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, of Statutory 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)
(2)
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.
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 alignment with 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 Appointed Reviewer 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 Appointed Reviewer 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 with the relevant statutory guidelines, the local government will provide the
written statement and checklist completed by the Appointed reviewer to 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, due care
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
Final
Date
Reviewer name and signature
1.1 Introduction
<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
•
•
•
•
Review
•
•
Final report
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 commenced on <date>
Additional information requested on <date> and received on
<date>
Meeting held with local government on <date>
Final report issued on <date>
The following local government personnel were involved in the compliance check:
Name
Title
E.g. Director,
Strategic Planning
Date of
discussion (s)
<date(s)>
Scope of discussion
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)>