Communication Protocol - Mid-Coast Council

ABN 45 851 497 602 2 Pulteney Street Taree | PO Box 482 Taree NSW 2430

T 02 6592 5399 F 02 6592 5311

www.gtcc.nsw.gov.au

Communication Protocol

Staff Report G1 - Attachment (i) - (i)

TABLE OF CONTENTS

About The Protocols ............................................................................................................ 3

Access to Information .......................................................................................................... 3

Forms of communication .................................................................................................. 3

Guiding Principles ............................................................................................................ 4

Legislative framework ....................................................................................................... 4

Guidance material ............................................................................................................ 5

Record Keeping ................................................................................................................... 6

Communicating with Councillors ........................................................................................ 10

Councillor Request for Information .................................................................................... 11

Internal mail service ....................................................................................................... 11

Council business papers and attachments ..................................................................... 11

Regular update on activities ........................................................................................... 12

Councillor information portal ........................................................................................... 12

Urgent issues notification ............................................................................................... 13

Councillor workshops ..................................................................................................... 13

Pre-meeting question time and fellowship ...................................................................... 14

Councillor Meeting Support ............................................................................................ 14

Lobbying ......................................................................................................................... 14

Managing Correspondence ................................................................................................ 15

Accessing Council Records ............................................................................................... 20

Communicating with Staff .................................................................................................. 21

Seeking information........................................................................................................ 21

Access to Mayor and General Manager............................................................................. 22

Dealing with the Media....................................................................................................... 23

Official spokespersons ................................................................................................... 23

Contact Details .................................................................................................................. 24


Communications Protocols Page 3 of 24

ABOUT THE PROTOCOLS

These protocols have been developed as a working arrangement between the Councillors and staff of Greater Taree City Council, to guide communication between the two groups in serving the Manning Valley community.

The protocols have been developed within the relevant legislative framework and are designed as a working document that may be reviewed and refined as appropriate. The General Manager will ensure that the protocols are reviewed, in consultation with Councillors, on an annual basis.

ACCESS TO INFORMATION

The Local Government Act 1993 (the LGA) requires that councillors as a group direct and control the council’s affairs, allocate resources, determine policy, and monitor its performance. As individuals, councillors also communicate council policy and decisions to the community, exercise community leadership and represent the views of residents and ratepayers to council.

Councillors have a right to access council information that is reasonably necessary for exercising the functions of their civic office, including those roles outlined above which extend beyond decision making at formal meetings.

The General Manager is to ensure staff provide sufficient and timely information to councillors to make informed decisions and enable them to carry out their functions effectively.

Additionally, the new Government Information (Public Access) Act 2009 (GIPA Act) was enacted to promote openness, accountability and transparency. It is designed to make government agencies, including councils, more proactive in providing information to the public.

Forms of communication

Communication between Councillors, staff and the community occurs through a variety of channels. These include:

Formal council meetings

Councillor workshops

Minutes of Committees of Council

Performance monitoring reports

Provision of updates and information to Councillors by staff

Management of correspondence

Access to Council records

Contact with the media, and

Councillor requests



Guiding Principles

The communication protocols are founded on the key principles outlined in the Model Code of Conduct for Councils in NSW:

Integrity – supporting Councillors and staff in meeting their legislative obligation to act honestly and exercise a reasonable degree of care and diligence in carrying out their duties (Section 439)

Leadership – maintaining and strengthening the public’s trust and confidence in the integrity of the Council and its capacity as a community leader

Selflessness – acting in the public interest, without personal gain or benefit to family, friends or business interests

Impartiality – ensuring fairness to all in carrying out Council duties. This includes equal and adequate access to information that is relevant to those duties.

Accountability – being accountable to the public for decisions and actions. This includes recording reasons for decisions, keeping proper records, meeting reporting requirements and establishing audit trails

Openness – communicating clearly and providing as much information as possible about decisions and actions. Information should only be restricted when the wider public interest demands.

Honesty – observing both the letter and spirit of the law, policy and procedures, openly declaring any private interests relating to public duty and dealing fairly and openly in the communication process.

Respect – treating people with courtesy, observing their rights and recognizing the different roles that others play in local government management and decision-making

Legislative framework

There are six key pieces of legislation which influence the way that Councillors and staff may manage information as part of their official duties. These include:

The Local Government Act 1993

The Local Government (General) Regulation 2005

The Model Code of Conduct for Councils in NSW

The State Records Act 1998

The Government Information (Public Access) Act 2009 (NSW) (GIPA Act)

The Privacy and Personal Information Protection Act 1998

The Local Government Act outlines the role of Councillors and the General Manager and provides guidance on the conduct of Council meetings. Section 360 of the Act provides for each council to establish a Code of Meeting Practice to further guide its meeting



procedures. Greater Taree City Council has established its own Code of Meeting Practice and these protocols should be read in conjunction with the Code.

The Act also specifies the range of information that must be freely available to the public (Section 12) and provides guidance for managing confidential information (Section 664). Section 440 of the Act calls up the Model Code of Conduct for Local Councils in NSW as the minimum standard for conduct requirements. Greater Taree City Council has adopted the Model Code, with one supplementary provision regarding council elections.

