Finance and Administration INVESTMENTS TO 30 SEPTEMBER … · Finance and Administration INVESTMENTS TO 30 SEPTEMBER 2013 cont’d Ordinary Meeting of Council held on 17 October 2013

Finance and Administration INVESTMENTS TO 30 SEPTEMBER 2013 cont’d

Ordinary Meeting of Council held on 17 October 2013 Page 201

Bank of Qld TD $400,000 4.00% 273 28-05-14 $11,967.12

Bankwest TD $400,000 3.45% 105 08-01-14 $3,969.86

Bankwest TD $400,000 3.50% 63 09-10-13 $2,416.44

IMB TD $500,000 3.55% 98 11-12-13 $4,765.75

IMB TD $300,000 3.60% 91 18-12-13 $2,692.60

IMB TD $400,000 3.55% 105 08-01-14 $4,084.93

IMB TD $400,000 3.90% 91 02-10-13 $3,889.32

IMB TD $400,000 3.60% 91 13-11-13 $3,590.14

IMB TD $700,000 3.55% 92 04-12-13 $6,263.56

IMB TD $500,000 3.55% 121 18-12-13 $5,884.25

IMB TD $400,000 3.57% 114 20-12-13 $4,460.05

NAB TD $1,000,000 4.05% 117 13-11-13 $12,982.19

NAB TD $500,000 4.13% 146 20-11-13 $8,260.00

NAB TD $500,000 4.06% 180 04-12-13 $10,010.96

NAB TD $500,000 4.10% 216 15-01-14 $12,131.51

NAB TD $700,000 3.93% 337 06-08-14 $25,399.64

St George TD $500,000 3.83% 371 17-09-14 $19,464.79

St George TD $400,000 4.15% 189 16-10-13 $8,595.62

St George TD $400,000 3.28% 63 23-10-13 $2,264.55

St George TD $500,000 4.22% 287 08-01-14 $16,590.96

St George TD $800,000 3.42% 182 26-03-14 $13,642.52

St George TD $400,000 4.00% 364 25-06-14 $15,956.16

St George TD $500,000 3.95% 369 09-07-14 $19,966.44

$20,400,000 $369,207.31 COUNCIL INVESTMENT PERFORMANCE: - BUDGET COMPARISON TO 30 SEPTEMBER 2013 Interest on Investments Received YTD $166,941 Annual budgeted amount for all funds $480,000 Percentage of Interest Received YTD 34.78% Percentage of Year Elapsed 25.00% BBSW COMPARISON TO 30 SEPTEMBER 2013 Average market interest rate (90 day BBSW) 2.58% Average return on all investments 3.88%

Finance and Administration INVESTMENTS TO 30 SEPTEMBER 2013 cont’d


The above investments have been made in accordance with Section 625, of the Local Government Act 1993, the Local Government Regulations, the Ministerial Investment Order and the Council’s Investment Policy. SUMMARY OF AVAILABLE CASH AT 30 SEPTEMBER 2013 TOTAL INVESTMENTS: - $ 20,400,000.00 LESS RESTRICTED ASSETS: -

General Fund Reserves $ 11,516,734.36

Water Supply Fund Reserves $ 5,100,412.58

Sewer Fund Reserves $ 2,580,128.25

Domestic Waste Management Fund Reserves $ 1,190,838.90

Trust Fund Reserves $ 11,885.91

POLICY IMPACT Nil OPTIONS Nil FINANCIAL IMPACT OF RECOMMENDATIONS Nil

RECOMMENDATION That - 1. Council receive and note the report as information. ATTACHMENTS

ATTACHMENTS

Nil

Finance and Administration - 17 October 2013


11.2 Bank Balances and Reconciliation to 30 September 2013

ITEM 11.2 Bank Balances and Reconciliation to 30 September 2013

FILE REFERENCE I13/506

AUTHOR Director Finance and Administration

ISSUE

Statement of Bank Balances and Reconciliation to 30 September 2013.

Recom

mendation

RECOMMENDATION That -

1. Council receive and note the report as information.

BACKGROUND Nil REPORT STATEMENT OF BANK BALANCE AND RECONCILIATION

General Ledger Balance brought forward 31 August 2013 1,874,387.33

Add: Receipts in September 2013 4,933,148.45 6,807,535.78

Deduct: Payments in September 2013 6,275,996.71 Balance as at 30 September 2013 531,539.07

Balance as per Bank Statement 30 September 2013 507,538.62 Add: Outstanding Deposits 119,388.30

626,926.92 Less: Unpresented Cheques 95,387.85 Balance as at 30 September 2013 531,539.07 POLICY IMPACT Nil OPTIONS Nil FINANCIAL IMPACT OF RECOMMENDATIONS Nil

Finance and Administration BANK BALANCES AND RECONCILIATION TO 30 SEPTEMBER 2013 cont’d



ATTACHMENTS

Nil



11.3 Rates and Charges Outstanding as at 30 September 2013

ITEM 11.3 Rates and Charges Outstanding as at 30 September 2013



ISSUE

Rates and Charges Outstanding Report 2013/2014.

Recom

mendation


1. Council receive and note the report as information.

BACKGROUND A summary report of the Rates and Charges outstanding as at 30 September 2013. REPORT There are attached reports titled “Rate Collection 2014 Year” and “Arrears of Rates by Category” for the 2013/2014 financial year. A comparison of the rates and charges outstanding percentage to previous financial years is highlighted in the below table:-

Description

30/09/2013

30/09/2012

30/09/2011

Total % Rates and Charges Outstanding

61.52% 62.28% 61.02%

Total $ Amount Rates and Charges Outstanding

$6,094,709 $5,839,972 $5,466,064

Total $ Amount of Rates and Charges Arrears

$ 122,656 $ 174,558 $ 148,231


Finance and Administration RATES AND CHARGES OUTSTANDING AS AT 30 SEPTEMBER 2013 cont’d



ATTACHMENTS

1. Rate Collection by Year Attachment2. Rates by Category Attachment

Item: Attachment 1.: Rate Collection by Year


Item: Attachment 2.: Rates by Category




11.4 2012/2013 Financial Statements Presentation

ITEM 11.4 2012/2013 Financial Statements Presentation



ISSUE

Upper Lachlan Shire Council’s 2012/2013 Financial Statements and Auditor’s Report presentation to the public.

Recom

mendation


1. Council receives the report and notes the information; and

2. Council endorses the Intentus Chartered Accountants external independent Auditor’s Report on the 2012/2013 Financial Statements.

BACKGROUND In accordance with Section 418 (1) (a) and (b), of the Local Government Act 1993, Council fixed the date and gave public notice of the presentation of the Financial Statements and external Auditor’s Report to the Ordinary Council meeting on 17 October 2013. REPORT Intentus Chartered Accountants (formerly known as Morse Group) was requested to complete their Auditor’s Report with respect to Council’s annual General Purpose Financial Statements and Special Purchase Financial Statements. The audit of Council’s 2012/2013 annual Financial Statements was completed on 9-12 September 2013. Leanne Smith, a Partner in Intentus Chartered Accountants, will attend the Ordinary Council Meeting on the 17 October 2013, and deliver a presentation of the Auditor’s Report with respect to the Financial Statements for the period ending 30 June 2013. A complete copy of the audited Financial Statements is available on the Councillors iPads as an attachment. Section 420 (2), of the Local Government Act 1993, provides that submissions to the Financial Statements must be in writing and are required to be lodged with Council within seven days after the day on which the Financial Statements are presented to the public. Any submissions received will be referred to Council’s Auditors for comment and/or action as necessary.

