Environmental Monitoring and Auditing Guidelines (EM&AG)

DEPARTMENT: WATER AFFAIRS

INTEGRATED ENVIRONMENTAL MANAGEMENT (IEM) SERIES

IEM SERIES: SUB SERIES No 1.7

ENVIRONMENTAL MONITORING AND AUDITING GUIDELINES (EM&AG)

Prepared by

The Directorate: Water Abstraction and Instream Use Sub-Directorate: Environment and Recreation

For further information please contact: Ms. Valerie du Plessis

Tel: 012 336 8679 E-mail: [email protected]

or

Miss Samukelisiwe Mkatshwa Tel: 012 336 8083 E-mail: [email protected]

mailto:[email protected]

mailto:[email protected]

IEM Series Sub Series No. 1.7 EM&AG

Second Edition - ii - May 2005

Published by

Department of Water Affairs

Private Bag X313

PRETORIA, 0001

Republic of South Africa

Tel: (012) 336 7500/ +27 12 336 7500

Fax: (012) 323 0321/ +27 12 323 0321

Copyright reserved

No part of this publication may be reproduced in any manner

without full acknowledgement of the source

This report should be cited as:

Department of Water Affairs and Forestry, 2005 Environmental Monitoring and

Auditing Protocol. Integrated Environmental Management Sub-Series No.1.7 .

Second Edition. Pretoria.

Co-ordinated by:

Sub-Directorate: Environment and Recreation

Private Bag X313

PRETORIA

0001

In Collaboration with:

Nemai Consulting

PO Box 1673

SUNNINGHILL

2157


Second Edition - iii - May 2005

DOCUMENT INDEX

Reports as part of the Integrated Environmental Management Series (IEMS)

Report number Report title

Sub-Series 1.1 Administration of the IEM Series

Sub-series 1.2 Environmental Policy

Sub-series 1.3 Consolidated Environmental Implementation and Management Plan (CEIMP)

Sub-series 1.4 Integrated Environmental Management Framework (IEMF)

Sub-series 1.5 Environmental Decision Support System (E-DSS)

Sub-series 1.6 Environmental Best Practices Guidelines and Specifications (EBPG&S)

Sub-series 1.7 Environmental Monitoring and Auditing Guidelines

Sub-series 1.8 Environmental Reporting Framework

Sub-series 1.9 Sustainable Development Management System (SDMS)

Sub-series 1.10 Environmental Legal Guide Booklet and Database


Second Edition - iv - May 2005

APPROVAL

TITLE: Integrated Environmental Management Series –

Environmental Monitoring and Auditing Guidelines

DATE: May 2005

AUTHORS: S. Holt and D. Naidoo

SUB-SERIES NO.: 1.7

FORMAT: MSWord and PDF

WEB ADDRESS: www.dwaf.gov.za

Approved for the Department of Water Affairs by:

_________________________________

Ms Valerie du Plessis

Deputy Director: Environment and Recreation

_________________________________

Mr Charles M‟Marete

Director: Water Abstraction and Instream Use


Second Edition - v - May 2005

ACKNOWLEDGEMENTS

The following individuals are thanked for their contributions to the document:

Project Management Committee

Valerie du Plessis Department of Water Affairs

Anet Muir Department of Water Affairs

Geraldine Munro Department of Water Affairs

Jerry Methula Department of Water Affairs

Shane Naidoo Department of Water Affairs

Pieter Ackerman Department of Water Affairs

Samukelisiwe Mkatshwa Department of Water Affairs

Chantal Matthys Department of Water Affairs (promoted to DEA)

Nicky Naidoo Nemai Consulting

Shelley Holt Nemai Consulting

TABLE OF CONTENTS

TABLE OF CONTENTS ............................................................................................ vi

APPENDICES .......................................................................................................... vii

LIST OF TABLES ..................................................................................................... vii

LIST OF FIGURES ................................................................................................... vii

DEFINITION OF ACRONYMS ................................................................................ viii

1. INTRODUCTION ............................................................................................... 1

2. USER‟s GUIDE ................................................................................................. 3

2.1 How Should this Document be Used? ........................................................ 3

2.2 Who Should Use the EM&AP? ................................................................... 4

2.3 When Should the EM&AP be Used? .......................................................... 4

2.4 EM&AP Structure and Content .................................................................. 5

3. THE MONITORING PROTOCOL ...................................................................... 6

3.1 Definition of Monitoring .............................................................................. 6

3.2 Types of Monitoring ................................................................................... 6

3.3 Generic Monitoring Process ..................................................................... 14

3.4 Guideline for Writing a Monitoring Report ................................................ 24

3.5 Instituting Corrective Action, Continual Improvement and Preventative

Measures ............................................................................................................ 27

4 THE AUDITING PROTOCOL .......................................................................... 28

4.1 Definitions of Auditing .............................................................................. 28

4.2 Types of Auditing ..................................................................................... 29

4.3 Generic Auditing Process ........................................................................ 37

4.4 Guideline for Writing an Auditing Report .................................................. 48


Measures ............................................................................................................ 51


Second Edition - vii - May 2005

APPENDICES

APPENDIX A Worked Example: Monitoring

APPENDIX B Worked Example: Auditing

APPENDIX C Tools Checklists for DWAF functions

APPENDIX D EIA Audit Effectiveness

APPENDIX E EMP Audit Effectiveness

APPENDIX F EMS Audit Checklist

APPENDIX G Audit Checklist for the Institutional Environmental

APPENDIX H Checklist for Monitoring Forestry Performance

APPENDIX I EMP Compliance Checklist

APPENDIX J Checklist for Monitoring Pest Control Operations

APPENDIX K Checklist for Auditing Pest Control Operations

LIST OF TABLES

TABLE 1: Types of Monitoring Applicable to DWAF Functions

TABLE 2: Recommended Monitoring Frequencies

TABLE 3: Typical Format of an Environmental Monitoring Report

TABLE 4: Types of Auditing Applicable to DWAF Functions

TABLE 5: Recommended Auditing Frequencies

TABLE 6: Typical Format of an Environmental Auditing Report

TABLE 7: Typical Format of a Non-compliance and Correction Report

LIST OF FIGURES

FIGURE 1: Aim of the EM&AP

FIGURE 2: Monitoring Nodes and Types for a Typical WRM Development

Project

FIGURE 3: Monitoring Nodes and Types for a Typical WS Development

Project

FIGURE 4: Overview of Monitoring Process

FIGURE 5: Audit Nodes for a Typical WRM Development

FIGURE 6: Audit Nodes for a Typical WS Development

FIGURE 7: Overview of Auditing Process

FIGURE 8: Typical Audit Process Showing Corrective Action

FIGURE 9: Deming Model/PDCA Cycle


Second Edition - viii - May 2005

DEFINITION OF ACRONYMS

CEIMP Consolidated Environmental Implementation and Management

Plan

DEAT Department of Environmental Affairs and Tourism

DWAF Department of Water Affairs and Forestry

EIA Environmental Impact Assessment

EIMS Environmental Impact Management System for water services

EM&AP Environmental Monitoring and Auditing Protocol

EMP Environmental Management Plan

EMPR Environmental Management Programme Report

EMS Environmental Management System

EPA (United States) Environmental Protection Agency

EPE Environmental Performance Evaluation

ESM&RS Environmental Site Management And Rehabilitation

Specifications

HO Head Office

IEM Integrated Environmental Management

IEMF Integrated Environmental Management Framework

ISO International Standards Organisation

NEMA National Environmental Management Act, No. 107 of 1998

NFAP National Forestry Action Plan

O&M Operations and Maintenance

PDCA Plan Do Check Act

RD Regional Director

RO Regional Office

RoD Record of Decision

SEA Strategic Environmental Assessment

WRM Water Resource Management

WS Water Services

Second Edition - 1 - May 2005

1. INTRODUCTION

The Environmental Monitoring and Auditing Protocol (EM&AP) is part of the

Integrated Environmental Management Series (IEMS), a DWAF initiative to ensure

that the organisation has factored in all aspects of environmental management in its

business functions either as a Developer and/ or Operator of schemes (Operations

and Maintenance) with an impacting function on the environment or as a Regulator,

with a management function, to control activities that may have an impact on the

environment. The EM&AP forms Sub Series 1.7 of the IEMS.

Purpose of the EM&AP: The purpose of environmental monitoring and auditing

is to verify that all relevant laws and policies are adhered to, that environmental

management tools are used effectively, and to identify and correct environmental

issues. The EM&AP is in line with DWAFs overall aim of ensuring the protection of

our water resource and to promote sustainable development. The EM&AP will enable

DWAF to produce an annual report on the implementation of the departments

Environmental Consolidated Implementation and Management Plan (CEIMP).

Aim of the EM&AP: The aim of the EM&AP is threefold, as captured below.

Figure 1 Aim of the EM&AP

The EM&AP will be

used by DWAF

officials to monitor

and to perform

internal audits on the

organisation at a

strategic level (ie at a

policy and regulation

level) to ensure

compliance with

internal systems such

as an EMS and with

relevant legislation.

The EM&AP will be

used by DWAF


and to perform

internal audits on the

organisation at a

strategic level (ie at a

policy and regulation

level) to ensure

compliance with

internal systems such

as an EMS and with

relevant legislation.

11Strategic LevelStrategic Level 22DWAF as a DWAF as a

Developer Developer

and/or Operatorand/or Operator 33DWAF as a DWAF as a

RegulatorRegulator

The EM&AP will be

used by DWAF


and audit external

parties (such as

water use licencees)

were DWAF assumes

the role of a

Regulator in which

case DWAF will have

a management

function.

The EM&AP will be

used by DWAF


and audit external

parties (such as

water use licencees)

were DWAF assumes

the role of a

Regulator in which

case DWAF will have

a management

function.

The EM&AP will be

used to monitor and

audit DWAF projects

were DWAF assumes

the role of a

Developer and/or

Operator of schemes.

DWAF as a

developer or operator

(also referred to as

an Impactor) will

have an impacting

function on the

environment.

The EM&AP will be

used to monitor and

audit DWAF projects

were DWAF assumes

the role of a

Developer and/or

Operator of schemes.

DWAF as a

developer or operator

(also referred to as

an Impactor) will

have an impacting

function on the

environment.



The EM&AP is an instrument to verify the following:

DWAF as an organisation complies with relevant policies, legislation

and regulations;

DWAF projects/activities/programmes comply with the relevant

policies, legislation and regulations; and

External parties, including water use licence applicants, comply with

conditions prescribed by DWAF.

The EM&AP will be used by officials responsible for environmental functions in the

Water Resource Management (WRM), Water Services (WS) and Forestry

Directorates. WRM, WS and Forestry have impacting and management functions,

the EM&AP must be read in light of these functions.

The EM&AP will enable corrective action to be initiated to promote continual

improvement. Preventative measures can thereafter be implemented. The selection

of corrective actions is largely dependent on whether DWAF has an impacting or

management function.

The EM&AP is intended to promote environmental best practice, legal compliance,

protection of the resource, and promote sustainable development and sustainable

use of water resources.



2. USER’S GUIDE

2.1 How Should this Document be Used?

The EM&AP is a protocol which describes the process/procedure to be followed

when monitoring or conducting an audit. The document proposes a generic

monitoring and auditing process which can be adapted for all types of monitoring and

auditing. Also, the EM&AP is designed as a generic protocol that can be adapted for

DWAF‟s roles at a strategic level, as an Impactor or a Regulator.

Project life cycle diagrams indicating monitoring and auditing nodes for WRM and

WS development projects are included in the document. Each node is defined in

terms of the applicable monitoring type.

A worked example for a monitoring type is included in Appendix A while an example

of a third party audit of DWAF is included in Appendix B to further assist the user in

understanding the EM&AP. Appendix C to K contains various checklists to assist the

user in monitoring or to conduct an audit. The checklists are included to provide

guidance to the user.

The user must firstly establish whether he/she will be monitoring or auditing in the

following roles:

Monitoring or auditing DWAF for compliance from a strategic

perspective i.e. at a Policy and Strategy level.

Monitoring or auditing internal development projects where DWAF is

the developer (or Impactor) that is DWAF has an impact on the

environment.

Monitoring or auditing internal DWAF activities which are not

development projects but have an impact on the environment from a

operations and maintenance perspective such as pest control on dam

walls, the operation and maintenance of schemes, clearing activities,

etc. were DWAF has an impact on the environment.

Monitoring and auditing external parties where DWAF is the Regulator

such as water use licences, protection of the resource, etc. were

DWAF has a management function.

Once the User has established the context in which the monitoring and/or auditing

will be undertaken, the necessary checklists and the relevant steps of the protocols

must be consulted.



