1. DWA CORPORATE IDENTITY Presented by: Johan Maree Deputy Director: Media Production 12 December 2012 Compliance Monitoring Strategy Presented by: Anet Muir Acting Chief Director: Compliance Monitoring Date: May 2015

2. 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

3. 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.

4. 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.

5. 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.

6. 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.

7. Principles for Compliance Monitoring: A benchmark minimum frequency for self- monitoring 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.

8. 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.

9. 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.

10. Compliance Monitoring Strategy 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

12. PhaseOutcome Phase 1 (year 1- 2) Short term In this design phase the focus will be on designing and establishing systems and processes, common ways of working and motivating for additional resources. Work will also start on the gradual development 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 (Year 3- 5) Mediu m term In this “establishment” phase – the focus will be on implementing systems and processes gradually and on continuing to develop the skills and capacity required to achieve full implementation. Levels of compliance will increase significantly and the shift from reactive to a combination of reactive investigations and proactive routine inspection programmes will be initiated. Approach

13. 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 self- monitoring and 3 rd party auditing including the review of these Designing and establishing systems and processes for compliance monitoring

14. 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

15. 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

16. Increase monitoring WhoTarget CD:CM/Prov Ops Reg, CMAs and Proto-CMA Identification of priorities for proactive inspections Target: Annual list developed to achieve APP targets (see table below) CMA/proto CMA, Prov Ops Reg Proactive inspection of authorisations (workplan according to list and with shared resources) CMAs Proactive inspection of 10% of CMA issued water use authorisations (2016/17)(Based on prioritsation) CMAs and Proto- CMA Increased use of alternative approaches to gathering information on compliance levels (ie. other than inspections) i.e. self-monitoring and 3 rd 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:CMAnalyse inspections reports and prepare annual compliance report (October)

17. Designing and establishing systems and processes for compliance monitoring WhoTarget Chief Directorate: Compliance Monitoring Prioritisation system: 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 Monitoring Compliance and Enforcement Information Management System Enhancement of existing Enforcement Case management system end March 2016 Will also manage self- monitoring and 3 rd 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 clean- up 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 Compliance Monitoring Performance Management System Enhancement of current spreadsheets March 2016 Delivery to all responsible authorities and training on its use September 2016

18. 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

19. Knowledge and Capacity WhoTarget Chief Directorates Compliance Monitoring and Enforcement Development of CM Manual – generic processes and templates (2015/16) Development of regulations for WMIs (2016/17) Development of training material for WMI designation (2016/17) Development of training programme for WMI designation (2016/17) Implement WMI training programme (2017/18) 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)

20. Gradual increase in resources and staff committed to CM WhoTarget CD: CM and CMAs Preparation of resource plan for the activities and outputs contained in phase 2 (2015/16) CDs CM, Institutional Oversight and Economic Regulation Preparation of a national analysis of resource needs to complete phase 2 (by mid 2016/17) Coordination of discussion as to user charges (timeframes to be confirmed with ER) Development and implementation of water use charges for compliance monitoring (timeframes to be confirmed with ER)