Finance and Administration 2012/2013 FINANCIAL STATEMENTS PRESENTATION cont’d


The result of Upper Lachlan Shire Council’s operations for the year ended 30 June 2013 is summarised as follows:- the Net Operating Result from all Council Activities totals $7.013 million surplus. The Net Operating Result for the year, before capital grants and contributions, totals a $2.350 million operating surplus. Council had originally budgeted for an operational budget surplus of $694,000. Details of the material variations, of greater than 10%, to the original budget estimate for both revenues and expenses are outlined in Note 16 to the Financial Statements. The consolidated net operating result for the year compared to budget estimate, before capital grants and contributions, can be further divided into net operating result by each individual fund as follows:- Operating Result by Fund Actual Budget Material Variance to Budget ($'000) ($'000) General Fund Surplus $1,672 $ 675 Salaries savings, private works / State Road income higher Water Supply Fund Surplus $ 580 -$ 16 Water use income $220K higher Sewerage Fund Deficit -$ 204 $ 35 Sewer bad debt write-off $361K Domestic Waste Fund Surplus $ 302 $ 0 Materials and contracts lower

Total Consolidated Surplus $2,350 $ 694 There was a net increase in cash and cash equivalents in the Cash Flow Statement which totalled $5.059 million. Council had originally budgeted for a cash flow deficit of $306,000 from all activities. The large variance in cash and cash equivalents is in part due to the shift of longer dated term deposits which were classified as Investments and moved into 90 day or less maturing term deposits which are classified as cash and cash equivalents in the Balance Sheet. The other main reason for the large increase in cash and investments is the delay in drawdown of funds for the Gunning and Dalton water supply project, which spent $1.9 million and had budgeted for $5.4 million expenditure in 2012/2013. Note 6 to the Financial Statements states that Council’s Cash and Investments held at 30 June 2013 total $17.078 million. A breakdown of these amounts is shown in Note 6 (c) which states total external cash restrictions, i.e. restrictions for water supply, sewerage, Section 94 contributions, unexpended grants and domestic waste, totals $9.995 million. The internal cash restrictions total $6.521 million, i.e. employee leave entitlements, plant replacement, uncompleted works, gravel pit and rubbish tip remediation, and infrastructure reserves. There remains $562,000 unrestricted cash, which increased from $291,000 held in 2011/2012.



Attention is drawn to the Auditor’s Report with respect to the requirement for revaluation of buildings and operational land asset classes “at fair value” as at 30 June 2013. Council experienced contractual complications with respect to receiving accurate valuations data from the engaged valuation consultant within the designated timeframe for audit. As stated in the Auditor’s Report “While the financial statements are in compliance with Australian Accounting Standards, they do not comply with the Divisional requirement which specifies that the revaluation of Council assets be conducted at least once every five (5) years.” Therefore, Council received an “emphasis of matter” to General Purpose and Special Purpose Financial Statements in relation to this issue. The revaluation of these classes of assets will be completed by 30 June 2014. Sound Financial Position All the performance measures used by the Division of Local Government indicate Upper Lachlan Shire Council is at present in a sound financial position to meet all provisions and liabilities. Note 13 to the Financial Statements highlights that Council’s Unrestricted Current Ratio of assets to liabilities is 4.48:1 and Rates and Charges Outstanding Percentage is 2.79%. Note 13 to the Financial Statements and the Sustainable Finances Health Check summary provide further information with respect to the financial management and performance of Council and comparison to previous year’s results. 2013 2012 Current Previous ( $'000 ) ( $'000 ) INCOME STATEMENT:

Total - Income from Continuing Operations 25,939 25,968 Total - Expenses from Continuing Operations 23,589 23,520

Net Operating Result before Grants and Contributions

provided for capital purposes 2,350 2,448Total - Income from Capital Grants and Contributions 4,663 2,745

NET OPERATING RESULT FOR THE YEAR 7,013 5,193

STATEMENT OF FINANCIAL POSITION: Total - Current Assets 22,002 18,483 Total - Current Liabilities ( 5,327) ( 4,719)

Net - Current Assets 16,675 13,764 Total - Non-Current Assets 396,402 391,918 Total - Non-Current Liabilities ( 3,542) ( 3,697)

Net - Non-Current Assets 392,860 388,221

TOTAL EQUITY 409,535 401,985

OTHER FINANCIAL INFORMATION: Unrestricted Current Ratio Ratio 4.48 4.25Debt Service Ratio Ratio 0.02 0.05



Rate Coverage Ratio Ratio 0.29 0.29Rates and Annual Charges Outstanding Percentage Percentage 2.79% 3.08%Building and Infrastructure Renewals Ratio Ratio 0.93 0.77


RECOMMENDATION That - 1. Council receives the report and notes the information; and 2. Council endorses the Intentus Chartered Accountants external independent

Auditor’s Report on the 2012/2013 Financial Statements. ATTACHMENTS

ATTACHMENTS

1. Attachment - 2012/2013 Financial Statements Appendix



11.5 Application for waiver of multiple Rural Waste Charges

ITEM 11.5 Application for waiver of multiple Rural Waste Charges



ISSUE

Council to review applications for waiver of multiple Rural Waste annual charges for the 2013/2014 financial year.

Recom

mendation


1. Council in accordance with Section 610E, of the Local Government Act 1993, waive the multiple Rural Waste Charges totalling $1,778.70 (GST Inclusive).

BACKGROUND Nil REPORT Reference is made to Upper Lachlan Shire Council’s Operational Plan where Council determined to waiver multiple Rural Waste Charges for ratepayers. Upper Lachlan Shire Council is required to make decisions related to each individual application for waiver of multiple Rural Waste Charges. The waiver is to be made in accordance with Section 610E, of the Local Government Act 1993. There is an attachment report with the recommendation of approval for the waiver of multiple Rural Waste Charges. The total number of Rural Waste Charges waived is 11 and results in a write down in income totalling $1,778.70 (GST Inclusive). POLICY IMPACT Nil OPTIONS Nil FINANCIAL IMPACT OF RECOMMENDATIONS The impact is an income write down totalling $1,778.70 (GST Inclusive).

Finance and Administration APPLICATION FOR WAIVER OF MULTIPLE RURAL WASTE CHARGES cont’d


RECOMMENDATION That - 1. Council in accordance with Section 610E, of the Local Government Act 1993,

waive the multiple Rural Waste Charges totalling $1,778.70 (GST Inclusive). ATTACHMENTS

ATTACHMENTS

1. Applications for waiver of Rural Waste Charge Attachment

Item: 0.0 Attachment 1.: Applications for waiver of Rural Waste Charge




11.6 Gathering Information Policy

ITEM 11.6 Gathering Information Policy



ISSUE

Review of Council’s Gathering Information Policy.

