Compliance
Monitoring
Strategy
DWA CORPORATE
IDENTITY
Presented by:
Johan Maree
Deputy Director: Media Production
Presented by:
Anet Muir
12 December 2012
Acting Chief Director: Compliance
Monitoring
Date: May 2015
Strategic Objective
Compliance with DWS legislation, regulation,
authorisations is efficiently and effectively
monitored in a way that triggers appropriate
enforcement or other regulatory enhancing action
Principles for Compliance Monitoring
Compliance monitoring is implemented as part
of the regulatory cycle – within communication
between officials carrying out the three
components of authorisation, compliance
monitoring and enforcement – to ensure that
lessons learned in one element are passed to
the other processes thus making the regulatory
process more effective. Where possible
systems must be integrated or inclusive for
shared information requirements.
Principles for Compliance Monitoring
All authorisations issued must be ‘monitorable’
i.e. they must be written in such a way to
ensure that compliance or non-compliance can
be easily detected and monitored over time.
Mechanisms should be in place for return loop
to authorisations where this standard is not
achieved.
Principles for Compliance Monitoring:
Compliance monitoring is pre-planned
(pro-active) monitoring activities
(inspections or audits) against authorised
entitlements (section 22 of the NWA)
Compliance monitoring is a fundamental
function of water management inspectors
and is one that must be given a high
priority.
Principles for Compliance Monitoring:
• All authorisations issued must indicate that
self-monitoring compliance inspections must
be carried out at a frequency and level of
detail appropriate to the authorisation. These
self-monitoring inspections can be undertaken
by the user or an independent third party as
appropriate and as indicated in the
authorisations. All will require suitable
reporting by the responsible authority
including the upload to suitable systems.
Principles for Compliance Monitoring:
• A benchmark minimum frequency for selfmonitoring and regulatory monitoring should
be established for each type of authorisation –
this will guide allocation of resources for
regulatory compliance monitoring but will be
adjusted to account for risks, resource
availability and other factors. Where possible
responsible authorities should aspire to fulfil
these minimum frequencies through their
routine inspection programmes.
Principles for Compliance Monitoring
• Pro-active, pre-planned inspections must be
carried out according to a ‘risk-based’
approach which targets users and uses which
pose greatest risk to the water resource
(quantitative and qualitative) towards
ensuring compliance with authorisations
issued.
Principles for Compliance Monitoring
• A responsible authority for all authorisations
must be identified and roles and
responsibilities for compliance monitoring
understood clearly. Where the capacity exists,
compliance monitoring should be carried out
by the relevant responsible authority (i.e. the
institution which issued the authorisation)
• Compliance monitoring activities must
increasingly be informed by Resource Quality
Monitoring to assist in achieving Resource
Quality Objectives.
Key areas to achieve progress
• More compliance activities must take place
(increase priority with sufficient resources)
• Common approach required with agreement
on principles on which systems will be
based and commit to work in a way in which
the common objective can be reached
• Common work practices to provide
consistency, professional standards and
unified inspectorate
• Significant increase in skills and knowledge
Phase
Outcome
Approach
Phase 1 In this design phase the focus will be on designing and establishing
(year 1- systems and processes, common ways of working and motivating for
2) Short additional resources. Work will also start on the gradual development
term
of the capacity required to start implementation once system design is
complete. Current levels of compliance monitoring will continue, with
gradual increases as capacity and systems become available.
Phase 2 In this “establishment” phase – the focus will be on implementing
(Year 3- systems and processes gradually and on continuing to develop the
5)
skills and capacity required to achieve full implementation. Levels of
Mediu
compliance will increase significantly and the shift from reactive to a
m term combination of reactive investigations and proactive routine inspection
programmes will be initiated.