2.2 Who Should Use the EM&AP?

The monitoring protocol should be used by suitably qualified DWAF officials. Various

types of monitoring can occur at a strategic, programme and project level. The

monitoring protocol is designed such that it can be used to monitor internal DWAF

projects and to monitor external parties for compliance with conditions prescribed by

DWAF.

The auditing protocol should be used by DWAF staff responsible for ensuring the

following either at Head Office or at the Regional Office:

DWAF is compliant with environmental legislation, policy and

regulations.

DWAF‟s internal environmental objectives, goals and targets are being

met.

DWAF has met all performance compliance requirements.

Compliance by external parties to DWAF requirements.

Likewise, the auditing protocol is designed such that it can be used by DWAF officials

responsible for auditing external parties in terms of DWAF‟s management functions

namely compliance to water use licence conditions.

The frequency for conducting an internal audit must be reasonable and practicable to

allow for continuous improvement, a minimum of once a year is an accepted norm

provided that ongoing monitoring is instituted.

An external party should audit DWAF at least once every three years. The external

auditor may choose to use the EM&AP.

The EM&AP can be used by Head Office and Regional Office Officials. It is

imperative that the protocols and checklists are used by appropriately qualified

officials as the documents presented in this Sub Series is designed to assist the

officials but not to make a decision for the official, the interpretation of all monitoring

data and auditing findings remains the responsibility of the official.

2.3 When Should the EM&AP be Used?

The period for monitoring and auditing is dependent on DWAF‟s roles and

responsibilities. Table 2 and 5 of the document contains possible monitoring and

auditing frequencies. Please note that the frequencies provided in the report are only



considered a guideline. The auditing and monitoring frequency of each of DWAF

functions/activities/projects/programmes is dependent on the impact on the

environment.

2.4 EM&AP Structure and Content

Section 1: provides an introduction to the EM&AP including the aim and purpose of monitoring and auditing.

Section 2: contains document user information on who

should use the EM&AP, how should it be used

and when should it be used.

Section 3:

provides details on the recommended

monitoring protocol for DWAF. The protocol

consists of a definition of monitoring, the types

of monitoring, a generic monitoring process, a

guideline for writing a monitoring report and

guidance on instituting corrective action for

continual improvement.

Section 4:

provides details on the recommended auditing

protocol for DWAF. The protocol consists of a

definition of auditing, the types of auditing, a

generic auditing process, a guideline for writing

an auditing report and guidance on instituting

corrective action for continual improvement.



3. THE MONITORING PROTOCOL

3.1 Definition of Monitoring

The term environmental monitoring is not used consistently in the environmental field

and is often referred to by various terms. The British Standard EN ISO 14031:1999

defines Environmental Performance Evaluation (EPE) as an internal management

process and tool designed to provide environmental management with reliable and

verifiable information on an ongoing basis to determine whether an organization‟s

environmental performance is meeting the criteria set by the management of the

organisation. EPE can be interpreted as a certain type of environmental monitoring.

For the purposes of this document environmental monitoring is defined according to

DWAF‟s Integrated Environmental Management Framework (IEMF) as “the repetitive

and continued observation, measurement and evaluation of environmental data to

follow changes over a period of time to assess the efficiency of control measures”.

Monitoring has a smaller scope, usually at a project or programme level. Monitoring

is undertaken on an ongoing basis for the duration of the project, programme or

activity – usually before, during, and after implementation of each project or

programme.

3.2 Types of Monitoring

The aim, purpose and need for monitoring determines the type of monitoring that is

required. A series of monitoring types is discussed below.

Administrative

Monitoring

Administrative monitoring aims to ensure that deed restrictions, land use

restrictions, etc., are enforced and not violated. This type of monitoring is

similar to compliance monitoring, which is described later in the document.

The monitoring of state land and other land related matters by DWAF are

typical examples of administrative monitoring.



Inspection

Monitoring

Inspection monitoring is the most common and simplest form of monitoring and

involves the periodic inspection of an activity for any stated purpose. Inspection

monitoring may include: (1) Physical Monitoring – to ensure the integrity of

physical structures (e.g., landfill covers, berms, operating remedial systems,

gates, and fences); and (2) Contaminant Monitoring – to confirm the status of

protected areas, and may be used to detect and locate any release and

migration of pollution. Inspection monitoring could also take the form of toxicity

monitoring or biological monitoring.

Compliance

Monitoring

(Regulatory

Permit

Monitoring)

Environmental protection and management can be ensured through the

monitoring of compliance by a regulating organisation such as DWAF, of the

regulated body such as a water use licence applicant. Compliance with

environmental laws, regulations, permits, licences etc., is controlled through

effective monitoring and compliance assessment. Such compliance must be

monitored to ensure that control mechanisms have the desired effect.

Inspection and regulatory permit monitoring are directed to human activities

such as discharges, rather than to the biophysical environment per se (for

example, the stream itself), though DWAF does require monitoring such as

SASS, the habitat integrity index, riparian index, WQ monitoring etc.

Compliance monitoring aims to:

Determine compliance with applicable laws, regulations, permit

conditions, orders and settlement agreements;

Review and evaluate the activities of the regulated body; and

Determine whether or not conditions presenting imminent and

substantial endangerment may exist.

Compliance monitoring consists of a wide range of activities in six basic

categories which may overlap:

1) Surveillance - a pre-inspection activity to obtain general site information

prior to entering the site;

DWAF can perform inspection monitoring on internal development projects or

on a third party project such as a water use licence holder.



Compliance

Monitoring

(Regulatory

Permit

Monitoring)

(continued)

2) On-site inspections may include record reviews, observations,

sampling, interviews, etc., and may have different foci.

3) Investigations are more detailed inspections and may be needed if an

inspection or record review suggests the potential for serious,

widespread, and/or continuing violations.

4) Record reviews may be conducted at the regulator‟s offices, or at the

site, and may or may not be combined with fieldwork.

5) Records may be derived from routine self-monitoring requirements,

inspection reports or remote sensing.

6) Targeted information gathering may be used to provide or acquire more

accurate information on the status of compliance and/or environmental

conditions.

Remediation compliance monitoring of work required by regulation, permit,

order or settlement includes ensuring timely submissions, review of submittals

for adequacy and oversight of remedial activities. This may include sampling,

sample analysis, observations, and issuance of information, letters, directives or

subpoenas.

DWAF‟s role in compliance monitoring as a Regulator may include:

The collection and analysis of compliance and enforcement data;

Conducting inspections/ investigations;

Developing policy and legal guidance when questions arise as to

the interpretation of environmental laws, regulations and policies;

Technical assistance to provinces and local governments; and

Management and oversight of compliance monitoring

enforcement.

However, DWAF‟s role in compliance monitoring as an Impactor (developer

and/or operator of schemes) may include:

The submission of monitoring data to the relevant authority for

review such as DEAT;

Conducting ongoing internal inspections/investigations on DWAF

development projects in terms of compliance to the EMP and

ESM&RS; and

Taking monthly samples such as the monitoring of fish stocks to

determine the impacts on natural fish species, etc. and the

interpretation of the data to institute proactive mitigation

measures.



Baseline

Monitoring

(Monitoring of

Ambient

Environmental

Quality)

Baseline monitoring is the regular measurement of specific indicators to

detect environmental change due to the direct or indirect effects of a

development or activity, and to distinguish those changes from natural

variability. Baseline monitoring is applicable to DWAF‟s projects which

involve an environmental impact, particularly construction projects which

could affect water quality. The results of such monitoring (e.g. of water

quality) are often used for testing the validity and reliability of impact

assessment and testing mitigate measures.

Programme

Evaluation

Monitoring

(productivity

measurement

or

performance

auditing)

Programme evaluation monitoring is often used to measure the efficiency or

effectiveness of policies or programmes implemented by an organisation. This

type of monitoring is used to measure progress in achieving goals, identifying

problem areas, help set improved productivity targets and develop worker

incentive schemes.

Baseline monitoring could also be part of compliance monitoring, for instance

an RoD issued by DEAT to DWAF for a development project may require

that there is ongoing baseline monitoring of noise levels if the development is

within a built up area. Further, baseline monitoring may be required during

the reconnaissance phase of a project to identify long-term environmental

impacts of the proposed development.

Should DWAF monitor the conditions of RoDs issued for water use licences,

to ensure that the conditions take into account environmental principles and

are in line with DWAF policies such as the IEMF, then this would a typical

example of programme evaluation monitoring.



Monitoring of

Project Impact

Management

(Environmental

Health

Monitoring,

Reconnaissance

Monitoring)

Monitoring of project impact management is used to assess a wide range

of environmental, social, and economic impacts arising from a particular

project or activity. The aim of the monitoring is twofold: firstly to evaluate

measures which have been put in place to reduce or mitigate negative

impacts, and to check the accuracy of impact predictions against the

actual impacts and secondly to monitor the environmental impact of a

project which is not a listed activity according to the EIA Regulations hence

no environmental approval is required.

Cumulative

Impact

Monitoring

Cumulative impact monitoring is usually required in geographic regions where

rapid industrial or agricultural development and/or dramatic social-economic

change are taking place. The focus is on monitoring all critical issues in a

region, or changing socio-economic patterns, whether they are related to a

project or government program or occur independently. The sum of interrelated

effects over time is likely to be greater than those generated separately by

particular projects or programs. Cumulative Impact Monitoring is most likely to

be used as part of a Strategic Impact Assessment to monitor trends on the

social or biophysical environment.

Many WS projects such as the installation of internal water reticulation

pipelines do not qualify for environmental approval however, the

development does have an impact on the environment. Monitoring of project

impact management would be the most appropriate type of monitoring for

these projects.

When a dam is built and people are displaced or re-located, the cumulative

impact of the re-location on their well being and way of life may need to be

monitored, as well as the impact that the dam on regional biophysical

aspects. Cumulative impact monitoring is often performed in a catchment to

determine the impact of development on sensitive environments such as

wetlands. Understanding the cumulative impacts in a catchment will result in

more informed decisions in the catchment.


Table 1: Types of Monitoring Applicable to DWAF Functions

Application Administrative

Monitoring

Inspection

Monitoring

Compliance Monitoring

(Regulatory Permit

Monitoring

Baseline

Monitoring

Programme

Evaluation

Monitoring

Monitoring Of

Project Impact

Management

Cumulative Impact

Monitoring

Developer

Policy and Strategy

Regulating water use

Table 2: Recommended Monitoring Frequencies

Construction Commissioning O&M

Expansion /

Modification

Closure/

Decommissioning

Strategic/Organisational

Level

Developer Listed

Activity RoD RoD

RoD/every three months

(impact dependant) RoD RoD

Developer Non-

Listed Activity Monthly Monthly

Every three months (impact

dependant) Annually Annually if applicable

O&

M

Transfer

Schemes/ Pump

Stations/Dams

Operating Plan or every six

months

Weirs/ Canals/

Pipelines Annually

Policy and Strategy Annually

Regulating Water

Use

RoD/bi-

monthly RoD/monthly RoD/once very 6 months RoD




3.3 Generic Monitoring Process

The purpose of monitoring is to follow changes over a period of time and to assess

the efficiency of control measures, through a process of repetitive and continued

observation, measurement and evaluation of environmental data. Checklists are the

most widely used monitoring tools however other monitoring tools include electronic

decision support instruments, online digital monitoring instruments and before and

after pictures.

The monitoring process is designed such that the process is applicable at a strategic,

programme or project level. Specific indicators need to be monitored regularly to

ensure that projects/programmes, irrespective of whether DWAF is the Regulator or

the Impactor, are socially, environmentally and ecologically sustainable. Further, the

monitoring process is applicable to all types of monitoring. Refer to Figure 6 for an

overview of the monitoring protocol.


Figure4: Overview of Monitoring Process

Monitoring Objective

Scope of Monitoring

Information Required

Gather Information

Conduct Monitoring

Evaluate Results

Present Results

Decision-making

Corrective actions

Post- Monitoring

Conducting Monitoring

Pre- Monitoring Planning


Step 1. What is the objective of monitoring?

Monitoring objectives need to be determined, bearing in mind the environmental

goals and objectives of DWAF. Legislation, regulations and best practices should

also be borne in mind when determining objectives. Examples of monitoring

objectives could include:

ensuring legal compliance for instance monitoring to ensure that permit

conditions are met or compliance to the EMP, EIA, etc.(compliance

monitoring);

monitoring of pre-determined indicators e.g. ensuring that the water in a river

downstream of a dam is of the correct quality and quality; (baseline

monitoring)

ensuring that environmental programmes are effective and used correctly for

their intended purpose (programme evaluation monitoring);

reduce environmental liability on an environmentally sensitive project (e.g.

monitoring of suitable indicators may allay the public‟s concerns, cumulative

impact monitoring);

Gathering of Information

E.g. ensuring legal compliance

Best practices

Legislation

DWAF‟s environmental goals

Scope of Monitoring

Information required

MMoonniittoorriinngg OObbjjeeccttiivvee



Periodic inspection of a project to ensure compliance with the EMP,

rehabilitation specifications and best practices (inspection monitoring)

or a combination of the above.