The Local Government Regulation includes further provisions for the conduct of Council meetings and sets out annual reporting requirements for Councils.

The Model Code of Conduct explains requirements for access to and use of personal, council and confidential information (Section 10). It also sets out requirements for interaction between Councillors, staff and others. (Section 9)

The State Records Act, Government Information (Public Access) Act and Privacy and Personal Information Protection Act contain provisions for the way that information should be managed within Council.

The GIPA Act replaced section 12 of the LGA and the Freedom of Information Act 1989 from 1 July 2010. This information is open access information and is required to be provided by councils for public access on their websites.

A council is required to comply with the spirit and intent of the GIPA Act, and applicable common law and the Model Code of Conduct, so as to provide open access to council’s documents, other than where public interest considerations against disclosure outweigh the public interest considerations in favour of disclosure. For example, there may be occasions where the release of personal information or information identifying a person would be contrary to the Privacy and Personal Information Protection Act 1998.

The General Manager is responsible for administering the Government Information (Public Access) Act (GIPA), but Councillors have personal obligations under the State Records Act and the Privacy and Personal Information Protection Act.

These obligations include ensuring:

that any State Records received or created are registered in Council’s records management system; and

that personal and private information is not disclosed to members of the public.

Guidance material

State Agencies also produce guidance material to assist Councillors and staff in managing information and improving communications. This material includes:

“Good Conduct and Administrative Practice: Guidelines for State and Local Government” – produced by the NSW Ombudsman

“What have records got to do with me?” – information brochure produced by State Records NSW



“Meetings Practice Note no 16” - a guide to the conduct of Council meetings; and Circular 10-30 Councillor’s Access to Information produced by the Department of Local Government.

“ICAC Investigation into corruption risks involved in lobbying” [ICAC Nov 2010]

RECORD KEEPING

In respect to managing correspondence, there are a broad range of references that need to ensure an appropriate level of recordkeeping by Council. Council takes direction from the State Records NSW which is the Government's authority on managing records, inclusive of correspondence of all public authorities, including local government authorities.

The State Records Act 1998 came into operation on 1 January 1999 and all parts apply to local government. In addition there are also a number of laws, regulations, standards and codes of best practice which require or necessitate the making and keeping of records; including:

State Records Act 1998

Treasurer’s Directions

NSW Ombudsman’s Administrative Good Conduct information sheet (1997)

Australian and International Standard AS ISO 15489–2002, Records Management

ISO 9000 Quality Management Systems

Audit Office's On Board: Guide to Better Practice for Public Sector .. (1998)

Other sources

State Records Act 1998

This Act states that ‘each public office must make and keep full and accurate records of the activities of the office’ (s12). That is, it is a legal requirement that all NSW public offices create and capture records that facilitate and provide evidence of their business activities. To help public offices to comply with this requirement, State Records issued the Standard on Full and Accurate Records (April 2004). Principle 1 of the Standard on Full and Accurate Records specifically requires that records be created to document and facilitate the transaction of business in NSW public offices. The Standard’s other principles explain what it means to make and keep full and accurate records.

Treasurer’s Directions

A number of Treasurer’s Directions contain mandatory requirements to make and keep records of business activity. For example, Direction 240.01 states that 'authorities should maintain full and accurate records of expenditure from all accounts and funds under their control’. Financial records should therefore be subject to the same sorts of controls applied to records resulting from other areas of business activity. Because organisational finances are regularly subject to audits, all organisations should ensure that record creation and management is a systematic and accountable component of all financial activity.


http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/guidelines/guideline-13-create-and-capture-guidelines-on/guideline-13#state-records-act-1998

http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/guidelines/guideline-13-create-and-capture-guidelines-on/guideline-13#treasurer-s-directions

http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/guidelines/guideline-13-create-and-capture-guidelines-on/guideline-13#nsw-ombudsman-s-administrative

http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/guidelines/guideline-13-create-and-capture-guidelines-on/guideline-13#australian-and-international-standard

http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/guidelines/guideline-13-create-and-capture-guidelines-on/guideline-13#iso-9000-quality-management

http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/guidelines/guideline-13-create-and-capture-guidelines-on/guideline-13#audit-office-s-on

http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/guidelines/guideline-13-create-and-capture-guidelines-on/guideline-13#other-sources

http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/rules/standards/full-and-accurate-records/full-and-accurate-records

http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/rules/standards/full-and-accurate-records/full-and-accurate-records


NSW Ombudsman’s Administrative Good Conduct information sheet (1997)

This information sheet states that 'public officials should create and maintain full and accurate records which document their activities and decisions, plus the reasons for those decisions’. It also states that public officials 'should ensure the capture of these records into record keeping systems, such as file systems, routinely in the course of their duties'.

Australian and International Standard AS ISO 15489–2002, Records Management

Part 2: Guidelines of the Australian and International Standard AS ISO 15489–2002, Records Management establishes a general requirement for organisations to make and capture full and accurate records of their business activity. The Standard then explains what full and accurate means, outlines strategies for ensuring creation and capture of records and discusses cases in which records should be created or captured of specific types of transactions. The Standard has been endorsed as a code of best practice for the NSW public sector.

