist 1 • Refer to Function: Service Delivery Model • Refer to Function: Human Resource Management


FEES AND CHARGES STAGE 1: NOW – JULY 2014 Objective • Identify and review all waste management services fees and charges and the methodology applied. Actions • Identify how waste management services are included in the rating strategy (as a separate charge, partially separate charge etc.). STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop an agreed interim methodology outlining how waste management services are calculated and charged and develop a plan for transitioning to a uniform charging system. Actions • Identify how waste management services are included in rates (as separate charge, partially separate charge or completely included) • Identify what charges are assigned to waste management services (staff, overheads, processing, disposal) • Identify and collate information about what is provided to residents to access waste management facilities (tip passes, gate fees) • Develop a set of principles and approach to charging for waste management services and what services will be included for residents and commercial customers. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Develop an agreed interim methodology outlining how waste management services are calculated and charged and develop a plan for transitioning to a uniform charging system. • Ensure stakeholder consultation is undertaken. Actions • Agree an approach to charging for waste management services and what services will be included for residents and commercial customers. • Prepare reports, advertising material etc. to support the revised Fees and Charges Schedule for adoption with the Annual Budget. • Provide education and training to affected staff and business units. STAGE 4: JUNE 2015 – ONWARDS Objective • Adopt and implement the agreed interim methodology and Fees and Charges Schedule. • Review plans and finalise the uniform charging system if required. Actions • Review Fees and Charges in line with service provision and apply changes if required. • Ensure all financial systems changes are made to reflect new fees and charges, budgets etc. SUPPORTING MATERIAL FOR ALL STAGES Waste Management Fees and Charges Checklist 1


KERBSIDE AND VERGE SIDE COLLECTION STAGE 1: NOW – JULY 2014 Objective • Identify the range of kerbside and verge side waste collection services offered. Actions • Collate and review all of the existing kerbside and verge side collection services (this includes waste, recycling, organics, other services) STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Commence development of a revised service delivery plan for kerbside and verge side services across the Local Government area including the transition to a better practice approach. Actions • Collate and review all of the existing kerbside and verge side collection services (this includes waste, recycling, organics, other services) delivered across the merging Local Governments. • Identify areas of divergence and similarity in type of service provision (bin or other collection infrastructure, collection frequency, amount, consistency of systems across Local Governments). • Identify what sources of data are available to assess the current services (recovery rates, contamination rates). • Identify approach to service provision (Local Government run, outsourced, combination) and duration of existing contracts • Identify if services are provided to commercial properties and on what basis. • Identify preferred data and business systems to support the change and commence merging of data. • Identify how material is processed. • Commence consultation with stakeholders. • Develop a plan for transitioning to a uniform collection system. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Begin to mobilise resources and implement changes to accommodate service requirements and desired levels of service. Actions • Continue consultation with stakeholders. • Identify preferred data and business systems to support the change and commence merging of data. • Develop staff education and training programs and include new administration processes to support changes.


STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the revised service delivery model and monitor effectiveness and rate payer satisfaction. Actions • Monitor new service delivery systems and conduct risk assessment. • Continue to engage with stakeholders. • Audit service for continuous improvement, effectiveness and satisfaction levels. SUPPORTING MATERIAL FOR ALL STAGES Waste Management Vergeside Checklist 1 Waste Management Kerb side Checklist 1


INTEGRATED PLANNING STAGE 1: NOW – JULY 2014 Objective • Ensure an integrated planning approach to waste management is achieved. Actions • Identify internal waste management related planning and building approval processes. • Identify better practice systems for the new entity which includes financial, planning and building approval processes. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Agree on the approach to ensuring the inclusion of waste management into the planning system. Actions • Identify internal waste management related planning and building approval processes across the merging Local Governments. • Develop a plan for transitioning to a better practice system. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Agree on the approach to ensuring the inclusion of waste management into the planning system. Actions • Plan how to implement the necessary internal processes and staff training necessary to ensure the incorporation of waste management into the planning and building process. STAGE 4: JUNE 2015 – ONWARDS Objective • Inculcate better practice integrated planning processes. Actions • Implement new systems and processes. • Ensure staff training needs are identified and addressed. • Monitor effectiveness of planning and operational changes. SUPPORTING MATERIAL FOR ALL STAGES DLGC Integrated Planning and Reporting Waste Management Integrated Planning Checklist 1 • Refer to Function: Integrated Planning and Reporting


PUBLIC PLACE STAGE 1: NOW – JULY 2014 Objective • Identify the range of public places available and/or utilised for waste management. Actions • Collate and review the public place waste management options currently in place or available (includes waste, recycling, organics, other services). STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Develop a plan for transitioning to a uniform collection system. Actions • Identify areas of divergence and similarity in type of service provision or requirements (bin or other collection infrastructure). • Identify what sources of data are available to assess the current services (recovery rates, contamination rates). • Identify approach to service provision (Local Government operated, outsourced, combination of both) and duration of existing contracts if applicable. • Identify how material is processed. • Commence the development of a Public Place Plan to facilitate a consistent service across the area. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the plan for transitioning to a uniform collection system. Actions • Commence the development of a Public Place Plan. • Review resource requirements and budget implications. STAGE 4: JUNE 2015 – ONWARDS Objective • Implement the plan for transitioning to a uniform collection system. Actions • Implement the Public Place Plan. • Address any staff training requirements. SUPPORTING MATERIAL FOR ALL STAGES Waste Management Public Place Checklist 1


STRATEGIC STAGE 1: NOW – JULY 2014 Objective • Identify and address strategic imperatives and risks. Actions • Collate and review all current Strategic and Operational Waste Management Plans and correlating informing plans. • Identify membership of Regional Council’s (where applicable) and the current strategic and operational commitments from the Local Governments. STAGE 2: AUGUST 2014 – MARCH 2015 Objective • Identify and address strategic imperatives and risks. • Develop a consolidated Strategic Waste Management Plan

Actions • Collate and review all current Strategic and Operational Waste Management Plans and correlating informing plans. • Identify membership of Regional Council’s (where applicable) and the current strategic and operational commitments from the Local Governments.  W ork w ith R egional ensure a smooth transition to the revised governance structure (once confirmed). • Commence stakeholder consultation. • In line with the DLGS Integrated Planning and Reporting Framework, commence the preparation of a consolidated Strategic Waste Management Plan for the new entity. STAGE 3: APRIL 2015 – JUNE 2015 Objective • Finalise the consolidated Strategic Waste Management Plan with supporting governance structure and reporting requirements documented. • All financial and other resource requirements have been included in the draft Annual Budget 2015/16. Actions • Continue to undertake stakeholder consultation. • Develop budget and resource requirements for the Strategic Waste Management Plan. • Prepare documentation for endorsement / adoption by Regional Council. STAGE 4: JUNE 2015 – ONWARDS Objective • Endorse / adopt the new Strategic Waste Management Plan. Actions • Implement the new Plan and reporting requirements. • All financial and other resource requirements have been included in the draft Annual Budget 2015/16. SUPPORTING MATERIAL FOR ALL STAGES Waste Management Strategic Checklist 1 • Refer to Function: Community Consultation • Refer to Function: Risk Management • Refer to Function: Regional Councils and Entities Local Governmett Reform Toolkit Workbook Page 236 of 236