Once the objective has been determined, appropriate checklists and other tools can

be used.

Step 2. What is the scope of the monitoring?

Before monitoring can begin, the scope must be clearly defined, based on the

objectives. Usually only one project or programme is monitored at a time.




Usually one project at a time

Based on objectives SSccooppee ooff MMoonniittoorriinngg



Step 3. What information is required to conduct the monitoring

The general information that will be required includes the details of the actual project,

if is an internal DWAF project, or the details of the Water Use Licence if DWAF is the

Regulator. The following information may be needed:

what is the purpose of the project?

what type of project is it?

copy of the RoD, EMP, EIA report, etc.

what activities are involved, etc.

If indicators are being monitored, background information is also required regarding

the indicators to be monitored and tools that will be used during the project.

Information on the targets and timeframes associated with each indicator is required.



Scope of Monitoring

Activities involved

Copy of RoD, EMP, etc.

Type of project

Project‟s purpose

IInnffoorrmmaattiioonn rreeqquuiirreedd



Step 4. How will the project monitoring information be gathered?

Depending on the objective of the monitoring, a variety of tools can be used to assist

in monitoring, more often than not checklists are used to gather information during

monitoring. A few checklists were designed for certain DWAF functions and included

in the Appendix of the document. The checklists could be used for monitoring

however one would need to adapt the checklists for specific types of monitoring.

Additional checklists may need to be designed for the different types of monitoring.

Suitable monitoring points for each indicator should be identified at the project site or

in nearby areas as required. Suitable intervals for monitoring each indicator should

be determined. The project team should be made aware of what types of monitoring

will be carried out during the project, and when and where the monitoring would

occur in order to monitor the correct information. Monitoring must be conducted by a

suitably qualified person.

GGaatthheerriinngg ooff IInnffoorrmmaattiioonn


Scope of Monitoring

Information required Qualified person

Monitoring frequency

Monitoring points

Checklists are often used

Monitoring tools



Step 5. Conducting the monitoring

If DWAF is monitoring in the capacity of a Regulator, a predetermined checklist must

be used. The checklist will be based on the requirements of the EMP approved

during the licence application process and the relevant licence conditions. Checklists

may also be based on relevant laws and regulations.

If DWAF is monitoring its own internal projects, as an Impactor, in line with other

Government Departmental requirements such as DEAT, then monitoring must be

done in accordance with the RoD of the relevant authority. However, if DWAF is

monitoring its internal projects, that are not regulated by any other authority, then a

reasonable monitoring programme must be developed.

Monitoring of indicators can be carried out through making observations and taking

samples at the monitoring points, at the predetermined intervals. The information will

be gathered using the checklist mentioned above as well as any other suitable tools

(e.g. bio-monitoring lists, on-line digital data, etc).

Evaluate results

Present results

Monitoring tools (e.g. checklists)

DWAF Impactor – RoD compliance

DWAF Regulator – EMP and licence compliance

Conduct monitoring



Step 6. Evaluating the monitoring results

The results of the monitoring are evaluated by comparing the information gathered

with the targets that were originally identified.

Evaluating monitoring results would involve a similar process to that for auditing, with

the exception that certain specific monitoring tools will have their own methods of

evaluation. An example of specific methods of evaluation may be the guidelines

which describe how to evaluate the results of water quality monitoring. The

evaluation/interpretation of the monitoring data is considered the most crucial step of

the monitoring process. Decisions on instituting corrective actions are based on the

interpretation of the monitoring data.

Conduct monitoring

Present results

Crucial step

Specific evaluation guidelines

Comparison of results with targets

Evaluate results



Step 7. Presenting the monitoring results

Monitoring results can be presented as a completed checklist, however it is advisable

that trends analyses are compiled. Trend reports are an interpretation of the results

of the monitoring reports, and are presented in the form of easily understood

graphics.

Unlike audit results, it is not likely that monitoring results will be included in annual

reports, though they will probably form part of project reports. The monitoring results

must be stored in a suitable information system as they will be required for auditing

purposes.

Conduct monitoring

Evaluate results

Storage for auditing purposes

Trend reports

Completed checklist

Present results



Step 8. Decision-making based on monitoring results

The decision-making process will be less strategic and more focussed on correcting

environmental performance problems. In monitoring, the decision making process is

driven by the need to resolve the non-compliance immediately.

A format for compiling an environmental non-compliance report is included in this

document. The non-compliance report can be used to aid the decision-making

process.

Step 9: Instituting corrective action

Instituting corrective action in the monitoring process is more immediate than the

auditing process. All non-compliance issues will need to be corrected immediately in

Corrective actions

Resolution of non-compliance

Focus on corrective actions Decision-making

Corrective actions

Decision-making Follow-up on corrective actions

DWAF Regulator – notification of non-

compliance (timeframe)

Specific actions may need input

Correct non-compliance immediately



other words it may not be possible from a timing perspective to implement policy

changes in order to improve monitoring results.

The corrective action will be specific to each project and may need the input from all

parties working on the project such as the planners, engineers, contractors, IAPs,

etc.

If DWAF is monitoring an external party, such as a waste disposal site permit holder

or a water use licence holder, the external party must be notified in writing of all non-

compliance and given a timeframe in which to institute corrective action.

The information in the non-compliance report (both those completed by DWAF and

those completed by external parties) will need to be followed up to ensure that the

corrective actions have been completed.

3.4 Guideline for Writing a Monitoring Report

The checklists and monitoring reports for environmental monitoring should be kept by

the environmental manager and should be stored in a suitable information system.

The checklists and reports must be available for use when conducting an audit of

projects, programmes, policies etc. It is the responsibility of the person conducting

the monitoring to ensure that the environmental monitoring report or checklist is

accurately completed, the observations made during the monitoring are correct and

true reflection of the actual situation and that the interpretation of the data is logical

and factual. The party responsible for performing the environmental must sign the

monitoring report.

A monitoring report will not be is not a detailed report, as much of the monitoring

information will be contained in the completed checklists.

The monitoring report must begin with basic administrative information related to the

monitoring. This includes the date/s that the monitoring was conducted, the type and

objective of the monitoring, how the information on the checklist was obtained, who

performed the monitoring, which checklists were used, which office or directorate

within DWAF was responsible for conducting the monitoring, and any problems

encountered during the monitoring process.



The monitoring report should then have a summary that identifies the key findings

and recommendations of the monitoring, including a summary of compliance and

non-compliance.

A more detailed description of the important monitoring results should then be

compiled. The report should also include a physical description of the site, the

indicators (if relevant) and monitoring sites. The type of information that will be

included in the report is depend on the type of monitoring that was required for the

specific purpose.

The report must clearly suggest recommendations or corrective actions that will

assist DWAF staff or an external party in attaining compliance. Corrective actions will

vary widely and should be decided upon by the person with the delegated powers to

institute change.

It is crucial that the monitoring report includes all relevant supporting information, the

checklists in particular must be completed in full. Diagrams, photographs, and other

data may also form part of the report.

Recommendations to address areas of non-compliance or opportunities to reduce

the risk of harm or detriment to the environment resulting from the activity, may also

be included. The recommendations should be prioritized and dates for instituting

corrective actions should be included where necessary.



Table 3: Typical Format of an Environmental Monitoring Report

Dept./Company where monitoring will be carried out:

FORM NO.:

Monitoring date:

Monitoring leader and team:

Project/Programme/Activity monitored:

Responsible manager:

Monitoring type:

Indicators measured:

Purpose of monitoring:

Objectives/targets of the monitoring:

Scope of the monitoring:

Main checklists to be used during the monitoring:

Description of the project/programme/activity to be monitored:

Monitoring technique and evaluation of monitoring results:

Description of non-compliance noted during the monitoring: (Was a non-compliance report completed?)

List of supporting documents:

Recommendations and Conclusions

Signed/date: Monitoring leader:

Responsible manager/licence holder




Measures

Corrective action for monitoring usually involves simple measures designed to stop

the immediate problem for the short-term. Unlike corrective action for auditing which

is strategic and often involves change in policy, management, etc.

Identifying the simple cause of a monitoring finding is fairly straightforward. The

checklists should allow the monitor to highlight the areas where environmental

problems have arisen. An examination of the facts should then enable the monitor to

understand the problem and identify the cause.

Corrective actions need to be devised which are specific to each problem. The

assistance of a higher-level decision-maker may be useful in establishing appropriate

corrective actions. A suitable deadline for the implementation of a corrective action

should be determined. Further monitoring of this corrective action must be included in

all future monitoring programmes. Refer to Table 7 of the report for a typical non-

compliance and corrective action report.



4 THE AUDITING PROTOCOL

4.1 Definitions of Auditing

The United States Environmental Protection Agency (EPA, 1997) defines

environmental auditing as a „documented, periodic and objective review of facility

operations and practices related to meeting environmental requirements‟. An auditing

protocol will also ensure consistency in the level of compliance. The aims of an

environmental audit should be to: verify compliance with environmental requirements,

evaluate the effectiveness of Environmental Management Systems, and to assess

the risks from regulated and unregulated practices (EPA, 1997).

Definitions for environmental auditing are also available from the International

Chamber of Commerce and the International Standards Organisation (ISO). The

International Chamber of Commerce defines an environmental audit as „a

management tool comprising a systematic, documented, periodic and objective

evaluation of how well environmental organisation, management and equipment are

performing with the aim of helping to safeguard the environment by:

(1) facilitating management control of environmental practices; and

(2) assessing compliance with company policies, which includes meeting regulatory

requirements. „

The International Standards Organisation (ISO) defines environmental audit as a

„systematic, documented verification process of objectively obtaining and evaluating

audit evidence (verifiable information, records or statements of fact) to determine

whether specified environmental activities, events, conditions, management systems,

or information about these matters conform with audit criteria (policies, practices,

procedures or requirements against which the auditor compares collected audit

evidence about the subject matter), and communicating the results of this process to

the client (organisation commissioning the audit).‟

Environmental audits help in assuring the accuracy and relevance of environmental

monitoring, and the identification of issues via the audit process may also lead to

environmental standards that exceed regulatory requirements.

Audits can apply at a project level as well as at a strategic level. Further, audits tend

to involve a broader scope of projects, though depending on the nature of the

organisation, usually only a sample is taken. Audits are conducted less frequently



than monitoring, often annually or biannually. Possible methods for conducting an

environmental audit vary from simple checklists to more complex programmes.

These procedures use a systematic and structured approach to record whether an

organisation is meeting its environmental objectives. It is important that all relevant

aspects of the organisation are identified and included in the audit at an agreed level

of detail.

A requirement of an environmental audit is that evidence must be verified by

supporting documents, if this is not the case, then the process is a review, survey or

assessment, but not an audit.

4.2 Types of Auditing

Numerous types of environmental audits can be carried out for various types of

projects or sites. The choice of a suitable audit type depends primarily on the

purpose of the audit. The various types of audit are discussed below.

Environmental

Management

Programme

Audit

An environmental management programme audit may be conducted for

organisations that do not have an environmental management system in

place. This type of audit will cover DWAF‟s entire environmental

management programme, for functions which have an impact on the

environment and for functions which control/regulate impacts on the

environment.

An audit of DWAF‟s CEIMP against objectives and targets set by DWAF and

agreed to by DEAT is an example of an environmental management

programme audit.



Environmental

Management

Systems

(EMS) Audit

EMS‟s are formally and independently recognised systems. EMS audits are

normally required to maintain accrediation and to ensure that the EMS is

functional, relevant, commitments made in the EMS are upheld, and that the

EMS is properly implemented. There are three levels of Environmental

Management System audits namely:

First Party Audit: A first party audit is an audit by an organisation on itself,

i.e. an internal audit of the EMS.

Second Party Audit: A second party audit is an audit by one organisation,

working on its own behalf, on another. This is usually an audit on a supplier

by a customer.

Third Party Audit: A third party audit is an audit of the EMS against an

appropriate standard and is conducted by an independent organisation.

These standards also require that internal environmental audits are

undertaken according to a timetable developed by management of the

organisation certified to the standard.

Compliance

Audits

Environmental compliance audits examine the compliance of an organisation, a

site or operation with environmental legislation, regulations, licences, and other

documentation, including internal environmental policies. Compliance audits are

applicable at a project and organisational level.

A compliance audit, as part of an EMS audit or programme management audit,

will often involve the services of an environmental lawyer to provide advice on

environmental legislation, while other members of the audit team may include

environmental or technical experts to determine whether the technical aspects

of compliance are being achieved.

The outcome of a compliance audit is usually a 'report by exception', which is a

report that documents only the instances of non-compliance.

DWAF will lneed to conduct a first party audit of an internal DWAF EMS,

once the EMS is in place.