ISO 9000 Quality Management Systems

The ISO 9000 Quality Management series of standards contain explicit requirements to create and capture records. For example, ISO 9001 identifies a variety of records, such as reports, design specifications, system calibrations, customer requirements, and training records that need to be created and captured as a part of quality management processes. Meeting these requirements is an important part of obtaining compliance with the ISO 9000 series of standards.

Audit Office's On Board: Guide to Better Practice for Public Sector Governing and Advisory Boards (1998)

This publication states that Board meetings are effective if decisions, discussions and dissent are recorded and minutes are accurate.

Other sources

In NSW, requirements to make and keep records also appear in legislation relating to:

Tax, Superannuation, Occupational health and safety, and Industrial relations.

Many government organisations have legislation that is specific to them and their operation and these laws can also contain requirements to make and keep records. Further information about identifying and documenting recordkeeping requirements can be found State Records' Strategies for Documenting Government Business: The DIRKS Manual.

The following excerpt from the State Recordkeeping Act indicates in Section 12 (1) of the State Records Act 1998 that requires that all public offices ‘make and keep full and accurate records of the activities’ of the public office. Standard 7 indicates the principles of record keeping that establish a records keeping system. The principles and the compliance requirements contained in the standard are:


http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/dirks/dirks-manual

http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/dirks/dirks-manual


1 Records must be made

1.1 Requirements to make records are identified and documented. 1.2 Policy, procedures and business rules direct how and when records should

be made and captured. 1.3 All staff are aware of their responsibilities to make records. 1.4 Required records are made.

2 Records must be Accurate

2.1 Records are accurate 2.2 Records are made at the time of or as soon as practicable after the event or

transaction to which they relate

3 Records must be Authentic

3.1 Records are routinely captured into official recordkeeping systems. 3.2 Appropriate metadata is created and captured, or otherwise associated with

records.

4 Records must have Integrity

4.1 Unauthorised access, alteration, deletion or destruction of records is forbidden by office policy and practice.

4.2 Recordkeeping systems and storage facilities are designed and implemented to protect records from unauthorised access, alteration, deletion or loss.

4.3 Records are uniquely identified. 4.4 Migration of records from one system to another is controlled and

documented.

5 Records must be Useable

5.1 Records are linked to the business context. 5.2 Records relating to the same business activity or transaction are linked to

each other. 5.3 Location and use of records is recorded and tracked. 5.4 Records are accessible for as long as they are required.

As Public Officials, Councillors are required to ensure that records are kept in accordance with legislation and the record keeping requirements of the organisation. GM’s or CEO’s are ultimately responsible to ensure records are kept. Some of the key obligations under the State Records Act For Chief Executives [General Managers] are:

Chief executives to ensure compliance with the Act

The chief executive of each public office has a duty to ensure that the public office complies with the requirements of this Act and the regulations and that the requirements of this Act and the regulations with respect to State records that the public office is responsible for are complied with (Section 10).



Obligation to protect records

Each public office must ensure the safe custody and proper preservation of the State records that it has control of. (Section 11(1))

Full and accurate records

Each public office must make and keep full and accurate records of the activities of the office. (Section 12(1))

Records management program

Each public office must establish and maintain a records management program for the public office in conformity with standards and codes of best practice from time to time approved under section 13. (Section 12(2))

Monitoring and reporting

Each public office must make arrangements .. for the monitoring .. of the public office's records management program ... (Section 12(4))

Equipment/technology dependent records

If a record is in such a form that information can only be produced or made available from it by means of the use of particular equipment or information technology (such as computer software), the public office responsible for the record must take such action as may be necessary to ensure that the information remains able to be produced or made available. (Section 14(1))

Disposal of records

Public offices may not dispose of State records, transfer their possession or ownership, take or send them out of New South Wales, or alter them, without the approval of State Records. (Section 21)

Whole of government records management standards

Standards issued to date under Section 13(1) of the State Records Act are:

Standard on the Physical Storage of State Records (issued 2000)

Standard on Counter Disaster Strategies for Records and Recordkeeping Systems (issued 2002)

Standard on Full and Accurate Records (issued 2004)

Standard on Managing a Records Management Program (issued 2004)

Standard on Appraisal and Disposal of State Records (issued 2007)

Standard on Digital Recordkeeping (issued 2008)



COMMUNICATING WITH COUNCILLORS

Provision of information

It is important that Councillors have access to adequate information about Council activities to keep them up to date and support them in carrying out their duties. Under the new organizational structure for GTCC, effective from 30 June 2010, Councillors will be assisted by the Governance Unit with their information needs. Governance staff participate in Privacy Training annually and are required to sign a declaration of Confidentiality.

The unit reports to the Executive Leader Resources Planning and consist of:

The Senior Leader - Governance who is also the Public Officer

Governance Officer who is responsible for preparing Council business papers and providing Councillor support

The Media and Communications team who are responsible for internal and external communication including Community Engagement

Records Management staff.

