Appendix E – Protocol and appointed reviewer statement template

Appendix E is part of Statutory Guideline 03/14 – Local government infrastructure plans

About this protocol

Preliminary

Part B – Local government infrastructure plan review and approval, ofStatutory guideline 03/14 –Local Government Infrastructure Plans (guideline 03/14) provides an overview of the LGIP review and approval processes.

How to use this protocol

This protocol is divided into two components:

Part A sets out the requirements which must be met by an Appointed Reviewer when undertaking a compliance check of an LGIP and provides guidance to an Appointed Reviewer on how to undertake a compliance check consistent with these requirements.

Part B provides a written statement template to enable the outcomes of a compliance check to be documented.

Part A — Protocol for a compliance check of an LGIP

Purpose of a compliance check

The purpose of a compliance check of an LGIP is to:

(1)Evaluate whether an LGIP:

(a)Complies with Sustainable Planning Act 2009 (SPA)

(b)Complies with guideline 03/14 –including the LGIP templates, the schedule of works model (SOW), the LGIP Checklist.

(2)Provide a written statement and the completed compliance checklist to the local government detailing the findings of the compliance check.

The scope of a compliance check

The scope of a compliance check of an LGIP does not include a review of the local government’s long term financial forecast(LTFF) or long term asset management plan(LTAMP) other than to determine their extent of alignmentwith the LGIP.

Process for undertaking a compliance check

This section outlines the process for undertaking a compliance check of a proposed LGIP by an Appointed Reviewer. Minor changes to the process are permitted, in the interest of efficiency, where that change does not detract from the purpose of this protocol.

Engaged by local government

Following the engagement of an Appointed Reviewer, the local government must provide the Appointed Reviewer with an electronic copy of the following documents:

(1)the proposed LGIP

(2)the SOW model prepared for the LGIP

(3)the LGIP checklist completed by the local government

(4)background studies, reports and supporting information (extrinsic material) used in the preparation of the LGIP

(5)information on the outcomes of any consultation with the relevant state agency about transport matters and/or the relevant Distributor Retailer concerning the preparation of the LGIP.

The Appointed Reviewer may also request:

  • additional information or clarification from the local government
  • a meeting with the local government’s key point of contact and/or other key personnel to obtain further information on the local government’s responses to the checklist or the development of the LGIP and the extent alignment of the LTFF and LTAMP with the LGIP.

Completing the checklist

The Appointed Reviewer must evaluate whether each requirement in the LGIP checklist has been complied with.

The AppointedReviewer must record the evaluation of each requirement in the LGIP checklist in accordance with the following sections.

Compliance

If the Appointed Reviewer has determined that the checklist requirement is met, the LGIP will be considered compliant in relation to that matter.

If a checklist requirement is not determined to have been met, the LGIP will be considered non-compliant in relation to that matter.

Justification

The Appointed Reviewer must state the reasons for the decision in relation to the compliance of the LGIP with a requirement in the ‘Justification’ column of the checklist.

Corrective action description

If the Appointed Reviewer determines that the LGIP does not comply with a checklist requirement, the Appointed Reviewer must then recommend corrective action to make the LGIP compliant in the ‘corrective action description’ column of the checklist.

In describing the corrective action, the Appointed Reviewer must provide sufficient detail to allow the local government to clearly understand what required is to be undertaken.

Recommendation

The AppointedReviewer must then make one of the following recommendations:

(1)LGIP may proceed

(2)LGIP may proceed subject to condition

(3)LGIP may not proceed.

Appointed reviewer’s written statement

Upon evaluating all requirements in the LGIP checklist, the Appointed reviewer must prepare a written statement using the report format specified in Part B of this protocol. In accordance withthe relevant statutory guidelines, the local government will provide the written statement and checklist completed by the Appointed reviewerto the Minister for Planning.

Governance for a review

Appointed reviewer obligations

The Appointed reviewer undertaking a compliance check of an LGIP must comply with the fundamental ethical principles of integrity, objectivity, professional competence,duecare and professional behaviour.

Local government obligations

The local government must comply with the fundamental ethical principles of integrity, objectivity, professional competence, due care and professional behaviour.

The local government must:

(1)provide the Appointed Reviewer undertaking a compliance check of the LGIP with the contact details of the person who will be the key point of contact as well as any other key personnel who may be relevant to the compliance check.

(2)provide the Appointed Reviewer with an electronic copy of the documents necessary to undertake the review

(3)provide any additional information or clarification requested by the Appointed Reviewer

(4)meet with the Appointed Reviewer if requested to do so.

Part B — Written statement template

<First / Second> Compliance check of <insert Local government’s name> local government infrastructure plan

Prepared by: <insert Appointed reviewer’s name>

Version / Date / Reviewer name and signature
Final

1.1Introduction

<Insert Reviewer’s name>has been engaged by <insert Local government’s name> to undertake a <first / second> compliance check of its proposed Local Government Infrastructure Plan (LGIP).

< Insert Reviewers name> is required to:

(1)evaluate whether a proposed LGIP complies with the requirements outlined under the statutory guideline for making and amending planning instrument (MALPI) and Statutory guideline 03/14 – Local government infrastructure plans, including the LGIP template, the SOW model and the LGIP Checklist.

(2)provide a written statement and the completed checklist to the local government detailing the findings of the compliance check.

Scope exclusions

The following items are outside the scope of this review:

  • A verification of the accuracy of individual inputs used in the preparation of an LGIP.
  • A review of the local government’s Long Term Financial Forecast(LTFF) or asset management plan (LTAMP) other than to determine the extent of their alignment with the LGIP.

Compliance check process

The process used to undertake the compliance check comprise the following steps:

Stage / Description
Engaged / •Documents and other information requested from < name of local government> on <date> ,
•Documents and other information provided by <name of local government> on <date>
Review / •Review commenced on <date>
•Additional information requested on <date> and received on <date>
•Meeting held with local government on <date>
Final report / •Final report issued on <date>

The following local government personnel were involved in the compliance check:

Name / Title / Date of discussion (s) / Scope of discussion
E.g. Director, Strategic Planning / <date(s)> / It is intended that this will be a dot point list of issues discussed; e.g.
•LGIP growth projection
•Financial inputs

Compliance check findings

Insert any comments here that may be necessary to support the completed LGIP checklist.

Insert comments about the outcomes of any local government consultation with:

(a)the relevant state agency responsible for transport matters, and

(b)a distributor-retailer responsible for providing water and wastewater services for the area (if applicable).

Conclusions

(this section is intended to be used by the reviewer to discuss the overall outcomes of the compliance check, and to provide a basis for the recommendation to follow.

Recommendations

<insert name of reviewer> recommends to the <insert name of local government> that the LGIP should<select one of the below recommendations>:

  • proceed unchanged
  • proceed subject to conditions described below; or
  • not proceed.

Recommended conditions to be imposed

<list recommended conditions that may be imposed to address any identified issues (if relevant)