Compliance audits are relevant to DWAF at a strategic level and as a

Regulator. At a DWAF strategic level this type of audit is rarely carried out in

isolation, and will normally form part of a general environmental review or

EMS audit, should an EMS be in place. However, as a Regulator, a

compliance audit of external parties such as water use licence holders may

form part of a technical or process audit.



Technical

or

Process

Audits

Technical or process audits are specialised types of audits undertaken by industry

or government departments for the purpose of determining whether a particular

operation or process has a detrimental effect on the environment, or to assess the

environmental impact of a specific part of an operation or process.

Due Diligence

Environmental

Audit

Due diligence audits may be required before the lending of funds or by the

organisation considering a merger, acquisition or divestment. This is due to

the fact that financial institutions and purchasers of property are more aware

of the possibility of acquiring environmental liabilities. Another reason that

environmental audits are carried out is to determine the level of

environmental liability or risk of a property or asset. Such audits may be

required by a prospective purchaser, or by a lessor or lessee to determine

the environmental liability arising from pollution of a property. Further, due

diligence environmental audits may be applicable to all state land issues.

As a Regulator, the audit of a water use license is considered a

technical/process audit. However, as an Impactor, the internal audit of

technical developments such as transfer schemes and dams is also

considered a technical/process audit.

This may be applicable when DWAF has undertaken to rehabilitate defunct

mines on behalf of the mine owner with the understanding that DWAF will

recover all costs from the mine owner. Also, due diligence environmental

audits may be required if DWAF is to purchase major assets or property for

development projects such as a dam.



Environmental

Marketing

Audits

There is an increasing number of legislation and public pressure related to

the environmental cost of consumer products. These include

'environmentally friendly' products and other types of labelling which form

part of the marketing of products. An environmental marketing audit

assesses the environmental standing of a product or a range of products, by

conducting a life-cycle assessment of a product, as well as ensuring that the

company's operations meet legislative requirements and public expectations.

Environmental

Management

Tools Audit

Currently DWAF has a number of environmental management tools including

an EIA evaluation checklist, Standardised EMP guideline, an EMP evaluation

checklist, an EMPR evaluation checklist, Aspect and Impact Register,

Request for Information checklist and Environmental Site Management and

Rehabilitation Specifications to name a few inhouse environmental

management tools.

The environmental management tools need to be audited to ensure the

effectiveness of the tools, the efficient and appropriate use of the tools for its

intended purpose and to ensure that the tools reflect changes in legislation.

The environmental management tool audit aims to assess the extent to

which the tool assist in correctly predicting potential impacts, was the tool

relevant, etc.

This type of audit is of specific importance to DWAF for the purchase and

handling of hazardous material such as pesticides. DWAF is required in

terms of its vision, mission and goal to use environmentally friendly products

and to insist that its Contractors and Professional Service Providers also use

environmentally friendly products in the execution of DWAF projects. Also,

should DWAF decide to implement an EMS, environmental marketing audits

of consumer goods would be required.

For a DWAF development project, an EIA is considered a planning tool to

understand the environmental impact of a proposed development to inform

the feasibility of the project. An environmental management tool audit can

be carried out on a project or programme that has been the subject of the

EIA tool. The EIA itself may be audited as well as the Environmental

Management Plan (EMP) as part of compliance auditing.



Life-cycle

Audit (more

commonly

known as

Environmental

Performance

Audit)

An environmental performance audit is an on-going environmental

management activity which examines and assesses practices and

procedures which, in the event of failure, would cause an environmental

impact or result in an environmetnal risk. The audit takes into account the

various requirements during the life cycle of a project and/or programme to

ensure that environmental impacts are identified and mitigated against.

Post Project

Audits (also

known as

Project

Evaluation

Monitoring

and/or

Environmental

Review Audit)

This type of audit (monitoring) focuses on evaluating effectiveness and

efficiency, but is applied to projects in order to determine the relative success

or failure of projects after completion. Success is measured in economic,

social and environmental terms. This type of audit provides valuable

management information regarding the environmental success of projects,

the findings of the audit can be used to signpost areas of concern or where

further investigative work is required. Post project audits are considered a

high-level programme audit.

A development project is likely to have various phases namely, Project

Identification/Feasibility Phase, Design Phase, Construction Phase,

Operation Phase and De-commissioning Phase. During each of these

phases various issues need to be monitored, a life cycle audit will ensure

that the monitoring was correctly undertaken and that compliance was

achieved.

DWAF could take a sample of all projects completed annually and evaluate

the environmental success and failure of the projects. The successes will

represent areas to be strengthened while failures will represent areas for

improvement. Post project audits are in itself a type of corrective action, as

the findings of the audit will lead to continuous improvement within DWAF.


Table 4: Types of Auditing Applicable to DWAF Functions

Table 5: Recommended Auditing Frequencies

Construction Commissioning O&M

Expansion /

Modification

Closure/

Decommissioning

Strategic/Organisational

Level

Developer Listed

Activity RoD RoD RoD RoD RoD

Developer Non-Listed

Activity Annually N/A Annually) Annually Annually

O&

M

Transfer Schemes/

Pump

Stations/Dams

Operating Plan or Annually

Weirs/ Canals/

Pipelines Annually

Policy and Strategy Annually & every three

years by external party

Regulating Water Use RoD/Annually N/A RoD/Annually RoD

Application

Environmental

Management

Programme

Audit

Environmental

Management

Systems (EMS)

Audit

Compliance

Audits

Technical or

Process

Audits

Due Diligence

Environmental

Audit

Environmental

Marketing Audits

Environmental

Management

Tools Audit

Life-cycle

Audit

Post Project

Audits

Developer

Policy and

Strategy

Regulating

water use




4.3 Generic Auditing Process

In this document auditing is taken to mean a regular, systematic, documented,

verification of whether DWAF and external parties regulated by DWAF are in

compliance with the relevant legislation and policies, and whether environmental

performance objectives and targets and being met.

The auditing protocol can be applied to any level and type of auditing. Thus the

protocol can be used at a strategic, project or programme level and it can be used for

a compliance audit, environmental management programme audit, EMS audit, due

diligence environmental audit, etc. Each step of the protocol must be adapted for

DWAF‟s responsibilities at a strategic level, as an Impactor and/or as a Regulator.

The protocol is not limited or restricted by DWAFs roles as WRM, WS or Forestry.

Refer to Figure 7 for an overview of the auditing process.


Figure 7: Overview of Auditing Process

Audit Objective

Scope of Audit

Information

required

Gathering of

Information

Conduct the audit

Evaluate results

Present results

Decision-making

Corrective actions

Post Audit

Conducting the Audit

Pre-Audit Planning


The following steps form the basis of an audit.

Step 1. What is the objective of the audit?

The audit objectives should be measurable and will vary depending on DWAF‟s

functions i.e. either as a Regulator, Impactor or at a strategic function. If DWAF is

auditing the organisation at a strategic level, then DWAF‟s auditing goals and

objectives in terms of policy and legal requirements and its vision, mission and

mandate must be considered.

In other instances the objectives of the audit could include:

ensuring legal compliance (first party EMS audit or environmental

management program audit);

checking that the tools are used correctly and efficiently and to check whether

the tools are effectively fulfilling their intended purpose (environmental

management tools audit);

ensuring environmental performance on a continuous basis (life-cycle audit);

reducing environmental liability on environmentally sensitive projects/issues

(technical or process audit);


E.g. ensuring legal compliance

Dependant on DWAF‟s functions

Scope of Audit


AAuuddiitt OObbjjeeccttiivvee



determining whether the environmental targets for the particular programme

or project are being reached (Post project audits);

or a combination of the above.

Step 2. What is the scope of the audit?

Before the audit begins, the scope must be clearly determined, based on the

objectives. If DWAF is doing a strategic compliance audit then it must be decided if

all departments will be audited or whether a sample will be taken. Similarly if DWAF

is auditing water use licence holders for compliance it must be decided if a sample

will be taken or whether a single licence, project node, or programme will be audited?

In determining the scope of the audit, one can also decide how much time, money

and personnel should be allocated. Appropriate personnel should be appointed. The

appointed team members must be suitably qualified to undertake the audit and are

able to interpret and analyse the data. Once again resource allocation is dependent

on the type of the audit. For instance, when undertaking an environmental

management program audit, EMS audit or a technical audit, the audit team is likely to

comprise of various skilled people such as a legal advisor, technical person

(engineer), financial advisor, project manager, etc. However, for compliance auditing



Audit Objective

Allocation of resources

Based on objectives SSccooppee ooff AAuuddiitt



or environmental management tools audit of a single project or a programme, one

person with a good understanding of environmental principles is required.

Step 3. Information required to conduct the audit

Two types of information is required, the first type is the details of the actual

programme or project. The following details may be required:

the purpose of the project/activity/programme/tool.

type of project/activity/programme/tool.

Timeframes of the project/activity/programme/tool.

activities of the project/activity/programme/tool.

The second type of information that is required is background information on the

project/activity/programme/tool. The extent of the information will depend on the

objectives of the audit:

If auditing for legal compliance, knowledge of the legislation which pertains to

the project/activity/programme/policy, must be obtained.


Audit Objective

Scope of Audit

Information depends on objectives

Background information

Project details

IInnffoorrmmaattiioonn rreeqquuiirreedd



If auditing tools, the uses of the tools must be known, the current

effectiveness of the tools must be established, as well as the intended

outcome of using the tools.

For compliance audits, a clear understanding of permit/licence/RoD

conditions and the EMP/regulations must be known.

If auditing targets, the targets and mechanisms to achieve the targets must

be known. Targets could be environmental, social or economic and there may

be indicators in place for monitoring the achievement of the targets, in which

case all previous monitoring and auditing data must be known.

Step 4. How will the audit information be gathered?

Audit information regarding legal compliance, performance monitoring data and the

use of tools is best gathered by conducting interviews with the licence holder, the

project manager, the engineer, etc. Information from project reports, trend analysis,

evaluations and raw monitoring data may also be used. The people to be interviewed

during the audit must be identified and informed of the process.

GGaatthheerriinngg ooff IInnffoorrmmaattiioonn


Scope of Monitoring

Information required Monitoring information

Questionnaire/checklist

Observations

Existing information (e.g. reports)

Conducting interviews



Some sections of the audit may also be carried out through observations made at the

actual project site or other audit areas. Again, the project team should be made

aware of what types of auditing will be carried out during the project, and when and

where the audit will take place.

A questionnaire or checklist should be compiled based on the audit objectives and

scope. Checklists should be carefully prepared for each area to be audited.

Suitable data for each indicator should be gathered based on the information

obtained during the monitoring protocol of each project.

Step 5. Conducting the audit

Once the objective of the audit, the scope of the audit as well as the pre-audit

information is gather, one is ready to conduct the audit. The relevant parties that

need to be present at the audit such as the licence/permit holder, the project

manager, operator, etc must be informed well in advance. The audit must be

conducted in a professional and non-confrontation environment. It is important to

note that the aim of an audit is not to apportion blame but to determine whether the

environment is being protected and if not, then the best way to rectified the situation

Evaluate results

Present results

Auditing tools (e.g. checklists)

Notify attendees CCoonndduucctt tthhee aauuddiitt



must be determined. This is particularly important in the instances where DWAF is

the Regulator and is auditing an external party.

The results of an audit are obtained by comparing the information gathered during

interviews and from reports with the objectives that were originally identified as well

as the actual on the ground situation.

A commonly used auditing tool is a checklist. Checklists should be designed for each

objective.

Step 6. Evaluating the audit results

Depending on the objective and scope of the audit, there are a number of ways in

which the results of an audit can be evaluated.

It should be noted when evaluating the results, some factors may be insignificant,

while others which seem insignificant may in fact have a cumulative effect.

The simplest way to evaluate the results is to determine which aspects of the

checklist were not evaluated. A trained person must then evaluate the significance of

the omission or problem. Alternatively, the checklists could be divided into sections

based on the importance of each aspect. For example, all legislative requirements

Conduct the audit

Present results

Statistical analysis

Weighting system

Consider aspects not evaluated

EEvvaalluuaattee rreessuullttss



could be placed separately from DWAF‟s policy requirements. Thus any non-

compliance with legislation can then be viewed as more significant than non-

compliance with a DWAF environmental policy.

A weighting system could also be applied to the checklists. Based on the example

above, legislation could be weighted with ten points and policies with five points. With

this system, a total of ten points or more may indicate that remedial action is

necessary.

Various types of statistical analyses may also be applied to evaluate the results,

particularly the results obtained from auditing indicators and environmental

performance data obtained from the monitoring process.

Step 7. Presenting the audit results

The findings of the audit should be presented to all members that were present

during the audit. In the event of auditing a water use licence, the results of the audit

must be made available to the licence holder. Audits results of internal DWAF

projects must be presented to the relevant senior management. Audit results at a

strategic business level may be included in other reporting mechanisms such as

annual reports.