The General Manager will ensure that the following lines of communication and information types are available to Councillors:

Councillor Information and Service Request System

Internal mail service to Councillors

Council business papers and attachments

GTCC Integrated Reporting and Performance Monitoring Reports

Council Policies and Procedures

Links to minutes of committees

Links to local government sector statutes, acts, regulations and circulars

Links to relevant statistics and operational information

Urgent issues notification

Copies of all Mayoral communiqués; General Manager [important memos], media releases issued

Regular updates on key events and activities

Councillors’ information portal on the GTCC intranet

Councillor question time and information reports to workshops on key issues

Senior staff availability before Council meetings



COUNCILLOR REQUEST FOR INFORMATION

When making a request for information or initiating a Service request, councillors should precisely detail the information, or the nature of the information / service that is sought. It is expected that councillors will act reasonably in making such requests. An electronic template will be supplied for this purpose.

When dealing with a request by a councillor for information, the General Manager is expected to act reasonably, and if a request is to be denied, reasons for the refusal must be provided. Councillors should be aware that the NSW Ombudsman and the Division have a complaint handling function, should issues arise in respect of denial to information.

Further, councillors who have been refused access to information are entitled to lodge a request under the GIPA Act. The GIPA Act provides three options to have a decision reviewed: an internal review by the agency (in this case, the council); an external review by the Information Commissioner; or external review by the Administrative Decisions Tribunal.

Where it is believed that significant resources will be required to respond to a request for information, the General Manager will advise all councillors and provide details of the estimates of time and/or costs that are likely to be incurred in providing the information. This may require referral to Council for a resolution to reallocate such resources.

Any information that is given to a particular councillor will be available to all other councillors.

Internal mail service

Council provides an internal mail service to the “pigeon holes” in the Councillors’ lounge.

Material is delivered by Records Management staff on a daily basis. It is each Councillor’s responsibility to check the delivery point regularly. Information delivered via the internal mail service may include:

Memos from staff regarding current Council issues

Copies of industry magazines or newsletters that are relevant to Councillors

Correspondence that has been individually addressed to Councillors (including mail marked private and confidential)

Material not collected will be collated and forwarded to Councillors on request or with the Business Paper distribution cycle.

Council business papers and attachments

Council business papers and attachments will be provided to each Councillor’s home address (unless otherwise requested) two Friday’s prior to each ordinary Council meeting. This provides almost 8 working days to peruse Council Business Papers, and to seek clarification of reports where required. When circumstances change, papers will be distributed on the Friday before the Council meeting.



Where a late report is provided, staff will deliver the document at the earliest possible time. Where time does not permit, the report will be placed in the Councillor’s pigeon hole, and Councillors notified by email or SMS.

The content of Council business papers may include: Statutory reporting required under the Local Government Act 1993 Notices of motion from Councillors Mayoral minutes Relevant staff reports, as determined by the General Manager Staff reports in response to an earlier request by Councillors Relevant attachments Minutes of Committee meetings

Where a matter before Council involves the receipt of written public submissions, these submissions will be summarized and referenced individually in the business paper in an attachment marked “Summary of submissions”. A full copy of the submissions will be available to all Councillors, in the Councillors lounge 8 days prior to the meeting.

Similarly, copies of petitions which contain the personal details of signatories will not be attached to the business paper. A full copy of petitions will be available to Councillors 8 days prior to the meeting. These arrangements are to ensure compliance with the Privacy and Personal Information Protection Act 1998 and to reduce the risk of potentially defamatory comments contained in written submissions being inadvertently published by Council.

Regular update on activities

Councillors will be provided with a brief update via the Executive Assistant on Council activities regularly each week. These updates will be provided via email or the Councillor Portal, and will include: Upcoming Council meetings or events for the week Key community activities or meetings that are relevant to Council Copies of media releases as issued plus list of [any planned] media releases Updates on Council issues that require immediate attention

Councillor information portal

Council will establish an information portal, via the GTCC intranet, that is restricted to Councillors via password protection. The information portal will include: Links to the Councillor information Links to relevant sector newsletters, information bulletins, circulars etc Links to relevant minutes of committees Templates for correspondence; customer service requests, etc Links to relevant statistics and operational information



Copies of all Mayoral communiqués; General Manager [important memos], media releases issued

Urgent issues notification

Council will provide an “urgent issues” notification service for Councillors. This will involve telephone contact initially, then SMS or email contact to advise Councillors of urgent matters, for example flood damage or other natural disasters, workplace fatalities, major announcements etc that are of high and urgent significance.

The General Manager will issue such notifications where possible, in consultation with the Mayor. Further information and details of Council’s management strategy for the issue, will be available on the Councillor Information Portal as early as possible.

Councillor workshops

Council will generally conduct an information workshop for Councillors on a monthly basis, or more frequently as required, to provide an update on key issues and allow for discussion with senior staff on strategic issues. The workshops may involve Councillors, staff or invited participants. They are designed as a briefing and open conversation sessions, with an opportunity for questions and broad discussion of issues.