Focus of Phase 1 (2015/16-2016/17)
• A gradual increase in compliance monitoring
activity by all responsible authorities as new
systems and capacity become available, with
the emphasis on a gradual increase in the
proportion of ‘proactive’ routine inspections
carried out including an increase in selfmonitoring and 3rd party auditing including
the review of these
• Designing and establishing systems and
processes for compliance monitoring
Focus of Phase 1 (2015/16-2016/17)
• Agreeing on common ways of working for
water management inspectors
• Motivating for and securing additional
resources for compliance monitoring activity
• Gradual development of the capacity required
to start implementation once system design is
complete
Focus of Phase 1 (2015/16-2016/17)
This phase will also see:
• Completion of legislative reform process
• Establishment of the remaining CMAs
• Implementation of eWULA
• CMAs operating in terms of their delegations
and assignments
• Progressive publishing of Resource Quality
Objectives (Gazette) and compliance
monitoring at catchment scale against RQOs
Increase monitoring
Who
Target
CD:CM/Prov
Ops Identification of priorities for proactive inspections
Reg,
and Target: Annual list developed to achieve APP targets (see table below)
CMAs
Proto-CMA
CMA/proto CMA, Proactive inspection of authorisations (workplan according to list and with shared
Prov Ops Reg
resources)
CMAs
Proactive inspection of 10% of CMA issued water use authorisations (2016/17)(Based
on prioritsation)
CMAs and Proto- Increased use of alternative approaches to gathering information on compliance levels
CMA
(ie. other than inspections) i.e. self-monitoring and 3rd party audits
Target: verification of mining self-monitoring reports submitted to proto-CMAs (15/16)
Upload submitted self-monitoring reports to Compliance Information Management
System (16/17)
CD:CM
Analyse inspections reports and prepare annual compliance report (October)
Designing and establishing systems and
processes for compliance monitoring
Who
Target
Chief
Directorate: Prioritisation system:
Compliance Monitoring Completion of design and construction March 2016
Delivery to all responsible authorities and training on its use September 2016
Effective operation dependent on data entered – Phase 2
Chief
Directorate: Compliance and Enforcement Information Management System
Compliance Monitoring Enhancement of existing Enforcement Case management system end March 2016
Will also manage self- monitoring and 3rd party monitoring including collation, review verification
and response (where data is found to be inaccurate or requiring on-site verification)
Greater focus will also be placed on GIS functionality of systems to assist in cumulative
compliance monitoring and catchment scale monitoring against RQOs – this will require a cleanup of existing water use data specifically around GPS coordinates of water users.
Delivery to all responsible authorities and training on its use September 2016
Chief
Directorate: Compliance Monitoring Performance Management System
Compliance Monitoring Enhancement of current spreadsheets March 2016
Delivery to all responsible authorities and training on its use September 2016
Standard Operating Procedures
•
•
•
•
•
•
•
•
•
•
•
•
approval of standard operating procedures
the designation and withdrawal of water management inspectors
routine inspection of general landfill sites
routine inspection of hazardous landfill sites
entering a facility on a routine inspection
inspection of compliance with conditions to water use authorisation
drafting of inspection reports
use of pocketbook
referral and reporting
monitoring compliance against resource quality objectives
dam safety monitoring
Code of conduct for Water Management Inspectors
Knowledge and Capacity
Who
Target
Chief
Development of CM Manual – generic processes and templates (2015/16)
Directorates
Development of regulations for WMIs (2016/17)
Compliance
Development of training material for WMI designation (2016/17)
Monitoring
Development of training programme for WMI designation (2016/17)
and
Implement WMI training programme (2017/18)
Enforcement
Development of training materials for compliance monitoring SOPs (April 2016)
Development of training programme in SOPs for WMIs (March 2016)
Development of competency framework (March 2016)
Implementation of skills audit (April 2016)
Development of skills development strategy for compliance monitoring
(September 2016)
Establishment of support unit (WMI register, training facilitation and systems
support)
Gradual increase in resources and
staff committed to CM
Who
Target
CD: CM and Preparation of resource plan for the activities and outputs contained
CMAs
CDs
in phase 2 (2015/16)
CM, Preparation of a national analysis of resource needs to complete
Institutional phase 2 (by mid 2016/17)
Oversight
Coordination of discussion as to user charges (timeframes to be
and
confirmed with ER)
Economic
Development and implementation of water use charges for
Regulation
compliance monitoring (timeframes to be confirmed with ER)