Conduct the audit

Evaluate results

Verification via supporting documents

Achievement of objective

Include attendees on distribution list

PPrreesseenntt rreessuullttss



The audit results can be represented in the form of simple graphs which show areas

and levels of compliance/non-compliance. The proportions of objectives/targets

reached could also be represented graphically.

When an audit is done on a third party were DWAF is the Regulator, the results must

be presented in the form of a report. The format of the report is not relevant however

it must be professional and must only present the facts with no use of emotive or

subjective language.

A requirement of an environmental audit is that evidence must be verified by

supporting documents, if this is not the case, then the process is a review, survey or

assessment, but not an audit, hence the audit report must be supported by the

relevant documents indicating non compliance.

Step 8. Decision-making based on audit results

Irrespective of DWAF‟s roles and responsibilities during the audit i.e. at strategic

level, as a Regulator or Impactor, decision making based on the audit results should

have only one objective and that is to improve the present situation and to institute

fair and reasonable corrective action.

A decision should be made based on the significance of the problem and the

resources (financial, human, etc) required to improve the situation. Other factors that

may influence a decision could include:

Public opinion regarding the activity/project;

The length of time it could take to rectify the problem;

Any inherent dangers to the environment, workers or the public; or

Corrective actions

Based on inter alia significance of

issues and available resources

Focus on corrective actions DDeecciissiioonn--mmaakkiinngg



Adherence to internal best practice policies.

A decision support system for these types of decisions may also need to be

developed.

Step 9: Instituting corrective action

Instituting corrective action is dependent on DWAF roles and responsibilities during

the audit i.e. at a strategic level, as an Impactor or Regulator. If DWAF is the

Impactor, then the recommendations of the environmental audit requires an

environmental action plan to be set up complete with:

goals;

strategies;

performance indicators;

responsibilities;

a timetable for achievement; and

cost estimates.

An environmental audit is an effective management tool only if the auditor's

recommendations are considered as soon as possible. The audit provides a basis for

recommending actions to correct any deficiencies and to address any areas of

environmental risk recorded as part of the audit findings. Matters arising in an audit

which are not addressed in an appropriate time frame should be highlighted in

subsequent audits. An assessment should be made of the reasons for the lack of (or

delay in) remedial action.

Corrective actions could include the development of new policy and strategy for

DWAF.

CCoorrrreeccttiivvee aaccttiioonnss

Decision-making

DWAF Regulator – notification of non-

compliance (timeframe)/Directive

Execute recommendations

Dependant on DWAF‟s duties



However, if DWAF is acting in the capacity of a Regulator, the nature of the

corrective action remains the prerogative of the external party namely the

licence/permit holder. DWAF is obliged to inform the licence/permit holder of the

findings of the audit highlighting all areas of non-compliance. The applicant must be

given an opportunity to respond either to present his/her case or to recommend

corrective actions. DWAF can make suggestions in terms of the most appropriate

corrective action. Thereafter, a timeframe to institute the corrective action must be

agreed upon.

In the case of gross non-compliance which could result in loss and/or damage to

property, life and/or the environment DWAF can issue a Directive to demand that

corrective action is instituted immediately.

4.4 Guideline for Writing an Auditing Report

In the case of an EMS audit, all forms and reports relating to the audit must be kept

by the environmental manager for use by management when conducting a review of

the EMS and by the external verification body responsible for validating EMS. The

environmental auditor must ensure that any environmental audit report is an accurate

record of soundly based observations and of logical deductions. The environmental

auditor must sign the report, indicating ownership of the findings of the audit.

The EPA audit report guidelines

Of all the reporting procedures that are currently used, the EPA guidelines of 1997 is

considered the most appropriate for DWAF needs. An audit should ideally contain

five sections as a minimum, the content of each section is discussed below.

Section I: Description of administrative aspects of the audit.

This includes the date the audit was conducted, the objective of the audit ie was it a

compliance audit, environmental management tools audit, etc, who was interviewed,

who performed the audit, the office or directorate within DWAF responsible for

conducting the audit, and any limitations or exclusions regarding the audit scope or

methodology, e.g., if the auditors were refused access to certain areas on site.

Section II: Executive Summary

The executive summary must be written that highlights the key findings and

recommendations of the audit report including a summary of compliance and non-

compliance status.



Section III: Description of the Audit Findings

This section should include the physical description of the project/programme

together with a detailed description of related issues. Each finding of the audit must

be clearly described in terms of compliance, priority and effectiveness.

Section IV: Recommendations

The report must clearly suggest recommendations or corrective actions that will

assist DWAF staff or an external party in attaining compliance. These may range

from simple administrative suggestions to recommendations for capital improvement.

The recommendations may also focus on the need for additional investigation or

further analysis before a final solution is proposed.

Section V: Supporting Data and Information

The audit report must include relevant supporting information such as analytical data,

copies of Notices of Violations, plans or maps, schematic diagrams, photographs,

etc.

It is important to remember that a requirement of an environmental audit is that

evidence must be verified by supporting documents, if this is not the case,

then the process is a review, survey or assessment, but not an audit.

The results of an environmental audit report are the findings and conclusions. The

process for arriving at the findings and conclusions set out in the environmental audit

report (including the objectives, scope and methodology), and any opinion stated,

should be accurately documented and referenced. It should clearly state the

environmental auditor‟s opinion as to the risks posed by the activity, benefits of the

audit, and provide justification for the opinion.

In addition to the above, the environmental audit report may contain

recommendations to address areas of non-compliance or any identified opportunities

to reduce the risk of harm or detriment to the environment resulting from the

project/programme audited. Priorities should be assigned to recommendations, the

priority should be consistent with the outcomes of any risk assessment undertaken

for the purpose of the audit. Environmental audit reports should be concise and

informative, with information being displayed in a format that is easy to interpret.



Table 6: Typical Format of an Environmental Audit Report

COMPANY/DEPT AUDITED:

FORM NO.:

Audit date:

Audit leader and team:

Project/Programme/Activity audited:


Audit type:

List of interviewees (including responsibilities and information reviewed:

Objectives of the audit:

Scope of the audit:

Tools used during the audit:

Description of the project/programme/activity audited:

Audit Techniques:

Evaluation of Audit Results:

Description of non-compliance noted during the audit:


Recommendations and Conclusions:

Signed/date: Lead Auditor:

Responsible Manager/Licence Holder



4.5 Instituting Corrective Action, Continual Improvement and

Preventative Measures

Effectively implemented, audit recommendations reduce environmental risk

and will assist DWAF and external parties to demonstrate 'due diligence' in a

court of law. Conversely, it could be argued that if companies follow the best

practice in environmental management they are unlikely to be in a court of

law. Auditing usually involves three basic steps: conducting the audit,

identifying problems (audit findings), and correcting identified deficiencies.

When the audit process is expanded, to identify and correct root causes to

non-compliance, the ability to limit negative impacts becomes more effective.

In the model below, audit findings (exceptions) undergo a root cause analysis

to identify the underlying causes of non-compliance events. Management

actions are then taken to correct the underlying causes behind the audit

findings and improvements are made to improve environmental performance

before the next audit. Expanding the audit process allows the organisation

(either DWAF or the external) to successfully correct problems, sustain

compliance, and prevent discovery of the same findings again during

subsequent audits. Identifying the root cause of an audit finding can also

mean identifying not only the failures that require correction, but also

successful practices that promote compliance. In this way, an organisation

can make continual progress toward environmental best practice.

Figure 8: Typical Audit Process Showing Corrective Action

Analyse

exceptions for

cause / effect

Develop actions to

correct underlying

causes

Audit

Fix

Problems

Group findings

for common

causes

Examine each group for

underlying causes

Improve the

effectiveness of

environmental

management

Identify

Problems



There are a number of ways in which environmental performance can be improved

using the results of an auditing system. However, instituting corrective actions in

terms of external parties is largely dependent on the external party itself. DWAF

must give the external party an opportunity to institute corrective actions however the

corrective action must be approved by DWAF.

Figure 9: Deming/PDCA Cycle

The PDCA Cycle as it could be used for a DWAF project/programme when DWAF is

the Impactor is outlined below. This is a quality control method thus its purpose is to

improve the (environmental) quality of a project/programme. If the results of

monitoring or an audit indicate that the objectives or targets have not been met, then

this cycle could be implemented to help reach the objectives. It may be used for the

remainder of a current project or it may be used for future similar projects until the

problem has been corrected.

Plan

1) Set goals and targets (using legislation and policy as a baseline). What are

the expected results?

Determine

goals and

targets

Determine

methods of

reaching

goals

Engage in

education

and training

Implement

work

Check the effects

of implementation

Take appropriate

action

ACT

CHECK

PLAN

DO



2) Determine how to reach the goals i.e. which tools should be used.

3) Develop an (environmental) implementation/project plan.

4) Note potential problems in implementing the plan.

Do

1) Follow the implementation/project plan.

2) Use the necessary tools.

3) Undertake any training etc. that may be required.

Check

1) Use auditing tools e.g. checklists, to monitor the progress of the corrective

action.

2) Have the goals/targets been achieved and have the problems that were

initially identified been resolved?

3) If the goals have not been achieved, determine why.

Act

1) Determine whether the monitoring and auditing process can be improved.

2) If problems were encountered, develop measures to prevent these from re-

occurring.

3) If the goals have not been achieved, start the process again.

If the goals have been achieved, move on to the next project.

An important part of implementing corrective action involves communication between

the various levels in DWAF regarding the monitoring and auditing results. Effective

communication of such information is essential for employees to know and fulfil their

responsibilities, and for other interested parties understand the issues (ISO, 2000).

Corrective action may require the development and implementation of new policy

with DWAF.

In order to ensure the continuous improvement and relevance of the EM&AP the

following questions must be periodically asked:

1) Does the monitoring and auditing programme consider all the environmental

issues that are considered to have potential impacts?



2) Are the issues, methods and frequencies included in the monitoring and

auditing programme judged to be appropriate?

3) Does the EM&AP establish an adequate monitoring framework (organization,

personnel, equipment, and adequate budget to sustain the monitoring and

auditing protocol)?

4) Are any regulatory requirements pertaining to the monitoring system

identified, such as the format and frequency of reports from DWAF to other

government departments?



Table 7: Typical Format of a Non-compliance and Correction Report.

NON-COMPLIANCE AND CORRECTIVE ACTION REPORT

COMPANY/DEPT.:

REPORT NO.:

Site/Project/procedure/programme audited:

Lead Auditor:

Date:

1. Non-compliance ascertained in during audit:

Confirmation of observations made by responsible party in charge:

Date:

Signature, responsible party:

2. Proposed Corrective Actions, including timeframe for the implementation of corrective actions: The instructions should be examined together with the responsible environmental person in charge of the site/project/programme and the necessary additions should be made to the instructions

Changes will be implemented by: (Date)

Person responsible for carrying out changes

Name:

Position:

Date:

Signature, responsible person:

3. Follow-up on Corrective Actions:

Corrective Action has yield desired results

Corrective Action has not yield desired results

- see audit report no.:

Date:

Signature, environmental manager:

IEMS Sub Series No. 1.7 EM&AP

Second Edition May 2005

APPENDIX A: WORKED EXAMPLE - MONITORING

WORKED EXAMPLE ON THE USE OF THE MONITORING PROCESS

The following is a worked example of Programme Evaluation Monitoring. The

example is based on the monitoring of RoD conditions. The conditions are often

inconsistent and incomplete with regard to the protection of the environment and

therefore monitoring is performed to ensure consistency and environmental

soundness of the conditions. The examples takes the users through the rationale

behind the nine steps of the generic monitoring process.

The first step is to identify the

objective of the monitoring.

This will be based on the

purpose of the monitoring as

well as any targets that have

been identified.

The purpose of the monitoring

in this example is to assess

whether the conditions in the

RoD of the water use licences

take environmental considerations into account. The aim of the monitoring is that the

water use licence conditions should include some environmental considerations.

The second step is to determine the scope of the monitoring that will be carried

out. In this example, the

scope of the monitoring will

be broad because DWAF‟s

policies that guide the

issuing of licences and their

conditions, will be reviewed.

In other words, the scope

will cover all activities for

water uses in S21 (c) and (i)

for which licences have were

granted in the past year.


Assess whether conditions of water use licence include environmental considerations

Assess whether conditions of water use licence include environmental considerations

Scope of Monitoring


Monitoring Objective Monitoring Objective




Cover all activities for S21 (c) and (i) water uses for which licences were granted in the past year

Review DWAF‟s policies that guide issuing of licenses and conditions Cover all activities for S21 (c) and (i) water uses for which licences were granted in the past year

Review DWAF‟s policies that guide issuing of licenses and conditions

Scope of Monitoring Scope of Monitoring



The third step is to decide on the information needed for conducting the

monitoring. For this example, the details of a suitable sample of issued water use

licences should be obtained.