Workshop discussion may include: Progress on major council projects and capital works Updates on statutory planning processes, eg the LEP or Community Plan Background to issues of key community significance, eg coastal erosion Background to significant issues that are scheduled to come before Council Issues significant to Councillors fulfilling of duties eg changes to legislation, Code of

Conduct etc

All Councillors will be invited to participate in the workshops, although attendance is optional.

Workshops Agenda’s will generally cover these three areas:

Initial Hour

Open discussion of issues raised by Councillors Review of Action List

Briefings/ presentations

Workshop Items [as determined by Mayor in conjunction with General Manager] Background information should be circulated beforehand, with covering Briefing Paper

Team Building

Opportunities with Mayor and General Manager



Council will include reference information for the conduct of Councillor Workshops in its Code of Meeting Practice, to ensure that members of the public understand the purpose and scope of the activities.

Pre-meeting question time and fellowship

Prior to participating in the Public Forum time prior to Council Meetings [4.15 to 4.45pm], Council will set aside time from 2.30 pm for pre-meeting questions to staff, informal team development meetings with the Mayor and fellowship with Councillors. Council will include guidelines for the conduct of the Public Forum in its Code of Meeting Practice, to ensure that members of the public understand the purpose and scope of the activity.

Questions to or requests to meet with senior staff should be notified via the relevant Executive Leader by Monday 4pm in the week of the Council Meeting. The Executive Leader will attempt to make arrangements for the meeting or the question to be addressed. Such questions may relate to matters listed on the Council agenda which require clarification or additional information to assist Councillors in the decision-making process.

If the question is deemed important for all Councillors, then an invitation will be extended to all to attend a quick briefing prior to the Council meeting.

Councillor Meeting Support

Councillors that wish to meet with residents or groups in respect to Council services can seek access to meeting rooms through the Executive Assistant. If additional support or attendance by staff is sought, then such requests should be referred to the relevant Executive Leader or the General Manager.

Lobbying

The term “lobbying” is used to cover those types of communication between local government councillors and the community that include representations to councillors by special interest groups, by individuals with a direct interest in a council decision and by advocates acting on behalf of others. Lobbying is common in local government and most often occurs when a group or individual makes direct contact with a councillor in an attempt to influence a council decision. Councillors are lobbied over such issues as:

development matters

the upgrading of local facilities, including playgrounds and sporting amenities

revenue decisions, including the setting of business, mining, farming or special rates.

Appropriate lobbying of councillors is normal. In many cases lobbying is part of the democratic process and is an acceptable feature of the relationship between citizens and their elected representatives.

Transparency is a useful means of governing accountability and perceptions of fairness in lobbying processes. There are a number of ways Councillors can help ensure transparency whilst being lobbied. These include:

documenting meetings with proponents

generally conducting meetings in formal locations such as council premises



having other people present during meetings

inviting applicants who have approached them for a meeting to discuss a significant development to write to council seeking a meeting with all councillors and relevant staff

providing copies of information presented during lobbying meetings to council officers for consideration and assessment (if required), distribution to other councillors and filing as part of council’s records

asking people who have requested a meeting to put their arguments in writing

making a declaration at a council meeting about lobbying activities they have been engaged in that are not part of council’s formal processes.

Councillors can consider these options in situations where it would be beneficial to have some form of record about what transpired between themselves and a proponent.

It is advisable that Councillors who wish to meet with developers should seek to hold such meetings accompanied by another Councillor and / or officer in an open setting or Council office. Notes should to be kept of such meetings that will record Date, Time, Names of Participants, Subject/s discussed, information tabled and registered on Council’s Electronic Record Management System.

MANAGING CORRESPONDENCE

Each month, Council receives more than 500 pieces of correspondence, via surface mail or email. Usually, correspondence from the general public relating to the operation of Council and the services provided by its staff is addressed to the General Manager. Correspondence from public officials is generally addressed to the Mayor.

Letters addressed to the General Manager and the Mayor are registered in Council’s document management system and referred to the appropriate member of staff to prepare a reply. The General Manager delegates authority to senior staff to reply to correspondence on his behalf. Occasionally, Council will receive correspondence that is addressed to individual Councillors. This correspondence may include:

Copies of letters that have also been sent to the General Manager or the Mayor

Letters about Council matters from residents who know the Councillor personally or professionally, or who [may] share his or her political views

Invitations to attend various civic events or conferences

Personal mail, such as letters from friends, birthday cards etc

Council’s legislative responsibilities

Council has responsibilities under the Local Government Act 1993 and the State Records Act 1998 to ensure that correspondence relating to Council’s operations is recorded, preserved and, in some cases, archived.



These responsibilities apply to everything that can be classified as a “State Record”. The Act defines a “State Record” as: “Any record made and kept or received and kept, by any person in the course of the exercise of official functions in a public office, or for any purpose of a public office, or for the use of a public office” (Section 3)

Examples of State Records include:

Correspondence, including emails, regarding building and development matters, complaints, suggestions or enquiries by ratepayers about Council services

Petitions received from community groups

Declarations concerning pecuniary interests

Speech notes made for addresses given at official council events

Diary notes regarding interviews or discussions conducted as part of official council business

Minutes of Council meetings

Council has procedures in place to manage documents that are considered to be State Records. However, sometimes Councillors will also receive, or create documents which are State Records in the course of carrying out their official duties.

