What is a compliance review? - Ministry for the Environment

advertisement
Fact sheet: Waste Minimisation Fund Project Compliance Review
Background
The purpose of the Waste Minimisation Act 2008 is to encourage waste minimisation and decrease
waste disposal to protect the environment from harm and provide environmental, social, economic
and cultural benefits. Part 3 of the Act establishes a levy on waste disposed of at a waste disposal
facility. A portion of the levy is allocated to waste minimisation projects through the contestable
Waste Minimisation Fund.
The purpose of the Waste Minimisation Fund is to provide funding that ensures investment in
infrastructure and systems for waste minimisation occurs and educational and promotional capacity is
developed. Only projects that promote or achieve waste minimisation are eligible for funding.
Compliance reviews under the Act
The Act (section 76) allows the Secretary for the Environment to appoint enforcement officers for the
purpose of ensuring compliance with regulations made under the Act.
Ministry for the Environment staff in the Waste Compliance Team are warranted enforcement officers
under the Act and will conduct the compliance reviews in accordance with a projects deed of funding.
What is a compliance review?
A compliance review assesses current information, processes and systems for their appropriateness in
ensuring that a project funded by the Waste Minimisation Fund is meeting its obligations under the
Act and its deed of funding.
Why do we conduct compliance reviews?
The reviews are undertaken to provide assurance to the Secretary for the Environment that projects
funded from the Waste Minimisation Fund are spending project funds appropriately and in accordance
with the terms and schedules of the project deeds of funding and the Act.
The specific objectives of a Waste Minimisation Fund compliance review could include assessing
whether:




the expenditure of the funding is appropriate and in accordance with the funding deed and the
Act
reported results are accurate and project deliverables are in accordance with the funding deed
project processes, information and records are in place to minimise the risk of misreporting
and fraud
there are no areas of concern that should be audited or investigated.
The Ministry’s primary aim is to work with project managers to meet the requirements of the deeds of
funding. Any findings from the review are reported back to the project manager and to the Secretary
for the Environment.
How do we select a project for a compliance review?
A proportion of Waste Minimisation Fund projects will be scheduled for either an audit or compliance
review each year.
Fact sheet: Waste Minimisation Fund project compliance reviews
Page 1 of 2
How long does a compliance review take?
The reviews are designed so as to cause as little disruption as possible. There is no set time for a
review. How long it takes depends on a number of factors including the size and complexity of the
project, the availability of appropriate staff, access to records and information, the adequacy of
systems and processes in place and the location of physical assets.
We expect that each review will take less than one day on site, with some initial planning discussions
with project managers prior to the visit and follow up after the site visit.
Preparing for the compliance review
The Ministry is likely to notify you two weeks before the planned review to allow you enough time to
prepare. A detailed guide on the review process will be provided to you at this time to assist your
preparations.
How are compliance reviews carried out?
A number of procedures will be undertaken by the reviewer during the review. These may include:




site visits and interviews with relevant project staff
examining information and records (both physical and electronic)
examining policies, processes and systems
assessing and verifying project deliverables.
Potential outcomes of the compliance review
The review may identify where records have not been appropriately kept or where spending has not
been appropriately aligned with the deed of funding or the Act. If moderate or significant issues are
identified, the Ministry may conduct a formal audit of the project.
The Ministry will also contact you regarding any process or system improvement findings identified
as part of the review.
Confidentiality
Any information or records you give to the reviewer will remain confidential and be kept secure. The
Ministry has controls in place to ensure information remains confidential.
Further information
Further information about the Waste Minimisation Act compliance assurance programme is available
from:
Waste Compliance Team, Operations Directorate
Ministry for the Environment
Environment House, Wellington
Phone: 04 439 7400
Further information about the Waste Minimisation Fund is available from:
Funds Management Team, Operations Directorate
Ministry for the Environment
Environment House, Wellington
Phone: 0800 499 700
Email: [email protected]
Website: www.mfe.govt.nz/wmf
Fact sheet: Waste Minimisation Fund project compliance reviews
Page 2 of 2
Download
Related flashcards
Create flashcards