This information includes:

The licence number;

The licence holder;

H/O file number;

Water use;

Planned activity; and

Conditions of the

licence.

Information regarding how licences are issued i.e. the criteria, and how conditions

are devised has also been ascertained.

The fourth step is the stage where it will be decided how the information

identified in step three would be gathered. This will include details regarding the

frequency of information

gathering, when it will be

gathered, from where it will

be obtained and who will

gather it.

The monitoring type should

be identified at this stage

using Table 1. The table will

also indicate which tools or

checklists are appropriate.

In this case, the monitoring type is Programme Evaluation Monitoring in which the

effectiveness and efficiency of programmes or policies can be assessed. The section

on monitoring type should be read to gain an understanding of what the monitoring

entails.

Table 2 should be consulted regarding an appropriate frequency for the monitoring.

The information in this table does not have to be precisely followed and it is likely that



Scope of Monitoring

Licensing procedure (criteria and conditions)

Sample of issued water use licences Licensing procedure (criteria and conditions)

Sample of issued water use licences

Information required Information required


Scope of Monitoring

Information required Monitoring team: experience in water use licensing

Monitoring interval: every 3 months

Monitoring type: Programme Evaluation Monitoring

Monitoring team: experience in water use licensing

Monitoring interval: every 3 months

Monitoring type: Programme Evaluation Monitoring

Gathering of Information Gathering of Information



one will need to use discretion in determining monitoring frequencies. The monitoring

team leader should make such decisions in consultation with higher-level

management. In this case, an appropriate monitoring interval is every six months,

where a sample of the water use licences issued in that period will be selected for

monitoring. As this is the first time monitoring is taking place for this purpose, a

sample from the past year has been taken.

A monitoring team should be selected. The team may comprise one person or

several people led by a team leader. Suitably qualified people should be selected. In

this example one person will be required to conduct the monitoring and this may take

several days of each month. A suitably qualified person would be someone who

works in the water use licence-issuing department and is familiar with the information

and policies mentioned in step 3. Monitoring will be conducted by the head office.

In this example, no previously compiled checklist is available, thus one has been

compiled.

The fifth step is where the actual monitoring is carried out using the appropriate

tools. As mentioned

above, a checklist may

need to be compiled to

conduct the monitoring.

This is essential to

ensure that each water

use licence and its

conditions are evaluated

on an equal basis. If any

other suitable tools exist,

then these should also be used.

The sixth step is completed by evaluating the monitoring data in the checklists.

The monitoring person should analyse the checklists by looking for gaps, areas of

non-compliance and sub-standard levels of environmental management. The targets

that were identified should be borne in mind. In this example, the licences which did

not comply with certain licence conditions have been evaluated by determining what

Conduct monitoring

Evaluate results

Present results

Complete standard monitoring report

Project - specific checklist Complete standard monitoring report

Project - specific checklist



percentage of non-

compliance was

associated with each

licence condition. This

information has been

contained within the

checklist for ease of use.

Methods of assessing the

monitoring results will vary

widely depending on the type of results.

This step will also involve completing section1 of the non-compliance report, an

example of which is contained in step 8.

Refer to the completed checklist (overleaf).

Conduct monitoring

Present results

Complete section1 of non - compliance report

% non - compliance associated with each licence condition Complete section1 of non - compliance report

% non - compliance associated with each licence condition

Evaluate results



No. Checklist question where applicable (i.e. depending on the type of activity) Licence numbers of non-

compliant licences

Percentage of

non-compliance

1 Does the RoD mention that the allocated quantity and quality of water is not guaranteed? None 0

2 Does the RoD state that the conditions of the licence may have over-allocated water, and that the quantity

may be reduced when compulsory licensing is required?

None 0

3 Does the RoD state that the licence does not exempt the licensee from compliance with the provisions of the

Environment Conservation Act?

None 0

4 Does the RoD stipulate that the water user will be subject to rules and regulations of a Water Management

Area?

None 0

5 Does the RoD state that any incident of water pollution must be reported immediately to the regional

director?

None 0

6 Does the RoD state how much water may be used and from what source? None 0

7 If the water use licence is for the abstraction of subterranean water, does the RoD state that the water levels

in production boreholes must be measured monthly and that the details of the measurements must be

recorded?

None 0

8 Does the RoD state that storm water leaving the licensee‟s premises must not be contaminated? None 0

9 Does the RoD mention that water use must be confined to the property in question? None 0

10 Does the RoD state that the licensee must immediately stop all activities to prevent or reduce further

pollution should it occur?

None 0

11 Does the RoD state that the regional director must be informed of any pollution within seven days? None 0

12 Is there a condition that indicates that the proposed development may not restrict the river flow by obstructing

the flow or reducing the overall flow?

None 0




compliant licences

Percentage of

non-compliance

13 Does the RoD state that the operation and storage of equipment in the riparian zone must be limited as far

as possible?

None 0

14 Does the RoD specify that any material removed from the riparian habitat may not be stored in the riparian

zone where it may dam a weir or wash away?

None 0

15 Do the conditions stipulate that indigenous plants are to be used for rehabilitation? None 0

16 Does the RoD require the licensee to control new alien vegetation and not allow alien vegetation to colonise

the area?

None 0

17 Does the RoD state that the development must not impede the upstream movement of fish? None 0

18 Does the RoD convey that the soils that have been compacted by the development be loosened to a depth

which will allow seed germination?

None 0

19 Does the RoD mention that increased runoff resulting from the development must be controlled to decrease

silt flowing into streams and possible bank instability?

None 0

20 Does the RoD indicate that no riparian vegetation (including dead vegetation) may be removed? None 0

21 Does the RoD mention that development activities should start upstream and move downstream? None 0

22 Does the RoD specify that activities that increase turbidity should be minimised? None 0

23 Does the RoD stipulate that the developments must not increase bank instability or the erosive potential of a

stream?

None 0

24 Does the RoD state that mitigation and rehabilitation must occur concurrently with stream diversion

activities?

None 0

25 Does the RoD indicate that proposed mitigation measures must reflect the potential environmental impacts

and the environmental sensitivity of the area?

None 0




compliant licences

Percentage of

non-compliance

26 Does the RoD state that less environmentally harmful alternatives must be provided and that these are

preferred?

None 0

27 Does the RoD mention that measures must be provided to avoid disposal and spillage of any harmful

material instream?

None 0

28 Does the RoD identify the need for compensation if impact minimisation is not possible or inadequate? None 0

29 Does the RoD state that contaminated storm water should be diverted from the water source? None 0

30 Does the RoD specify that the haul road must avoid significant wetlands? None 0

31 Does the RoD mention that the material used to construct the haul road should be devoid of fine, toxic or

carbonaceous material?

None 0

32 Does the RoD indicate that potential storm water should be diverted into grassland buffer zones before

entering a river?

None 0

33 Do the conditions state that temporary stockpiles and overburden should be stored above the 1:50 year

floodline and away from drainage lines?

None 0

34 Does the RoD stipulate that all excavated material must be disposed of at an approved disposal area outside

the riparian zone?

None 0

35 Does the RoD state that the licensee must ensure that the sediment load does not exceed that in the reports

and that the water quality is still fit for downstream users?

None 0

36 Does the RoD state that monitoring must be done in accordance with reports submitted? None 0

37 Does the RoD state that the licensee must report a deviation of turbidity and suspended solids of more than

25%, and that it must be reported when baseline levels return to normal?

None 0

38 Does the RoD stipulate that the date, time and position of each monitoring point must be reported on with the None 0




compliant licences

Percentage of

non-compliance

results of the analysis (on a monthly basis)?

39 Does the RoD indicate that monitoring points may not be changed without notifying and obtaining approval

from the RD?

None 0

40 Does the RoD mention that if the monitoring indicates surface water contamination, that the contamination is

stopped and that the water complies with water quality guidelines?

None 0

41 Does the RoD specify that the methods of analysis may not be changed without notifying and obtaining

approval from the Minister?

None 0

42 Does the RoD state that roads must be rehabilitated upon completion? None 0

43 Does the RoD mention that vehicle access road must not encroach on a wetland or riparian zone except at

the site of the crossing?

None 0

44 Does the RoD include mention of the fact that rehabilitation should create the same mix of habitats that were

present prior to the river crossing?

None 0

45 Does the RoD state that rehabilitation of the stream bed, banks of the river crossing, and wetlands should be

rehabilitated during the dry season after the last dragline has been crossed?

None 0

46 Do the conditions state that the projects should have the approval of the provincial departments of

environment and roads?

None 0

47 Does the RoD state that the EMPR should be approved where one is in place? None 0

48 Does the RoD mention that all reasonable steps should be taken to minimise noise levels and mechanical

vibration in the vicinity of the river?

24069482 B2/2/10 (880) 2.94

49 Does the RoD mention that any constructed channels should be vegetated with appropriate indigenous

plants found in the area?

24069482 B2/2/10 (880) 2.94




compliant licences

Percentage of

non-compliance

50 Does the RoD specify that checks should be conducted every six months or after high flood events to check

the stability and functioning of a diversion canal, erosion measures and plant growth?

24069482 B2/2/10 (880) 2.94

51 Does the RoD stipulate that compliance/non-compliance records must be kept in good order and be

submitted to the department on request?

24069482 B2/2/10 (880) 2.94

52 Does the RoD state that the natural migration of aquatic biota should not be disturbed? 24069482 B2/2/10 (880), and

26023482.

5.88

53 Does the RoD indicate that sub-soil must be evenly redistributed over exposed area as soon as possible

after the operation has been completed?

24069482 B2/2/10 (880), and

26023482.

5.88

54 Does the RoD mention that cleared areas in which the vegetation fails to establish, must be reseeded

immediately?

24069482 B2/2/10 (880), and

26023482.

5.88

55 Does the RoD state that natural drainage lines must not be impeded? 24069482 B2/2/10 (880), and

26023482.

5.88

56 Does the RoD specify that a plan for the construction, maintenance, removal and rehabilitation of borrow

areas is required?

24069482 B2/2/10 (880), and

26023482.

5.88

57 Does the RoD state that an aquatic scientist must be appointed to submit a monitoring programme? 24069482 B2/2/10 (880), and

26023482.

5.88

58 Does the RoD state that an aquatic monitoring report must be submitted annually and may not differ by more

than one class to the reference conditions?

24069482 B2/2/10 (880), and

26023482.

5.88

59 Does the RoD mention that not carbonaceous or other possible pollutant be used during the construction

activities?

24069482 B2/2/10 (880),

26023482, and B2/1T.

8.82

60 Does the RoD stipulate that measures to avoid erosion such as drainage under roads should be repaired if 24069482 B2/2/10 (880), 8.82




compliant licences

Percentage of

non-compliance

debris accumulates? 26023482, and B2/1T.

61 Does the RoD state that no stormwater channels should be dug within a wetland? 24069482 B2/2/10 (880),

26023482, and B2/1T.

8.82

62 Does the RoD indicate that road haul crossings should not affect the geometry and topography of an

identified wetland?

24069482 B2/2/10 (880),

26023482, and B2/1T.

8.82

63 Does the RoD state that the construction camp must not be located within the 1:100 year Floodline, or 100m,

whichever is greater?

24069482 B2/2/10 (880),

26023482, and B2/1T.

8.82

64 Does the RoD specify that a contingency plan for the identification, management and rehabilitation of

spillages into the watercourse from trucks using river crossings, must be submitted and implemented?

24069482 B2/2/10 (880),

26023482, and B2/1T.

8.82

65 Does the RoD state that impacts on shallow groundwater should be identified, quantified and mitigated? 24069482 B2/2/10 (880),

26023482, and B2/1T.

8.82

66 Does the RoD state that a minimum buffer width of 10m be established between land to be developed and

the stream canal?

24069482 B2/2/10 (880),

26023482, B2/1T, and B2/1D.

11.76

67 Does the RoD state that complete stream alterations must be designed to handle a 1:1 year flood event? 24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D and

B2/1M.

14.71

68 Does the RoD stipulate that the flow of water agreed to by the licensee will continue to flow through the year? 24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D and

B2/1M.

14.71

69 Does the RoD state that Biomonitoring tests must include biotic integrity, habitat integrity and riparian

habitat?

24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D and

14.71




compliant licences

Percentage of

non-compliance

B2/1M.

70 Does the RoD state that the quantity of water needed for the ecological reserve for the river reach diverted

will be subject to the conditions of the reserve?

24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D and

B2/1M.

14.71

71 Does the RoD state that an external auditor must perform annual auditing of the performance of the

diversion?

24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D and

B2/1M.