Recom

mendation


1. Council adopt the Gathering Information Policy.

BACKGROUND The Gathering Information Policy is necessary to set the required standard and procedures for capturing information to assist Council in defending a potential public liability or professional indemnity claim. It is a requirement by Council’s insurer StateWide Mutual Ltd to have a Gathering Information Policy and associated procedures for staff to implement. REPORT

POLICY:-

Policy Title:

Gathering Information Policy

File reference:

F10/618

Date Policy was adopted by Council initially:

22 November 2007

Resolution Number:

344/07

Other Review Dates:

17 June 2010

Resolution Number:

235/10

Current Policy adopted by Council:

17 October 2013

Resolution Number:

XXX/13

Next Policy Review Date:

2016

Finance and Administration GATHERING INFORMATION POLICY cont’d


PROCEDURES/GUIDELINES:-

Date procedure/guideline was developed:

N/A

Procedure/guideline reference number:

N/A

RESPONSIBILITY:-

Policy developed by:

Director of Finance and Administration

Committee/s (if any) consulted in the development of this Policy:

N/A

Responsibility for implementation:

General Manager

Responsibility for review of Policy:

Director of Finance and Administration



1. BACKGROUND It is best practice that Council adopts a formal policy supporting the consistent and systematic treatment and collection of information systems and procedures. Council must ensure that data is collected and records are maintained in a format that are of a standard that Courts and Magistrates would accept as admissible evidence. Accurate and consistent records management may discourage potential claimants from seeking redress in the Courts and is also an effective tool in the defence of liability and insurance claims. 2. OBJECTIVE To document and review the required standard of Council generated information and data needed to assist in defending a public liability or professional indemnity claim and ensure that they constitute admissible evidence and that Council has acted in a manner which has fulfilled its duty of care to the public. The above process is to support procedures for the gathering of information for such purposes. 3. PRINCIPLES 1. To meet operational business needs, accountability requirements and

community expectations; 2. Internal documents should be easily accessed and they must be structured to

ensure that they capture the information required and are presented in a manner that makes the information easy to interpret;

3. The protection of Council’s financial position and maintain public confidence through active risk management and risk mitigation; and

4. To facilitate the minimum data requirements for information required to be used defending possible public and professional liability insurance claims.

4. POLICY STATEMENT Upper Lachlan Shire Council aims to provide sustainability to the community, by providing services and making decisions that enhance our quality of life, our economic and our natural environment. Council’s responsible officer is the Manager of Works who is committed to documenting and assisting groups within Council by distributing the adopted procedures for gathering information and information systems. This policy, together with the procedures, provides the minimum data standards for the gathering of information. It is aimed at reducing the information supplied by Council to its solicitors that is currently inadmissible, together with either information or data that is not detailed or unwanted additions that may render the information of little value in the defence of a potential claim. The checklist should be used to ensure that all the appropriate data is gathered and contains the appropriate information. Listed information source documentation from the checklist must be appropriately recorded and archived in accordance with Council’s records management requirements and directives and in accordance with the NSW State Records Act 1998 and associated standards.



Council will, within its budgetary constraints and using existing information systems available to it, endeavour to ensure accurate and systematic information is maintained and stored appropriately. By adopting the policy, Council is working towards enhancing Upper Lachlan Shire Council’s image in keeping with Council’s Vision and Mission articulated in the Council Community Strategic Plan and Delivery Program. 5. INCIDENT MANAGEMENT Types of incidents

- Work Health and Safety, work-related injury or illness to council employees, volunteers, contractors

- Public Liability Traffic incident at council controlled road works Traffic incident on council controlled road network Injury of illness to member of the public at council controlled

facility or infrastructure Injury, illness, loss or damage suffered by member of the public

as a result of actions or activities of council staff, volunteers or contractors

- Professional Indemnity Loss of damage suffered by member of the public as a result of a

Development Application determination Loss of damage suffered by member of the public as a result of

issue of a Certificate Loss or damage suffered by member of the public as a result of

technical design or advice supplied by council - Property

Any occurrence of a workplace emergency Any occurrence of implementation of the Business Continuity

Plan Any Failure of plant or equipment Any loss or damage to fleet, equipment or property asset from

actions of staff, volunteers, contractors, visitors or members of the public

- Legislative Compliance Any failure in legislative compliance

- Environmental Any incident involving and environmental spill at council

controlled facility or workplace - Financial

Any occurrence of fraud or misappropriation Any occurrence of major cost over-run Any occurrence of failure in debtor, creditor and investment

control systems - Governance

Any occurrence of failure in Code of Conduct Any occurrence of fraud of misappropriation



Any occurrence of Significant reputation loss Any occurrence of project management failure Any occurrence of Privacy Principles failure

It is essential that Council has a systematic process in place that can respond to these incidents in a uniform and coordinated manner, irrespective of type of incident Flowchart A flow chart is the best way to visualise the incident process is to look at an incident flow chart ‘Incident procedure’ is a graphical representation of the flow of information that typically occurs within council. The flow chart in not intended to define the total process in dealing with a report of an incident or complaint, irrespective of type, but rather it deals with the process of claims administration, highlighting the required process required when recording and reporting an incident, internally and to our insurance providers. 6. RECORDS AND EVIDENCE The implementation of a policy, supported by procedures and processes, will assist Council in its ability to produce records, in any data medium that are complete, concise, accurate and acceptable to a court of law. Minimum Data, it must be recognised that preparing the necessary documentation is of little use if it does not contain the minimum data to make it acceptable in court. While this varies from document to document (See table below), each document should include as a minimum:

The date on which it was created The version number The name and, where appropriate, the signature of the author

Orders of Discovery, an order for discovery is the process of identifying and disclosing to the other party to a legal action, all the documents that are relevant to the issues in the proceedings. This imposes obligations on a council to make a full and thorough search for all pertinent documents, including any in electronic form, particularly e-mails Legal Privilege is intended to provide confidentiality of communications between a client and their legal representatives. In legal proceedings parties are required to disclose all pertinent documents, in any form, to the other party. If legal privilege is exercised on a document(s), it is not necessary to product that document to the other party. However, it still must be provided to the Council lawyers. In order to make a claim for privilege over a document Council must be able to demonstrate it was created for the dominant purpose of obtaining legal advice. Document shall be marked “Privileged and Confidential”, held in a suitable file marked “Legal- in-Confidence” and kept in a secure area, not accessible by the general Council staff. Note: these marking along are insufficient to make a claim for privilege.



Assessment of communication methods and risk, Council creates many documents that are available to the public including reports, forms correspondence, brochures, fliers and registers. We (Council) also make available information via websites, newsletters and signs. Council needs to manage the risk that these documents, and other medium for dissemination information, pose if they are inaccurate, misleading, and out of date: Council also ensures that its documents contain sufficient data to be acceptable in court. 7. LEGISLATIVE COMPLIANCE

NSW State Records Act 1998; Evidence Act 1995; Civil Liability Act 2002; Legal Profession Act 2004; Evidence on Commission Act 1995; and Electronic Transaction Act 1999.

8. RELATED POLICIES Related Documents:- Incident Procedure Flowchart. Records Management Policy and Procedures. Information Technology Strategic Plan. Code of Conduct for Councillors, staff, contractors and delegates of Council. Business Continuity and Disaster Recovery Plan. Complaints Management Policy. Service Delivery Policy. 9. OTHER RELEVANT LEGISLATIVE PROVISIONS

Local Government Act 1993 Local Government (General) Regulations 2005; Environmental Planning and Assessment Act 1979; NSW State Records Act 1998; Interpretation Act 1987; Local Government (State) Award 2010; Privacy and Personal Information Protection Act 1998; Independent Commission against Corruption Act 1988; Freedom of Information Act 1989; Anti Discrimination Act 1977; Roads Act 1993; Protection of the Environment Operations Act 1997; Government Information (Public Access) Act 2009; Work Health and Safety Act 2011.

10. VARIATION TO POLICY That Council reserves the right to vary the terms and conditions of this policy.


Ordinary Meeting of Council held on 17 October 2013

INCIDENT PROCEDURE

Internal Source

External Source

Incident notified to Council

INCIDENT

Is further Information Required?