Letters addressed to individual Councillors

Where Council receives a letter via surface mail, or email, addressed to an individual Councillor, staff will follow this procedure:

The letter will be examined for any markings which may indicate it is intended as confidential or personal correspondence

Where no such markings are apparent, the letter will be regarded as business correspondence and an official record of the organisation. It will be opened by Records staff, reviewed, scanned and registered on the appropriate electronic file [and correspondence may be acknowledged if appropriate]

Records staff will then attach a “Receipt and Referral” notice to the original letter, place it in an internal mail envelope and deliver the envelope to the Councillor’s pigeon hole in the Councillors Room

The Receipt and Referral notice will include the following information:

The date the letter was received

The document number assigned to the letter

Where no response from staff is considered necessary, the Receipt and Referral notice will be marked “NRN” (no response necessary)

Where a response is required from staff, the letter will be referred to the relevant Executive Leader for action within ten working days. The Executive Leader will ensure contact with the Councillor prior to finalising a response to the letter



The Receipt and Referral notice should be retained by the Councillor for future reference

Enquires or comment on Council services

Where the correspondence contains an enquiry, or comments about Council processes or services, staff will respond to the technical, policy or procedural issues raised in the letter, as appropriate.

Where appropriate, the letter will be reviewed and signed by the relevant Executive Leader and the response forwarded to the correspondent

The relevant Council Officer will then attach an “Action Completed” notice to a copy of the response and send it via email or internal mail to the Councillor’s pigeon hole

The Action Completed notice will include the following information:

The date the response was forwarded

The document number of the original letter

The document number of the response letter

Details of any further action to be undertaken in relation to the matters raised

Confidential or personal correspondence

Councillors should encourage correspondents to send personal mail to their home address. Where Council receives a letter addressed to a Councillor that is clearly marked “personal” or “confidential”, staff will follow this procedure:

The letter will not be opened, and if it is inadvertently opened, it will immediately be resealed.

Receipt of the letter will be recorded on a register in the Records department. The Register will include the following information:

The nature of the correspondence (eg sealed letter or parcel)

The date received

The name of the Councillor to whom it was addressed

The action taken by the officer receiving the correspondence

The Records officer will attach an “Unopened Correspondence” notice to the envelope and deliver it to the Councillor’s pigeon hole in the Councillors Room.

Councillors will be then responsible for determining whether the correspondence is an official Record and should be returned to the Records Department [via the Executive Assistant in envelopes provided to Councillors for this purpose] for registration and referral.



“Copy to Councillor” letters

Council occasionally receives letters addressed to the General Manager [or Mayor], with a request that the letter be copied and circulated to Councillors. Some correspondents will include copies with the original letter.

In this situation, circulation of the letter will be at the General Manager’s discretion. The General Manager reserves the right to withhold “Copy to Councillor” letters which contain defamatory or offensive material, or personal matters relating to staff. Where correspondence is not of this nature and has provided Councillor copies in sealed envelopes, the copies will be circulated, unopened, with an “Unopened Correspondence” notice attached.

“Copy to Councillor” letters that relate to development applications currently being assessed by Council will generally be held until a report on the application has been prepared for Council. This ensures that Councillors have access to a copy of the DA and all relevant information when considering the submission.

Emails to Councillors

Where an email addressed to an individual Councillor is received at the corporate email address ([email protected]) staff will follow this procedure:

The email will be registered and will be examined for any information which may indicate it is intended as confidential or personal correspondence.

Where no such information is apparent, the the email will be regarded as business correspondence and a copy will forwarded as an attachment to the Councillor’s individual GTCC email account.

A copy will be referred to the relevant Executive Leader for action, who will ensure contact with the Councillor prior to finalising a response to the correspondence.

The notice should be retained by the Councillor for future reference

It is each Councillor’s responsibility to ensure that their email account is able to receive emails from Council. When the mailbox is full, the Executive Assistant will advise the Councillor to rectify.

Allegations against Council staff

Where an ‘opened’ letter contains a complaint about a Council staff member, or an allegation of misconduct or corrupt behaviour by a staff member (other than the General Manager) the matter will be referred to Council’s Complaints Assessment Team (CAT). The original letter will not be forwarded to the Councillor, to protect the staff member’s privacy and ensure the integrity of the investigation process.

The Councillor will receive a Receipt and Referral Notice marked: “A letter, addressed to you, has been received by Council containing allegations about a staff member’s conduct. This letter has been referred to the CAT for review.” A reference number will be included.


mailto:[email protected]


Where Councillors receive “Personal” or “Confidential” mail which contains allegations against staff members, these matters should be referred immediately and confidentially to the General Manager or the Public Officer.

The General Manager will be responsible for advising the Councillor in confidence of the results of the review.

Allegations against the General Manager

Where an ‘opened’ letter contains an allegation against the General Manager, the matter will be referred to the Mayor for investigation, as per the Code of Conduct procedures. The original letter will not be forwarded to the Councillor to ensure the integrity of the investigation process, but a Receipt and Referral notice will be provided.