14.71

72 Does the RoD state that the compliance with the conditions of the reserve be audited annually? 24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D and

B2/1M.

14.71

73 Does the RoD state that reports generated by auditors be submitted annually? 24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D and

B2/1M.

14.71

74 Does the RoD state that environmentally sound engineering and management practices be employed for all

actions that could affect the habitat?

24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D, B2/1M,

and B190/1/144.

17.65

75 Does the RoD state that all support operations such as gravel washing be done outside the riparian zone? 24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D, B2/1M,

B190/1/144, B191/2/1930/3,

B2/1E, B191/2/210/3, B2/1M***.

29.41

76 Does the RoD state that the „wilderness‟ quality of a river be maintained and that visual impacts seen from a 24069482 B2/2/10 (880), 29.41




compliant licences

Percentage of

non-compliance

boat be minimised? 26023482, B2/1T, B2/1D, B2/1M,

B190/1/144, B191/2/1930/3,

B2/1E, B191/2/210/3, B2/1M***.

77 Does the RoD state that a flood retention dam be sealed with Bentofix to prevent pollutants from

contaminating groundwater?

24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D, B2/1M,

B190/1/144, B191/2/1930/3,

B2/1E, B191/2/210/3, B2/1M***.

29.41

78 Does the RoD state that where a permanent water course alteration leads to a loss in aquatic habitat, it must

be compensated for by an improvement in the habitat quality?

24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D, B2/1M,

B190/1/144, B191/2/1930/3,

B2/1E, B191/2/210/3, B2/1M***,

B191/2/120/5, B2/2/110(34),

B2/2/40(246), B2/1R.

41.18

79 Does the RoD state that the cumulative impacts of possible future activities be taken into consideration? 24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D, B2/1M,

B190/1/144, B191/2/1930/3,

B2/1E, B191/2/210/3, B2/1M***,

B191/2/120/5, B2/2/110(34),

B2/2/40(246), B2/1R.

41.18

80 Does the RoD state that no construction vehicles are allowed out of delineated servitudes within the wetland

areas?

24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D, B2/1M,

41.18




compliant licences

Percentage of

non-compliance

B190/1/144, B191/2/1930/3,

B2/1E, B191/2/210/3, B2/1M***,

B191/2/120/5, B2/2/110(34),

B2/2/40(246), B2/1R.

81 Does the RoD state that no construction camps or stockpiles may be constructed in a water course system? 24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D, B2/1M,

B190/1/144, B191/2/1930/3,

B2/1E, B191/2/210/3, B2/1M***,

B191/2/120/5, B2/2/110(34),

B2/2/40(246), B2/1R.

41.18

82 Does the RoD state that the RD may ask for a report on the Habitat Integrity annually if there is a large

discrepancy after the development?

24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D, B2/1M,

B190/1/144, B191/2/1930/3,

B2/1E, B191/2/210/3, B2/1M***,

B191/2/120/5, B2/2/110(34),

B2/2/40(246), B2/1R,

B191/2/720/37/38, 24023049.

47.06

83 Does the RoD state that the SASS total scores downstream of the disturbance may not be more than 20%

less than that of the upstream site, and that the average score per taxon may not be more than 10% less

except after floods or droughts?

24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D, B2/1M,

B190/1/144, B191/2/1930/3,

B2/1E, B191/2/210/3, B2/1M***,

47.06




compliant licences

Percentage of

non-compliance

B191/2/120/5, B2/2/110(34),

B2/2/40(246), B2/1R,

B191/2/720/37/38, 24023049.

84 Does the RoD state that appropriate experts at botanical or horticultural societies should be contacted to

decide how to deal with wetland plants?

24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D, B2/1M,

B190/1/144, B191/2/1930/3,

B2/1E, B191/2/210/3, B2/1M***,

B191/2/120/5, B2/2/110(34),

B2/2/40(246), B2/1R,

B191/2/720/37/38, 24023049,

L27/2/2/B72K/239, B21R

52.94

85 Does the RoD state that specific impact mitigation measures be put in place for peat mining? N/A

86 Does the RoD state that wetland mitigation measures and new wetland creation, takes into account the

habitat requirements of plant and animal species that inhabit the wetland?

24069482 B2/2/10 (880),

26023482, B2/1T, B2/1D, B2/1M,

B190/1/144, B191/2/1930/3,

B2/1E, B191/2/210/3, B2/1M***,

B191/2/120/5, B2/2/110(34),

B2/2/40(246), B2/1R,

B191/2/720/37/38, 24023049,

L27/2/2/B72K/239, B2/1R, B2/2/16,

26022385,

73.53




compliant licences

Percentage of

non-compliance

16/2/7C223/C296B191/2/320/1,

B2/1S, B2/2/60(543), B2/1U,

B191/2/2220/12



The seventh step involves presenting the monitoring results, usually to higher-

level management who will need

to make decisions regarding

corrective action etc. The

completed checklists can be

presented together with the

monitoring report and all

supporting documentation Once

further monitoring takes place

and more monitoring data is

available, then trends analyses

should be performed on the data. This would involve the application of statistical

techniques to identify whether DWAF is getting closer to reaching its targets.

During this step the standard Monitoring Report (see overleaf) was completed.

Conduct monitoring

Evaluate results

Trends analyses Completed checklists presented Trends analyses Completed checklists presented

Present results



During this step the standard Monitoring Report (as follows) was completed.

Dept./company where monitoring will be carried out:

Water use licence issuing department

FORM NO.:

001

Monitoring date:

30 September 2004

Monitoring leader and team:

Mr Smith

Project/Programme/Activity monitored:

The monitoring of water use licences conditions for environmental soundness


Mr John

Monitoring type:

Programme Evaluation Monitoring

Indicators measured:

N/A

Purpose of monitoring:

To determine whether the Rod for water use licences issued by DWAF are in line with DWAF‟s environmental policies such as the IEMF an whether the conditions take into account environmental principles

Objectives/targets of the monitoring:

Environmental considerations

Scope of the monitoring:

All activities for all Section 21(c) and (i) water uses for which licences are granted

Main checklists to be used during the monitoring:

A checklist was compiled.

Description of the project/programme/activity to be monitored:

The water use licence conditions will be evaluated from the selected sample of water use licences that were issued during the past year.

Monitoring Technique and Evaluation of Results:

The monitoring technique included only the use of a checklist ie a desktop analysis. No parties were interviewed during the monitoring session. The checklist that was devised for this monitoring exercise was an effective and efficient tool. (In this section one may describe any changes that will be made to checklists for future monitoring). The percentage of non-compliance was determined by understanding which RoD gave a negative (non-compliance) to the questions of the checklist.

Description of non-compliance noted during the monitoring: (Was a non-compliance report completed?)

The completed checklist shows which licences have not complied with certain requirements.


Completed checklist; Conditions of RoD issued in the last year for all S21(c) and (i) water uses.

Recommendation and Conclusions:

The existing policy for determining appropriate water use licence conditions requires adjustment, as it is not effective enough to allow DWAF to reach its environmental goals and targets for water use. (Descriptions of proposed adjustments should be written into the non-compliance report‟s corrective action section). This forms part of Step 8.

Signed/date: Monitoring leader:

Responsible manager/licence holder



The eighth step is decision-making. As previously mentioned, decision-making in

monitoring will involve relatively small corrective measures to solve the problem,

though with Programme

Evaluation Monitoring, more

strategic corrective action

would be required. In this

example it is likely that the

policy for determining conditions for water use licences will need to be adjusted.

NON-COMPLIANCE AND CORRECTIVE ACTION REPORT

COMPANY/DEPT.:

REPORT NO.:

Site/Project/procedure/

programme monitored:

As in monitoring report

Monitoring leader:

As in monitoring report

Date:

1. Non-compliance ascertained in during monitoring:

A number of water use licence conditions were not included in several water use

licences in the sample (see completed checklist for details).

Confirmation of observations made by responsible party in charge:

Confirmed by Mr John

Date:

Signature, responsible party:

2. Proposed changes, including dates for such changes:

The results of the decision-making to institute corrective action should be included

in this section. In this example, the policy adjustments that have been decided on

will be described. It is proposed that the policy regarding the conditions for water

use licences be changed to ensure that all relevant conditions are included. All

2(c) and 2(i) licences should be forwarded to the Sub-Directorate: Environment

and Recreation for review. Standard environmental licence conditions will be

determined and included in all 2(c) and 2(i) licences conditions.

Corrective actions

Strategic corrective actions Strategic corrective actions Decision - making



Changes will be carried out by:

An appropriate date will be decided on by the decision-maker. For the purposes of

this example all 2(c) and 2(i) licences should be forwarded to the Sub-Directorate:

Environment and Recreation for review as from 01/01/05.

Person responsible for carrying out changes

Name:

Position:

Date:

Signature, responsible person:

3. Follow-up on change:

The changes will be followed up through continuous monitoring of the conditions of

water use licences. Next monitoring is scheduled for April 2005

Change works as intended

Change does not work as intended

- see monitoring report no.: 001

Date:

Signature, environmental manager:

The last step, step 9 involves instituting the corrective actions which are

detailed in the corrective

action section of the non-

compliance report. As the

report indicates, the dates

for completing the corrective

action will have been determined during the decision-making step, step 8. Thus step

9 will involve continuous monitoring and assessment of the monitoring results.

Section 3 of the non-compliance report should be completed as part of this step.

Corrective actions

Decision - making

Complete section 3 of non - compliance report

Completion date for corrective actions – refer to step 8

Refer to non - compliance report

Complete section 3 of non - compliance report

Completion date for corrective actions – refer to step 8

Refer to non - compliance report



APPENDIX B: WORKED EXAMPLE - AUDITING

The following is an example of a Third Party Audit (by the Auditor General) of DWAF

at a strategic level. The audit type is a compliance auditing. Evening though the

Auditor General approach to the audit is in line with the Auditing Protocol.



CHECKLISTS RELEVANT TO DWAF’S REGIONAL OFFICES AND HEAD OFFICE

Checklist name Used by Head Office Used by Regional

Office

Tools Checklists for

DWAF functions X

EIA Audit Effectiveness X

EMP Audit

Effectiveness X

EMS Audit Checklist X

Audit Checklist For

Institutional

Environmental Issues

X

Checklist for Monitoring

Forestry Performance X X

EMP Compliance

Checklist X X

Checklist for Monitoring

Pest Control of a Dam

Wall

X

Checklist for Auditing

Pest Control of a Dam

Wall

X



APPENDIX C: TOOLS CHECKLISTS FOR DWAF FUNCTIONS

(For monitoring the use of appropriate tools)

WATER RESOURCE MANAGEMENT

FUNCTION POTENTIAL APPLICABLE TOOLS

WHICH TOOLS ARE RELEVANT/REQUIRED?

WHICH TOOLS HAVE BEEN USED?

NON-COMPLIANCE DETAILS AND RECOMMEN-DATIONS

Water resource infrastructure – Planning, Development and Operation

Construction, upgrading and maintenance of bulk water resource infrastructure

Guidelines for Standardised Environmental Management Plans for Water Resource Management Projects,

Environmental Implementation and Management Plan (EIMP),

Integrated Environmental Management Framework (IEMF),

Strategic Environmental Assessment (SEA),

Environmental Site Management and Rehabilitation Specifications (ESM&RS),

Social Assessment and Development Framework (SAAD),

Auditing and Monitoring Protocol for Construction Sites (Construction EM&AP).

Operations and Maintenance Guidelines for Standardised Environmental Management Plans for Water Resource Management Projects,

IEMF,

check comment at checklist

ESM&RS,

SAAD,

Construction EM&AP.

Storage of waste and water containing waste


EIMP,

IEMF,

ESM&RS,

SAAD,

Construction EM&AP.

Stream flow reduction activities

Guidelines for Standardised Environmental Management Plans for Water Resource



Management Projects, EIMP, IEMF, EIA, ESM&RS, SAAD.

Intentional recharge of an aquifer


EIMP,

IEMF,

ESM&RS,

SAAD.

Clearing activities:

Terrestrial (chemical, biological and mechanical

Aquatic (chemical, biological and mechanical)

Vegetation and weeds


EIMP,

IEMF,

ESM&RS,

SAAD.

Policy and strategy development

Legislation and regulations EIMP, IEMF, SAAD.

National water resource strategy

EIMP, IEMF, SEA, SAAD.

Catchment management strategy


Pricing strategy EIMP, IEMF, SAAD.

Water resource protection

Resource Directed Measures: national classification system, resource quality objectives

EIMP, IEMF, SAAD.

Reserve determinations EIMP, IEMF, SAAD.

Source based controls EIMP, IEMF, SAAD.

Water conservation and demand management: Conservation plan for water resources


Controlling and regulating water use

Authorising and regulating water use

EIMP, IEMF, EIA, SEA, ESM&RS, SAAD.