File

Types of Incident

Request for further Information

Department responsible

Search by relevant Department for related documentation

Internal reports

Acknowledge receipt of Claim.

External reports

Initial Council Report

A Serious incident, Notify Manager in 24hr, WorkCover, State Cover

Claimant report / Notification

NO

YES

Internal Reporting

1. Works Comp 2. Public Liability 3. Prof Indemnity 4. Property Claim

Copy of Claim & Internal Report to insurer

Claim Process

Works / WHS Admi E & P

Is there a case of liability?

File

Report to Manex meetings, Incidents

YES

NO

Final report

Reference: ‘BPM Gathering information for incident Management Statewide Version 4 2010”

Page 222



INFORMATION SOURCE

DESCRIPTION TYPICAL USE

REQUIREMENTS ADDITIONAL INFORMATION

1.Works Program

A strategic document that prioritises works, linking timeframe and resources for individual capital works projects and/or maintenance activities.

Used to highlight Council’s level of commitment to its infrastructure relative to its financial strength. Could be used to defend a statement claiming inaction by Council.

Financial year and date of preparation Version number and date of preparation Council minute of change (if appropriate)

Responsible Group: Works & Operations

Medium: Microsoft Excel data base (projects)

Storage: I Drive, Microsoft projects

Trim folder: F10/549-02

2.Work or Service Request (CRM)

A document requesting work to be completed by Council as a result of a potential risk found by an employee or a member of the public.

Used to highlight Council’s identification of risks program. Could be used to defend a statement claiming inaction by Council.

Date Name of originator Specific location Unique identifier Referred to Priority (currently being developed) Action taken Date action taken Name and signature of person completing action (currently only when physical works carried out)


Medium: Customer Request Management System (CRM)

Storage: Authority data base

Trim folder: Nil

3.Inspection Record

A pro-forma document used by Council Officers to report on the general condition of the infrastructure and assets of Council.

Used to highlight Council’s identification of risks program. Could be used to show that Council was there, has inspected and made recommendations including repair, thus able to defend a statement claiming negligence by Council

Date Name of inspecting officer Signature of inspecting officer Inspecting officer’s position and department Specific location Unique identifier (currently based on date of repair) Recoverable List of recommendations


Medium: Microsoft Word and Excel documents

Storage : I:/drive

Trim folder: Nil

4.Maintenance Management System

MMS is used for the planning, organising, directing and controlling of maintenance work.

Work scheduling can be used to defend a statement claiming inaction by Council. The system can also record the type of maintenance activity performed at any given time and location. This data could be used to defend a statement claiming inaction or negligence.

Daily running sheet recoverable Date Name and signature of originator (this will not appear on this document, it will be linked to the request or inspection record) List of employees in gang Activity Number of employees Work achieved Location Audit trail


Medium/ Reflect Asset Maintenance System

Storage Details: Reflect data base

Trim Folder: Nil



INFORMATION SOURCE



5.Environmental Due Diligence Programs

A strategic document, dealing primarily with environmental management issues that prioritises works and sets out a timetable for completion.

Used as a defence in the case of a breach under the Protection of the Environment Operations Act (POEO Act) or a third party action claiming negligence or inaction by Council.

Date Name of originator Signature of originator Endorsed by Council Action plan with timetable for completion

Responsible Group: Environment & Planning

Medium:

Storage: Not specified

Trim Folder:

F13/192

6.Time Sheets and Plant Sheets

System of recording and allocating labour and plant costs, primarily for the purpose of payroll and project costing.

Useful in verifying the location of staff and resources on a particular day. Can assist in defending a statement claiming negligence by Council.

Date All changes crossed out are to be initialled Signature of employee All relevant data to be completed

Responsible Group: Finance & Administration

Medium:

Storage: Payroll & Human Resources

Trim Folder:

F13/193

7.Diary Entries Diary entries are often used to record details of the scene of an incident and are regularly the basis of the “Initial Council Report”. They can be a source for information such as weather, times, locations etc as well as staff attendances.

Used for evidence of staff attendances and actions taken or not taken. Could be used to defend a statement claiming negligence by Council.

Name Date Department Unique identifier Black Ink (preferable) Photocopy should show book binding Legible writing All entries signed and dated (full date dd/mm/yy) All activities noted


Medium:


Trim folder:

F13/194

8.Work Practices/ Procedures

Written procedures produced by Council used to standardise Council’s response to a particular task.

Used in verifying that the work undertaken by Council is routine and is performed to a prescribed level of quality. Could be used to defend a statement claiming negligence by Council.

Recoverable Details of implementation Dates

Responsible Group: General

Medium: Word, Excel, flowchart, forms

Storage: I/drive, document folders

Trim folder:

F13/195

9.Photographs and Digital Capture

Pictures of specific locations or job.

Used to provide evidence of the physical appearance of a defect or work at a particular point in time. Could be used to defend a statement claiming negligence by Council.

Date taken

Photographer name File/Claim Number Location and direction facing at location Colour


Medium: Digital

Storage: digital images, CD

Trim folder: F13/196



INFORMATION SOURCE



10.Training Records

A detailed record of the training activities of all members of staff. Council’s Training Plan and personnel files are used to source and store the training data for individual employees.

Used to verify Council’s commitment to ensuring that staff members are well trained. Could be used to defend a claim of negligence.

Name of employee Name of trainer Employer of trainer Date of training Title of course(s) Brief course outline Duration of course Indication of successful completion Any results, certificates, licenses etc


Medium:

Storage: Personnel Files and Council Training Plan

Trim folder:

Individual Personnel folder

11.Standards A predetermined “benchmark” by which results or performance is measured. The “benchmark” can be set either by the particular industry or Council.

Used to highlight Council’s commitment to best practice within its resources. Could be used to defend a statement claiming negligence by Council.

Name of standard Citation number of standard Name of issuing standards organisation Date standard approved/implemented Full copy of standard


Medium: Electronic, printed hard copy

Storage: I/drive, filing cabinets

Trim folder:

F13/197

12.Site Visits Routine site inspection documented by the inspecting officer, noting conditions found at the site.

Used to produce a detailed description of the condition of the site at a given point in time. Could be used to defend a statement claiming negligence and/or inaction by Council

Date of visit Location, address of site Name of inspector Names of any additional inspectors, escorts etc Field notes, photographs, diagrams all to be dated, signed


Medium:

Storage: WH&S Officer and Committee

Trim folder:

F13/198

13.Interviews As a result of a claim a recorded discussion between the relevant Council employees and the interviewing officer.

This is used to extract fact which dictates the course of the investigation. Could be used to defend a statement claiming negligence and/or inaction by Council.

Name of interviewer Name of individual being interviewed Job title of staff being interviewed Date of interview Time of interview Location interview taken Witness to interview Typed format for interview notes


Medium:


Trim folder:

F13/199



INFORMATION SOURCE



14.Statements Is a first party testimony of fact!

It can be used as a record of an individual’s account of the event. Could be used to defend a statement claiming negligence and/or inaction by Council.

Name of individual making statement Job title of staff making statement Date of statement Time of statement Location statement taken Witness to statement Signature (black pen) of person making statement Signature of person taking statement and witness Typed format for statement


Medium:

Storage: Insurance Documentation Requirements

Trim Folder:

F13/200

15.Annual Budget

A financial statement that details the projected income and expenditure for a financial year. It indicates the amount of financial resources able to be allocated to each function/project of Council.