Where Councillors receive “Personal” or “Confidential” mail which contains allegations against the General Manager, these matters should be referred immediately and confidentially to the Mayor who will advise the Councillor to whom the allegation was addressed the outcome of any resulting investigation.

Allegations against Councillors

Where an ‘opened’ letter contains an allegation of misconduct or corrupt behaviour by a Councillor, the matter will be referred to the General Manager, as per the Code of Conduct requirements.

The letter will not be forwarded to the Councillor to whom it was addressed, to ensure the integrity of the investigation process, but a Receipt and Referral notice will be provided.

Where Councillors receive “Personal” or “Confidential” mail which contains allegations against other Councillors, these matters should be referred immediately and confidentially to the General Manager who will advise the Councillors the outcome of any resulting investigation.

Returning mail for registering

All Councillors will be provided with Mail Registration Forms and envelopes to assist with registering mail. If a Councillor receives a letter at home - or an unopened “personal” or “confidential” letter delivered under this protocol - which he or she considers to be official mail, it should be returned to Council for registration, using the following procedure:

List the items to be registered on the Registration Form

Put the letters into the envelope provided

Seal the envelope and return it to the Executive Assistant

Copies of the Mail Registration Forms and envelopes will also be available in the Councillors Lounge. Assisting in using this procedure will minimize the risk of losing mail when given by hand at different meetings amongst other papers / agendas.



Registering emails

Where a Councillor receives an email that he or she considers to be Council business [a Official Record], it should be forwarded to the corporate email account: [email protected], with a request that it be registered. A reply email will be sent, confirming registration and any referral details.

ACCESSING COUNCIL RECORDS

Councillors and staff may access Council records to assist in the performance of their official duties. Council records may not be accessed to provide information on matters of personal interest only.

Where information for personal interest is required, the request should be pursued under the same provisions that apply to members of the public: ie a request under Section 12 of the Local Government Act or the Government Information (Public Access) Act, as appropriate.

Councillors who wish to view Council records should make their request via the Public Officer, using the “Request to view records” form. The Public Officer will liaise with the Records Supervisor and the Councillor to arrange a suitable time for viewing the files.

When viewing hard-copy records of Council, the following protocols should be observed:

Ensure the file is protected from damage

The sequence of the file should not be altered

Documents should not be removed from the file, or amended in any way

The file must remain in the Council building. A suitable viewing area will be provided.

File documents may not be copied (except as provided under the GIPA Act)

Access may also be provided to electronic documents contained in Council’s Document Management System, TRIM, upon request. These files must also be viewed on site and will be provided in “read only” format. File documents may not be copied (except as provided under the GIPA Act).

Where a Councillor is refused access to a record of Council, he or she will be provided with reasons for this decision, in writing. The Councillor will have a right of appeal to the General Manager in these circumstances.

Protecting confidential information

Councillors and staff have responsibilities under the Model Code of Conduct and Section 664 of the Local Government Act to protect confidential information. They should not: Attempt to access records they are not authorized to see Provide unauthorized access to other parties while Council records are in their care Disclose confidential information about Council business or Disclose personal information about employees, community members etc without the

subject’s consent.




COMMUNICATING WITH STAFF

Seeking information

Contacting staff

All contact between Councillors and Council staff, whether making representations, reporting matters or seeking information, must be approved through the General Manager or Executive Leader. Under these Communication Protocols, Councillors will have access to the following staff, during business hours, to assist with these information needs: General Manager Executive Assistant to General Manager Executive Leadership Team Senior Leaders Other members of staff, by prior arrangement with the relevant Executive or Senior

Leader.

It is acknowledged that Councillors will, from time to time, need to seek additional information or advice from Council staff to assist them in carrying out their official duties in relation to the special project, committee meeting, event or function. Subject to Councillors notifying Executive Leaders of their participation in Council related activities annually (and/or as additional activities may arise), Councillors may communicate directly with identified staff.

Councillor requests

The preferred method of contact and responding to requests is via the Councillor Information Request System, which will be managed by the Governance Unit. Council will develop key performance indicators to ensure that Councillor Requests are answered within agreed timeframes.

Attending worksites

Councillors who wish to attend Council worksites that are not open to the public, including the depot, should do so by prior arrangement with the General Manager to ensure that appropriate occupational health and safety procedures are observed.

Model Code requirements

The Model Code of Conduct provides guidance on appropriate interactions between Councillors and staff. Under the provisions of the Code of Conduct, Councillors are not to undertake the following interactions with staff:

Directing council staff in the performance of their work

Requesting staff to undertake any duties on behalf of an individual, group or committee

Instructing or advising staff in recommendations they should make in reports



Approaching staff, staff organisations or unions to discuss individual staff employment matters, rather than broad industrial policy

Threatening staff, or making personal attacks on council staff in a public forum

Attending on-site inspection meetings with lawyers and/or consultants engaged by council associated with current or proposed legal proceedings (unless invited to do so by the General Manager)

All contact between Councillors and Council staff, whether making representations, reporting matters or seeking information, must be initially authorised by the General Manager or Executive Leader.