Used to highlight Council’s level of commitment to its infrastructure relative to its financial strength. Could be used to defend a statement claiming inaction by Council.

Date of report Version of report Financial year of report Date of Adoption or Budget Review


Medium:

Storage: Budget as adopted by Council annually and Quarterly Budget Reviews

Trim folder:

F10/549-02

16.Drawings or plans

A graphical representation of the work area, work method or location of the incident.

Visually shows evidence of the work planned. Shows standards to which the work is to be performed. Could be used to defend a statement claiming professional negligence, inaction or design failure.

Legible format (size) A legend indicating name of draftsman, architect, company etc Reference to related drawings Total number of drawings in set Index number of drawing Direction of north recorded on drawing Drawing scale Date of drawing or plan


Medium:

Storage: Paper/microfiche/electronic filing on I:/drive

Trim folder:

F13/201

17.Maps Defines the exact location of the event.

Visually shows the location of the incident. Could be used to defend a statement claiming responsibility for an event where Council may not even be liable.

Date map was made Person/organisation drafting map (source) Direction of north recorded on map Scale of map Area depicted by map Legible format

Responsible Group: Works & Operations and Environment & Planning

Medium:

Storage: GIS – MapInfo and Exponare




INFORMATION SOURCE



18.Phone logs Chronological record of calls made or received by Council officers.

Used as a record of proceedings, conversations and advice given over the phone. Could be used to defend a statement claiming negligence and/or inaction by Council.

Contained in book with binding (manual) Name of log book user (manual) Page numbers (manual) Date of call (manual & TRIM) Time of call (manual & TRIM) Name of caller (manual & TRIM) Summary of call (manual & TRIM)


Medium:

Storage: Log book, diary entries and/or telephone accounts data

Trim folder:

F13/203

19.Medical reports

Is a written summary from an attending physician summarising the patient’s condition.

Used to establish the degree of injury and disability and thus challenge punitive damages.

Name of examining physician Date of examination Reason for examination Type written format Signed by attending physician

Responsible Group: Medical Practitioner ( outside source) and Human Resources

Medium:

Storage: Personnel files

Trim folder:

Individual personnel files

20.Expert reports

A written formal summary of certain circumstances of the claim, prepared by a specialist in the field of the incident.

Used to verify the specific facts of the incident by an expert with the relevant experience. Could be used to justify action or inaction.

Name of expert CV of expert List of publications by expert Reference number Signature of expert Date of investigation

Responsible Group: Specific Expert (outside source as required)

Medium:


Trim folder:

F13/204

21.Weather reports

A record of the weather conditions that prevailed at a given time and location.

Used to verify the conditions at the time of the incident.

Date of event Date of inquiry Name of weather service Symbol of authority (letterhead, stamp) Contact telephone number of issuing authority

Responsible Group: Bureau of Meteorology (outside source) or Works Supervisors

Medium:

Storage Details: Not specified

Trim folder:

F13/205



INFORMATION SOURCE



22.E-mails Records of requests or details made or received by Council Officers.

Used as a record of proceedings, conversations and advice received by e-mail. Could be used to defend a statement claiming negligence and/or inaction by Council.

Date and Time sent Name of person sent from Name of person sent to Name of person copy sent to Subject summary/title Details


Medium:

Storage Details: Microsoft Outlook & Records Management System (EDMS)

Trim folder:

F13/206

23.Facsimiles Records of requests or details made or received by Council Officers.

Used as a record of proceedings, conversations and advice received by facsimile. Could be used to defend a statement claiming negligence and/or inaction by Council.

Name of person sent to Name of company (if applicable) Facsimile number sent to Total number of pages sent Name of person sent from Date sent: Facsimile number sent from Contact Council telephone number Subject summary/title Details


Medium:

Storage: Records Management System - filed on relevant case file

Trim folder:

F13/207

24. Incident report

Records of incidents recorded in the field, in person or over the telephone.

Used as a record of incidents. Could be used to defend a statement claiming negligence and/or inaction by Council.

Minimum requirements should comply with the guidelines inserted into the front cover of each incident report book and in accordance with the type of incident being recorded.


Medium:

Storage: Records Management - filed on relevant case file and legal file where necessary


25. File Notes Records of requests, phone calls, informal meetings or other details made or received by Council Officers.

Used as a record of proceedings, conversations and advice received by Council Officer. Could be used to defend a statement claiming negligence and/or inaction by Council.

File Number: Name of person composing note: Date: Time: Subject summary/title: Details: Signature (black pen) and date (full date dd/mm/yy Legible writing or typed on standard form template

*signed file notes must be scanned into TRIM for signature storage


Medium:

Storage: Records Management - filed on relevant case file

Trim folder:

F13/209



INFORMATION SOURCE



26. Council Policies

A formal written general statement of the governing body (Council).


Date adopted Minute number File number Title Responsible Office Background Objective Principles Policy Statement

Responsible Group: Governance

Medium:

Storage: Directory I:/ drive / Policies & Procedures / ULSC Policy Manual

Trim folder:

F10/618-03

27.

Management Directives

Is formally written and refers to a staff related matter, on the day-to-day administration of the Council.


Date adopted File number Title Responsible Office Background Objective Principles Statement

Responsible Group: Governance

Medium:

Storage: Directory I:/ drive / Policies & Procedures and Manex meeting minutes stored on I:/ drive; and Records Management System (EDMS)

Trim folder:

F11/44

POLICY IMPACT Review of an existing Council policy. OPTIONS Nil FINANCIAL IMPACT OF RECOMMENDATIONS Nil

RECOMMENDATION That - 1. Council adopt the Gathering Information Policy. ATTACHMENTS

ATTACHMENTS

Nil



11.7 Business Continuity and Disaster Recovery Plan

ITEM 11.7 Business Continuity and Disaster Recovery Plan



ISSUE

Review of Council’s Business Continuity and Disaster Recovery Plan.

Recom

mendation


1. Council adopt the Business Continuity and Disaster Recovery Plan.

BACKGROUND Nil REPORT

PLAN:-

Plan Title:

Business Continuity and Disaster Recovery Plan

File Reference:

F10/943

Date Plan was adopted by Council initially:

18 December 2008

Resolution Number:

411/08

Other Review Dates:

16 July 2009

Resolution Number:

294/09

Current Plan adopted by Council:

17 October 2013

Resolution Number:

XXX/13

Next Review Date:

2016

Finance and Administration BUSINESS CONTINUITY AND DISASTER RECOVERY PLAN cont’d


PROCEDURES/GUIDELINES:-

Date procedure/guideline was developed:

N/A

Procedure/guideline reference number:

N/A

RESPONSIBILITY:-

Draft Plan developed by:

Assets and Risks Coordinator and Director of Finance and Administration

Committee/s (if any) consulted in the development of this Plan:

N/A

Responsibility for implementation:

General Manager

Responsibility for review of Plan:

Assets and Risks Coordinator and Director of Finance and Administration

1. BACKGROUND Council is a provider of core essential services within the Upper Lachlan Shire community and entire local government area. These essential services include; water supply, sewerage, waste services, information technology systems, roads and transport infrastructure. Disruptions may conceivably be caused by individual incidents or a disaster of such a nature as fire, storm, flood, snow, earthquake or explosion. The Business Continuity Plan (BCP) provides a strategy for response, management and recovery from an incident or disaster. The BCP is a living document which will be regularly updated to reflect changing circumstances or information.

2. OBJECTIVES OF THE PLAN

The objective of this Business Continuity Plan (BCP) is to provide a readily accessible, useable and thorough document which enables Council and its Officers to:- Follow an agreed, tried and systematic approach for the management of any

incident or declared disaster; Implement procedures to maintain core essential services, wherever possible,

through the disaster recovery period(s); Re-establish services and operations as quickly and efficiently as possible; and Minimise the impact and affects of business interruptions on the public, staff

and Council.



3. SCOPE OF THE BUSINESS CONTINUITY PLAN The scope of the Upper Lachlan Shire Council BCP is limited to the critical services provided by Upper Lachlan Shire Council to its stakeholders, the orderly management of staff during an incident and the coordinated communication of any impact to the rest of the organisation. The BCP has been developed to respond to four categories of incident, namely:- Denial of Access: Loss of access to a critical asset, including damage; Loss of Critical Utilities: Covering water supply, sewerage and waste

services; IT Services: Extended disruption to information technology (IT) services; People Threats: Sudden loss of staff, Work Health and Safety, industrial

relations, transport network, community health.



4. INCIDENT GOVERNANCE

1. Upper Lachlan Shire Council employees are located across a number of worksites and multiple offices, with the majority of the senior management team located within the Council Administration Office in Crookwell. 2. 3. The Upper Lachlan Shire Council BCP defines a three-tier management structure to respond to an incident and disasters with the potential to cause a significant disruption to organisational operations and crucial support services. Management of an internal incident is escalated up and an Emergency / Disaster response is driven down.

Upper Lachlan Shire Council is a relatively small Council this may result in the Director and Managers taking on various roles on the ERC, BCT and DIT. The emergency response structure allows the General Manager to lead at a high level with assistance from Manex and Public Relations. With an appointed Departmental Director making the strategic business decisions with assistance from the LEMO and other corporate services management specialists.

Page 233



INCIDENT RESPONSE GUIDE The Incident Response Guide is split into three major phases:- A. Alert and Invocation Phase: The problem is recognised, evaluated and a

decision made on whether to invoke a business continuity response. B. Invocation and Recovery Phase: Execute the necessary recovery actions to

provide the minimum service for continued business operations.

C. Return to Normal Phase: Planning and implementation of necessary tasks to return business activities to normal operations.

4.1 Flowcharts

A – Alert and Invocation Phase flowchart

B – Invocation and Recovery Phase flowchart

C – Return to Normal Phase flowchart 4.1.1 A – Alert and Invocation Phase Flowchart

Page 234



A1 – Check Sheet Assess Impact on Service Levels The initial assessment is performed by the relevant responsible Manager within Council. The purpose is to establish whether the identified incident can be managed entirely by the Council’s staff within established service levels using Business-As-Usual response mechanisms. The outcomes of the initial assessment are decisions on whether to invoke emergency response procedures and whether to escalate the incident to the Business Continuity Team (BCT). Check Sheet Description Business

As Usual Tolerance(BAU)

MaximumTolerable Outage (MTO)

Affected Yes / No

Service Desk Crookwell 1 2 Service Desk Gunning 1 2 Service Desk Taralga 1 2 E&P services 1 2 Maintenance Dep Crookwell 1 2 Maintenance Dep Gunning 2 2 Maintenance Dep Taralga 2 2 Payroll 1 5 IT 1 3 Phones services 1 2 Financial services 1 2 Sewerage leak Water Main leak Significant Injury/incident Mobile plant Purchasing staff Dirty water Road closure Bridge closure



Impact Time Line The Upper Lachlan Shire Council Business Continuity Plan recognises three stages of business continuity activation:-

Business as Usual recovery only Green Monitor and limited invocation Amber Full Business Continuity invocation Red

The following diagram presents an incident time-line and its relationship with the three BCP stages:-

Important: It is the expected recovery time that governs the response, not the time that has actually passed since the incident. The incident should be referred to the BCT if the recovery times are likely to exceed half of the Maximum Tolerable Outage. The most time sensitive critical resources are listed below, with their BAU (Business As Usual) tolerance, MTO (Maximum Tolerable outage) and affect. A-2 Emergency Response Emergency Response procedures are largely the activation of the Work Health and Safety WH&S section and evacuation processes (Refer to WHS system for evacuation located at most doorways). The purpose to emergency response is to ensure the safety of visitors, contractors and staff from the impact of the incident and the provision of prompt assistance to anyone affected by the incident. The initial evacuation response should be directed by the Emergency Response Team located at each occupied site e.g. Fire Wardens.

Page 236



4.1.2 B – Invocation and Recovery Phase

Page 237



4.1.3 C - Return to Normal Phase

Page 238



5. Disaster Administration Council’s response to any disasters affecting Council operations and the implementation of this disaster recovery and contingency plan will be administered by the Emergency Response Committee (ERC). The ERC will comprise the following permanent members. The emergency contact numbers are presented below. Other members may be inducted as required.

POSITION NAME NUMBER

GENERAL MANAGER John Bell (02) 4830-1010, 0418-417-005

DIRECTOR OF FINANCE AND ADMINISTRATION

Andrew Croke (02) 4830-1008, 0417-068-766

DIRECTOR OF ENVIRONMENT AND PLANNING

Tina Dodson (02) 4830-1027, 0408-664-671

DIRECTOR OF WORKS AND OPERATIONS

Phil Newham (02) 4830-1063, 0409-050-451

INFORMATION SERVICES CO-ORDINATOR

Marianne Laws (02) 4830-1004



Emergency Response Committee (ERC) The following senior management hierarchy shall be employed in the event of an emergency. The General Manager will automatically become the Chairperson of the Emergency Response Committee (ERC). If, under extreme circumstances, the General Manager is unable to fulfil this role, the Director of Finance and Administration will assume the role. This hierarchy becomes the Policy of Council effective from the date of the disaster.

Page 240



5.1 Crisis Centre – off site recovery response The ERC will act as Council’s immediate response and disaster recovery group, establishing priorities, organising and directing Council’s resources and providing information to staff and members of the public. The ERC will assemble upon the instructions of the General Manager or the nominated Chairperson. The ERC will assemble at the nominated premises and be known as the Crisis Centre: Library building, Denison Street, Crookwell, or Library building, Yass Street, Gunning, or Community Service Centre, Orchard Street, Taralga. The existing Council telephone number (02) 4830-1000 and facsimile number (02) 48322066 are to be redirected immediately to the Crisis Centre. Appendix D should be signed by the General Manager or Chairperson and sent to Telstra within 24 hours. The Executive Assistant should be assigned to the Crisis Centre effective the next working day, to assist the ERC with all communication and correspondence. The Manager of Finance and Administration should be assigned to the Crisis Centre immediately, to assist with all purchases, rentals and property agreements required for the immediate establishment of the Crisis Centre and has the delegated authority to purchase individual items as required. 5.2 Crisis Centre Facilities Immediately upon occupation of the Crisis Centre, the Storeperson and Information Services Coordinator must arrange for the following items to be available within 24 hours and delivered to the Crisis Centre:

FACILITY NUMBER CONTACT NAME AND NUMBER

TELEPHONES Mobiles, as required.