Council staff are not to undertake the following interactions with Councillors:

Approaching Councillors to discuss individual employment arrangements, rather than broad industrial policy issues

Refusing to give information that is available to other Councillors to a particular Councillor

Providing ad hoc advice to Councillors without making appropriate file notes

Notice of Motions

Councillors, may, via a Notice of Motion, request that a report be brought forward from staff to a future Council meeting. When drafting such motions, it is recommended that Councillors consult with the General Manager to determine the resourcing requirements of the request and suitable timeframes for providing the information.

Questions on notice

Councillors may utilise the Questions on Notice provisions of the Business Paper to obtain written answers from staff to questions on significant strategic matters and community-wide issues. Questions should be submitted in accordance with the procedures set out in the Code of Meeting Practice.

ACCESS TO MAYOR AND GENERAL MANAGER

Access to the Mayor is usually co-ordinated by the Executive Assistant who liaises with the Mayor in respect to meetings with residents, business operators or groups.

In respect to meeting with developers, the Mayor usually will meet with an Executive Leader and/or another Councillor in an open setting or Council office. Notes are to be kept of such meetings that will record Date, Time, Names of Participants, Subject/s discussed and registered on Trim.

Community Access to the General Manager is usually co-ordinated by the Executive Assistant who liaises with the General Manager in respect to meetings with residents, business operators or community groups.

In respect to requests for meeting with developers, consultants and advisors; the General Manager will only meet with an Executive or Senior Leader in attendance in an open



setting or Council office. Notes will be kept of such meetings that will record Date, Time, Names of Participants, Subject/s discussed and registered on Trim.

Requests from residents or groups with complaints regarding Council services will be referred to the appropriate Senior Executive; the General Manager will usually refer these to the appropriate Senior or Executive Leader for discussion, review or examination prior to agreeing to a meeting. The office of the General Manager receives hundreds of requests and demands from individuals and groups to meet. Many requests are made from people who often refuse to disclose what the issue/s are; whether they have been previously submitted to Council for response or whether they are unhappy about the response given by an officer of Council.

The General Manager will not normally bypass the involvement of the relevant officer in responding to such concerns; or requests for initial meetings or exchange of information.

Access to the General Manager by Councillors

The General Manager is available to Councillors by phone, email and in person. Appointments are usually co-ordinated by the Executive Assistant. The General Manager will also make himself available to Councillors on workshop and Council meeting days. The General Manager will attempt to keep 12.30 – 1.30 pm free on Workshop days; and from 2.30 – 3.30 pm on Council Meeting days for Councillors to catch up on issues.

The General Manager will respond to requests by Councillors to meet with them and / or residents / groups after ascertaining if the relevant officer/s have been involved.

DEALING WITH THE MEDIA

Official spokespersons

The following persons are authorised to make official media statements on behalf of Council:

The Mayor (for matters of strategic significance, civic ceremony or policy)

The Deputy Mayor (only in the official absence of the Mayor from duty)

Councillors acting under delegation from the Mayor (where the Councillor is the chairperson of a committee, or has specialist technical knowledge or experience)

The General Manager (for matters relating to the general operation of Council)

Executive Leaders (for matters relating to issues under their respective direction or agreed Executive issues)

Senior Leaders or the Media and Communications Officer acting under delegation from the General Manager to address specific matters.

When speaking on behalf of Council, spokespersons should abide by the principles of the Model Code of Conduct. Comment should be restricted to factual information and statements of policy and should focus on the individual’s professional opinion, rather than their personal views or beliefs.



Councillors have the same rights as any citizen to approach or respond to the media regarding issues in which they expressed a view in Council or have a private interest. However, in doing so, they should be mindful not to give the impression that they are expressing views on behalf of the Council.

Media Unit

Council’s Media Unit provides assistance with media management strategies, development of news leads, management of media enquiries and issues management.

Councillors and staff who are approached by the media for comment should refer the enquiry to the Media Unit wherever possible.

Where the unit receives a request for Council comment, the request will be referred, in the first instance to the General Manager or relevant Executive Leader The unit is also responsible for the development of news leads that promote the activities of the Council. Councillors and staff are welcome to make suggestions on appropriate storylines for this purpose. Copies of all media releases issued will be provided to Councillors and the General Manager. Media strategies will be discussed at Councillor workshop briefing sessions.

Media training

The Media Unit is also responsible for providing training in media presentation for staff and Councillors, upon request.

CONTACT DETAILS

Organisational Contact Details

Greater Taree City Council PO Box 482 Taree NSW 2430

Switchboard Ph: 6592 5399 Fax ph. 6592 5311 Email [email protected] Webpage www.gtcc.nsw.gov.au

Councillor Information Portal Access details will be provided to Councillors.

Senior Officer Contact Details

Councillors will be provided with direct contact details for the following senior staff:

General Manager [office, mobile and home phone plus direct fax and email] Executive Leaders [office and mobile plus direct email] Senior Leader Governance [office and mobile plus direct email] Executive Assistant [office and mobile plus direct email and fax] Councillors will also be provided with Senior Leader contact details.



http://www.gtcc.nsw.gov.au/