Source from field staff. If more required: * Telstra Shop (02) 4828-6888 * Goulburn Mobile Solutions (02) 4822-8288 Use existing Library telephones

FAX Use existing Library Fax

COMPUTERS Dell Computers

1800-812-393

DESKS Seven initially

CHAIRS Seven initially

STATIONARY To be determined Council Depot. If more required: * Crookwell Newsagency (02) 4832-1061 * Corporate Express 132644, www.ce.com.au

REFRESHMENTS To be determined

To be determined

http://www.ce.com.au/



5.3 Emergency Response Committee Meeting The General Manager will contact the Director of Finance and Administration who will set up the Crisis Centre at Crookwell, Gunning or Taralga, and notify all members of the ERC. If possible, the General Manager and/or nominated members of the ERC will perform a visual inspection of the disaster area prior to the meeting of the ERC to determine the extent of the damage. The Mayor, Councillors and designated employees maybe requested to attend the first meeting of the ERC. The Agenda for this meeting is attached as Appendix E. The Executive Assistant will contact the following people and place them on notice for assistance during the next few days:

SERVICE CONTACT NAME CONTACT NUMBER

NSW FIRE BRIGADE Crookwell Goulburn

(02) 4832-1601 (02) 4822-1608

NSW POLICE Goulburn Crookwell Gunning Taralga

(02) 4824-0799 (02) 4824-0777 (02) 4845-1244 (02) 4840-2044

RURAL FIRE SERVICE Crookwell (02) 4832-0268 INSURANCE BROKER Jardine Lloyd

Thompson (JLT) (02) 6251-9843 or 9320-2746

SOLICITORS Pikes Lawyers R.J. McCarthy & Co

(02) 9262-6188 (02) 4832-1055

CIVICA Account Manager (02) 5310-2348 or 0407613505

TELSTRA Account Manager (02) 6129-4678 or 0418927294

LOCAL MEDIA Crookwell Gazette Goulburn Post

(02) 4832-1077 (02) 4827-3500

RADIO CONTACT 1368, 2GN FM 93.5 FM 103

(02) 4821-3377 (02) 4821-7777 (02) 4822-1103

ELECTRICITY COMPANY Country Energy 13-23-56

PORTABLE GENERATORS Crookwell Hire Kennards Hire Caradel Hire

(02) 4832-1609 (02) 4822-1068 (02) 4823-4111

ELECTRONIC EQUIPMENT RECLAMATION

Council IT Staff

DOCUMENT RECOVERY SPECIALIST

Council IT Staff

STATIONERY & OFFICE SUPPLIERS

To be determined Depot Store, or * Crookwell Newsagency (02) 4832-1061 * Corporate Express 132644, www.ce.com.au

http://www.ce.com.au/



* Q-Stores 1800-424-613, www.qstores.com.au

PRINTERS ENIGMA Business Products

(02) 9453-1900

OFFICE FURNITURE Corporate Express (02) 6269-1190 REMOVALISTS Council Staff (02) 4830-1039 LOCKSMITHS Goulbn Locksmithing (02) 4821-3893 ELECTRICAL CONTRACTORS

Steve Ward Electrical 0428-280-877

TELEPHONE EQUIPMENT SUPPLIERS

Boomerang Communications

0409-203-355

SOFTWARE SUPPLIERS Lagan Spatial Harris Technology

(02) 9527-9592 1300-13-9999

5.4 Role of the Emergency Response Committee 5.4.1 DETERMINING PRIORITIES 1. All Council’s priorities will be determined by the ERC and will be communicated

to the Council, the public and any other organisation required. In order to do this each Director will provide the ERC with the following information updated as required.

Staff, plant and equipment available, Property and communication systems available, Summary of operations temporarily and permanently effected by the disaster, Estimate of resources needed to restore the effected operations, Timeframe for recovery to partial and full operations, Location of operations not affected by the disaster, List of operations needing relocation. The ERC will determine the best allocation of available resources to meet the Council’s service priorities. 2. The overall coordination of the recovery will be the responsibility of the General

Manager or the Chairperson of the ERC. Specific tasks must not be assigned to them. The General Manager or Chairperson should remain highly visible and accessible to all staff and others needing assistance with their problems. The success of this plan revolves around the leadership of the General Manager or the Chairperson.

5.4.2 COMMUNICATIONS (B6- Check list) It is important to reiterate that only the General Manger or Mayor is permitted to speak with the press. Council should release a statement to the press immediately. Appendix F is an example of such a release. 1. All communications will be coordinated through the ERC who will be

responsible for; The allocation of communication resources,

http://www.qstores.com.au/



All news releases to the media, Communications to employees, assisted by the Human Resources Coordinator, All communications to insurance companies, All communications regarding recovery strategies. 2. The ERC will hold scheduled major briefings twice daily, at 1000 and 1600

hours in the Crisis Centre. These meetings will be open to all employees, members of the public and the media. The frequency of these meetings can be scaled down as recovery progresses.

3. The ERC and the Executive Assistant will establish a status data bank which

will keep a chronological diary of events, scheduled meetings, minutes, telephone logs etc. The data base should include;

An up to date employee phone directory listing mobile and landline telephone

numbers, A list of radio frequencies used during the emergency, A full account of assignments given to sections and employees, A schedule and minutes of all meetings held.

6. ROLES AND RESPONSIBILITIES

6.1 Role of Director of Finance and Administration The Director of Finance and Administration will:- Be a member of the ERC. Be responsible for insurance related issues resulting from the disaster. These

duties will include:-

- Notification of the insurance broker, - Relay of instructions from insurance broker and underwriter to the ERC - Appointment of the loss adjuster, - Accept, dispute or negotiate loss adjuster decisions, - Preparation of the statement of claim with the help of the insurance broker.

Be responsible for all documentation generated by the ERC. The documentation will be filed in accordance with the current Records Management Policy adopted by Council.

Oversee the activities of Manager of Finance and Administration, Human

Resources and Information Services. 6.2 Role of Manager of Finance and Administration The Manager of Finance and Administration will:- Coordinate the assessment, salvage and restoration of Financial Services for

Council and work with the ERC through the Director of Finance and Administration to minimise the effect of the disaster on Council operations.



Supervise the Information Services Coordinator and Storemen in the emergency procurement of materials, items of plant, equipment and services until otherwise directed by the Director of Finance and Administration. This will include all rental and leasing of items.

Establish a manual purchase requisition system until all computer systems are

operational. Be responsible for generating all forms used to record Council’s financial

transactions and will provide forms to staff via the ERC with written rules and procedures regarding cost accounting.

Designate the Management Accountant the authority to maintain a register of all

disaster related expenditures for purpose of cost accounting and reimbursement of expenses by the insurance company.

Establish a special account code which will identify any financial transaction,

both internal and external as well as overtime charges to the special cost collection account code.

Work closely with Information Services Coordinator to assist in the recovery of

IT functions. Prepare a summary report of the extent of the damage and disruption to the

Finance Department with any recommendations to the Director of Finance and Administration.

Assist the Director of Finance and Administration in the preparation of the

claims documentation for insurance purposes. Establish the temporary finance centre in the Crisis Centre, and establish the

financial services in the following order: Payroll, Cashier, Rates, Stores, Others. Establish the temporary administration centre in the Crisis Centre.

Establish the local computer network with the help of the Information Services

Co-ordinator for inquiries into the system. Source and replace all Personnel Records and all Workers Compensation

Records (Appendix M may assist in the recovery of workers compensation records) currently held by Council.

6.3 Role of the Information Services Co-ordinator The Information Services Co-ordinator will:- Coordinate the assessment, salvage and restoration of IT services for Council

departments effected by the disaster and work with the Manager of Finance and Administration through the ERC to minimise the effect of the disaster on Council operations and to assist in the swift recovery of information services to user departments and to the public. This will be in accordance with the Upper



Lachlan Shire Council Business Continuity and Disaster Recovery Plan – Information Services Sub-Plan, attached as APPENDIX M.

Notify current suppliers of hardware and software to Council and place them on

stand-by for assistance. Assist the ERC to conduct a survey of the disaster site when cleared for

inspection by the Authorities answering the following questions:-

- Which operating functions of the Information Services section are operational?

- Are there any steps that can be taken immediately to maintain operating functions?

- Should the equipment be removed from the site to prevent further damage? - What resources are required to regain functions?

Address computer security issues such as removal of hard drives from

damaged computers and securing any non damaged system documentation.

Prepare a summary report of the extent of the damage and recommendations to the Director of Finance and Administration.

Assist the Director of Finance and Administration in the preparation of the

claims documentation for insurance purposes. Set up the Crisis Centre’s PC and peripherals when they become available. Establish the temporary computer centre in the Crisis Centre. Temporary

computer centres will be established in the following order; Crisis Centre, Works and Operations, Payroll, Cashier, Finance, Environment and Planning Department, Administration, and others.

6.3.1 Telecommunications Telephone communications will be vital for the organisation of Council’s recovery efforts. It will be the responsibility of the Information Services Co-ordinator to coordinate for the duration of the disaster all telecommunications activities. Appendix K should assist Council and Telstra determine the needs and priorities. The Information Services Co-ordinator will contact Telstra to inform them of the disaster and to request emergency services including; Redirecting of Council’s telephone and facsimile numbers to the Crisis Centre,

Immediate installation of additional serviceable phone lines to the Crisis Centre,

The disconnecting of services to Council’s PABX system and establishing the

required number of lines to each of the temporary buildings as per the contingency plans attached to this plan;



CRISIS CENTRE Crookwell Library, or Gunning Library, or Taralga Community Service Centre

COMPUTER CENTRE Crisis Centre FINANCE Crisis Centre ADMINISTRATION Crisis Centre COMMUNITY SERVICE Crisis Centre TECHNICAL SERVICE Crisis Centre

Coordinate efforts to salvage existing telecommunications equipment with the

nominated electronic equipment reclamation specialist. Report to the ERC the status of all telecommunication equipment including

telephones, facsimiles, PABX, modems and mobiles. 6.4 Role of the Human Resource Coordinator

The Human Resource Coordinator will:- Is the Council appointed designated Chief Warden for the Emergency

Evacuation of the Crookwell Administration Office. Coordinate the personnel services for employees affected by the disaster and

work with the ERC through the Director of Finance and Administration to minimise the effect of the disaster on Council operations.

Contact all administration employees alerting them of the disaster and

requesting them to stay at home near the telephone or within mobile telephone coverage area until requested to return to work.

Ensure the safety of all employees working in or around any damaged

buildings. Establish the services required by the employees dealing with the psychological

aspects of the disaster and recovery. Implement the “Management of Traumatic Incidence in the Workplace

“procedure. (Appendix H). Coordinate the industrial relations issues that may arise out of the disaster,

such as; - The necessity of alternative duties (working outside of classifications), - Employees working extended hours or shifts, - Changing of lines of supervision as a result of the contingency plan, - Inconvenience associated with temporary accommodations substandard condition.



6.5 Role of the Director of Works and Operations The Director of Works and Operations will assist in the assessment, salvage and restoration of services affected by the disaster and work with the ERC to minimise the effect of the disaster on Council operations and services provided to the public. Apart from the normal engineering operations, the Director of Works and Operations will be a member of the ERC Committee and will directly assist the General Manager or ERC Chairman and assist in the establishment of a Crisis Centre. The Director of Works and Operations will coordinate Council motor vehicle and fleet purchases, recovery and allocation of plant fleet resources to assist in the emergency management coordination activities. The Director of Works and Operations will be responsible for ensuring work, health and safety policies and procedures are implemented by the ERC. ENGINEERING OPERATIONS The Manager of Works and the Manager of Operations will both work with the ERC to conduct a survey of affected assets within the disaster site when cleared for inspection by the Authorities. The Managers will direct engineering staff in areas where assistance is required as directed by the ERC.

6.6 Role of the Director of Environment and Planning The Director of Environment and Planning will be a member of the ERC and will be responsible for the continuous operation of the ERC and that the activities of the ERC operate smoothly and without interruption. The Director of Environment and Planning will oversee the activities of the Environment and Planning Department. The Director of Environment and Planning will organise contractual services (carpenters, electrical, plumbing and others as needed) for all temporary premises listed below;

CRISIS CENTRE Crookwell Library, or Gunning Library, or Taralga Community Service Centre

COMPUTER CENTRE Crisis Centre

TECHNICAL SERVICE Crisis Centre

ENVIRONMENTAL SERVICE

Crisis Centre



6.7 Role of the Manager of Environment and Planning The Manager of Environment and Planning will:- Assist in the assessment, salvage and restoration of services affected by the

disaster and work with the ERC through the Director of Environment and Planning to minimise the effect of the disaster on Council operations and to the public.

Contact all Environment and Planning employees alerting them of the disaster

and requesting them to stay at home near the telephone or within mobile telephone coverage area until requested to return to work.

Work with the ERC to conduct a survey of the disaster site when cleared for

inspection by the Authorities. Establish Environment and Planning services in Crisis Centre. Establish the local computer network with the help of the Information Services

Co-ordinator. Source and replace all Technical Manuals. Source and replace all Property files and Development Application files and

registers. Establish the extent of file damage, recover files if possible and establish new

files. 7. VARIATION That Council reserves the right to vary the terms and conditions of this Plan to ensure it meets the requirements of the relevant legislation. 8. RELEVANT LEGISLATION AND COUNCIL POLICIES

The following legislation and Council policies that are relevant to this Policy include:- Local Government Act 1993; Local Government (General) Regulation 2005; Environmental Planning and Assessment Act 1979; Independent Commission against Corruption Act 1988; Government Information (Public Access) Act 2009; NSW State Records Act 1998; NSW Ombudsman Act 1974; Work Health and Safety Act 2011 and Regulations; Roads Act 1993; Privacy and Personal Information Protection Act 1998; Fair Work Act 2009; Australian Standards AS5050.2010 – Business Continuity Managing Disruption

Related Risk;



Local Government (State) Award 2010; Upper Lachlan Shire Council Code of Conduct; Upper Lachlan Shire Council Code of Meeting Practice; Upper Lachlan Shire Council Community Strategic Plan; Upper Lachlan Shire Council Delivery Program; Upper Lachlan Shire Council Operational Plan; Upper Lachlan Shire Council Information Technology Strategic Plan; Emergency Evacuation Administration Building and Council Chambers Policy; Service Delivery Policy; Trauma Management Policy; Risk Management Policy; First Aid Policy; Injury Incident Management Procedures; Protective Clothing and Equipment Policy; and Upper Lachlan Shire Council Delegations of Authority Policy. 9. APPENDIX Appendix - A Alert and Invocation phase check sheets Appendix - B Recovery Phase check sheets Appendix - C Return to Normal Phase check sheets Appendix - D Telephone Redirection Authorisation Appendix - E Emergency Response Committee (ERC) agenda Appendix - F Press Release Appendix - G Pre- Printed Stationary list Appendix - H Trauma management Procedure Appendix - I Plans of Locations Appendix - J Evacuation Plans Appendix - K Telecommunications Requirements Appendix - L List of Insurance Companies Appendix - M IT Sub-Plan