Waste management (permitting waste disposal sites)

IEMF, EIA, ESM&RS, SAAD.

Setting water use charges EIMP, IEMF, SAAD.

Development of a waste discharge charge system

EIMP, IEMF, SAAD.

Authorising controlled activities

Atmospheric precipitation (Cloud seeding)

Guidelines for Standardised Environmental Management Plans for Water Resource Management Projects, IEMF, EIA, SAAD.

Irrigation with waste water Guidelines for Standardised Environmental Management Plans for Water Resource Management Projects, IEMF,



EIA, ESM&RS, SAAD.

Power generation activity altering the flow regime of water resources (Eskom)

Guidelines for Standardised Environmental Management Plans for Water Resource Management Projects, EIMP, IEMF, EIA, SEA, ESM&RS, SAAD.

Intentional recharge of an aquifer

Guidelines for Standardised Environmental Management Plans for Water Resource Management Projects, IEMF, EIA, ESM&RS, SAAD.

Monitoring, evaluation and auditing

Guidelines for Standardised Environmental Management Plans for Water Resource Management Projects, EIMP, IEMF, EIA, SEA, ESM&RS, SAAD, Construction EM&AP, EM&AP, checklists.

WATER SERVICES


WHICH TOOLS ARE RELEVANT/REQUIRED?



Water and sanitation programme via the development and implementation of water services business schemes

Environmental Impact Management System for Water Service projects (EIMS), EIMP, IEMF, SAAD.

EIA for sanitation projects (responsibility of District councils‟ management)

EIMP,I EMF, EIA, ESM&RS, SAAD, Construction EM&AP.

Water services planning and development

Construction, upgrading and maintenance of water supply infrastructure

Reservoirs

Oxidation ponds

Sewerage works

Stormwater

Outfall sewer

Pipelines

Purification works

Pumpstations

Reticulation works

Impeding and diverting the flow of water

Altering the bed, banks and characteristics of a watercourse

EIMP, IEMF, EIA, ESM&RS, SAAD, Construction EM&AP.



Construction of on-site sanitation

Ventilated improved pit latrine (VIPs)

Urine Diversion Facilities

Septic tanks

French drains

IEMF, EIA, ESM&RS, SAAD, Construction EM&AP.

Operation and maintenance of water related activities

Disposal of waste and water containing waste


Controlled activities: irrigation with waste water


Discharging of waste or water containing waste into a water resource

Domestic

Industrial

Including treatment chemicals e.g. to clean canals


Water and sanitation schemes IEMF, EIA, ESM&RS, SAAD, Construction EM&AP.

Maintaining policy and strategies

EIMP, IEMF, SAAD.

Support (capacity building) EIMP, IEMF, SAAD.

Regulation and intervention EIMP, IEMF, SAAD.

Information management EIMP, IEMF, SAAD.

Monitoring and auditing

Monitoring and evaluation

Monitoring system for WSDPs

EIMP, IEMF, EIA, SEA, ESM&RS, SAAD, Construction EM&AP, EM&AP, checklists.



FORESTRY


WHICH TOOLS ARE RELEVANT/ REQUIRED?



Facilitating and supporting community forestry

EIMP, IEMF, SAAD

Development of industrial / commercial forestry sector

Small scale growers in forestry sector

EIMP, SEA,I EMF, SAAD

Managing DWAF owned woodlots


Support development of new afforestation both commercial and community needs

EIMP, IEMF, EIA, SEA, ESM&RS, SAAD

Policy development:

Policy and guidelines on state forest access

EIMP, IEMF, SAAD

Regulations – licences, servitudes on state forest areas

EIMP, IEMF, SAAD

Sustainable management of natural forests

EIMP, IEMF, EIA, ESM&RS, SAAD, EM&AP, checklists

Development of a Forest Resource Information System to support decision making in respect of forestry, to produce a national document on the “State of the Forests” and to monitor change on the sustainable management of forests.

EIMP, IEMF, SAAD, EM&AP, checklists

National forest type classification contributing to management planning

EIMP, IEMF, SAAD

National Forestry Inventory EIMP, IEMF, SAAD

Forest protected areas system planning – conservation targets, analysis of forest patches for conservation value.

EIMP, IEMF, EIA, SEA, SAAD, EM&AP, checklists

Fire management EIMP, IEMF, SAAD, EM&AP, checklists



APPENDIX D: EIA AUDIT EFFECTIVENESS

NUMBER AUDIT QUESTION RELEVANT? HAS THE

TARGET /

OBJECTIVE

BEEN MET?

PREVIOUS

AUDIT

RESULTS

NON-COMPLIANCE

DETAILS AND

RECOMMENDATIONS

1 Was screening and scoping carried out as part of the EIA process? Was this completed to a suitable standard?

2 Was the EIA carried out at the correct phase in the project life-cycle (i.e. before the planning or decommissioning phases)?

3 Are the reasons for the

development clearly outlined

in the EIA?

4 Does the EIA provide enough

detail and is it adequate in

scope, to ensure that sound

decisions can be made

based on its content?

5 Is there enough information

of sufficient quality to

effectively communicate the

environmental constraints

and requirements of the

project? Has such

communication taken place?

6 Have all potential

environmental impacts been

appropriately dealt with?

7 Are all the environmental

standards, both legislated

and best practise, current

and accurate?

8 Are all the measures for

mitigating impacts, clear,




TARGET /

OBJECTIVE

BEEN MET?

PREVIOUS

AUDIT

RESULTS

NON-COMPLIANCE

DETAILS AND

RECOMMENDATIONS

feasible, necessary and cost-

effective?

9 Have all possible alternatives

been considered in terms of

the types and severity of

potential impacts?

10 Is the baseline information in

the EIA reliable, and are the

assumptions accurate?

11 Are the environmental

monitoring and auditing

programmes appropriate and

comprehensive enough to

ensure that environmental

objectives will be met?



APPENDIX E: EMP AUDIT EFFECTIVENESS


TARGET /

OBJECTIVE

BEEN MET?

PREVIOUS

AUDIT

RESULTS

NON-COMPLIANCE

DETAILS AND

RECOMMENDATIONS

1 Is the EMP practical and implementable?

2 Does the EMP cover all

phases of the project?

3 Does the EMP provide

enough detail for each project

phase, to ensure that the

environmental objectives are

met (e.g. legislative

compliance)?

4 Does the EMP address all

components of the

environment – biophysical

and social?

5 Does the EMP indicate who

is responsible for each

section of the plan, and what

communication channels

should be followed?

6 Are all the environmental

standards, both legislated

and best practise, current

and accurate?

7 Are all the measures for

mitigating impacts,

remedying pollution and

rehabilitation, feasible,

necessary and cost-

effective?

8 Would the implementation of

the EMP ensure legislative




TARGET /

OBJECTIVE

BEEN MET?

PREVIOUS

AUDIT

RESULTS

NON-COMPLIANCE

DETAILS AND

RECOMMENDATIONS

compliance and adherence to

organisational environmental

policies?



APPENDIX F: EMS AUDIT CHECKLIST

E M S a u d i t s a r e u s e d t o

c h e c k t h e p e r f o r m a n c e

o f a n E M S a g a i n s t i t ' s

o w n f o r m a t , p o l i c y ,

o b j e c t i v e s a n d t a r g e t s .

T h e f o l l o w i n g c h e c k l i s t

c a n b e u s e d t o g u i d e a n

i n t e r n a l , f i r s t p a r t y ,

E M S a u d i t .

No.

CHECKLIST QUESTION/ ISSUE RELEVANT? HAS THE TARGET /

OBJECTIVE BEEN MET?

PREVIOUS AUDIT

RESULTS

NON-COMPLIANCE DETAILS AND

RECOMMENDATIONS

1 How does DWAF identify legal requirements that are applicable to the environmental aspects of its activities?

2 Does DWAFsubscribe to any requirements, such as industry codes, business principles, or other voluntary standards, that are related to the environmental aspects of its activities?

3 Does management provide resources essential to the implementation and control of the environmental management system? E.g. specialised skills, technology and financial resources.

4 Has DWAF considered whether it will proactively communicate with interested external parties on its significant environmental aspects? What has been the outcome of this consideration? Where is that outcome recorded?

5 How does DWAF identify significant environmental aspects of the goods and services it uses? Has DWAF established procedures related to identified significant environmental aspects of goods and services it uses?

6 Does DWAF have an EMS policy?

7 Is the EMS suitably structured and are responsibilities clearly defined?

8 Does DWAF undertake training awareness and assess competence?

9 Are the channels of communication



related to the EMS effective?

10 Is documentation related to the EMS complete and appropriately controlled?

12 Are the operational aspects of the EMS suitably controlled?

13 Are emergency preparedness procedures related to the EMS in place?

14 Have the recommendations of previous EMS audits been followed?

16 Does DWAF have established and maintained procedures to identify the environmental aspects of its activities that it can control and over which it can be expected to have an influence, in order to determine those which have or can have significant impacts on the environment?

17 Does DWAFensure that the aspects related to these significant impacts are considered in setting environmental objectives and keep this information up to date?

19 Has DWAF established and do they maintain a procedure to identify and have access to legal and other requirements to which they adhere, that are applicable to the environmental aspects of their activities?

20 Has DWAF established and do they maintain documented environmental objectives and targets, at each relevant function and level within DWAF?

21 When establishing and reviewing its objectives, does DWAF consider the legal and other requirements, its significant aspects, its technological options, and its financial, operational, and business requirements, and the views of interested parties?

22 Are the objectives and targets consistent with the environmental policy?

23 Has DWAF established and does it maintain programmes for achieving its objectives and targets, including designation of responsibility for achieving objectives and targets at each relevant function and level?

24 Has DWAF established, and do they maintain a program for achieving their objectives and targets including the means and time-frames by which they are to be achieved?

25 Have programs been amended where relevant to ensure that environmental management applies to projects that relate to new development and new or modified activities?



APPENDIX G: AUDIT CHECKLIST FOR INSTITUTIONAL ENVIRONMENTAL ISSUES

Number

Checklist Question/ Issue Frequency Relevant? Has the target

/ objective

been met?

Previous

Audit

results

Non-Compliance

Details And

Recommendations

Integrated Environmental Management (IEM) Indicators

1 Multi-lateral environmental

agreements

2 Budgetary allocation to biodiversity

conservation

3 Budgetary allocation to environmental

education

4 Budgetary allocation to environmental

research

5 Inclusion of IEM principles into

strategic planning initiatives

6 Conciliation cases

7 Voluntary adoption of environmental

management systems



8 Voluntary use of environmental

accounting and reporting

9 Capacity for environmental

management

10 Environmental reporting by

government departments

Environmental Governance

11

Has DWAF audited its plans, policies

and programmes for adherence to the

NEMA principles?

12

For each of the following, is there a

current, adopted plan that is

integrated and aligned to the IDP?:

Air Quality, Integrated Waste

Management; Oil Spill Contingency;

Water Services Development ; plan to

provide access to basic water

services; and an Invasive Species

monitoring, control and eradication

plan.

13 Are DWAF‟s environmental



management policies, plans and tools

aligned to the National Biodiversity

Strategy and the Bioregional Plan?

14 Has DWAF officially adopted the

Agenda 21 process?

15 Is there an approved implementation

plan for Agenda 21?

Forestry Policy

16 Regular reports to the Minister by the

NFAC

17 Regular reports by the Minister to

parliament on facts and trends in

forest management

18 Renewal and updating of NFAP by

the Minister

19 Compliance with sections 39(1) and

40(1) of the National Water Act

(afforestation permits)

20 Compliance with sections 21 and 22

of the Environment Conservation Act

(EIAs)



21 Compliance with section 7 of the

National Forest Act (prohibition of

destruction of trees in natural forests)

22 Number of forest graduates from

forest training institutions, according

to race & gender

23 Number of refereed forest

management articles in accredited

journals from SA research institutions

24 DWAF Forestry Chief Directorate

Budget

25 Overall capital investment in forest

industry

26 Compliance by DWAF with NEMA‟s

EI&MP requirements

27 Effective participation by DWAF in

CEC



APPENDIX H: CHECKLIST FOR MONITORING FORESTRY PERFORMANCE

This checklist can be adapted for use in various forestry related monitoring programmes.

NUMBER CHECKLIST QUESTION/ ISSUE FREQUENCY RELEVANT? HAS THE

TARGET /

OBJECTIVE

BEEN MET?

PREVIOUS

AUDIT

RESULTS

NON-COMPLIANCE DETAILS

AND RECOMMENDATIONS

Social

1 Are systems in place to control access to and use of forests, and forest managers have the capacity to monitor and ensure compliance with management systems?

2 Is an effective process implemented to enable stakeholders to have input into decisions regarding forest management, and sharing of costs and benefits of forests?

3 Is information and documentation collected and maintained on the identity, location and socio-economic characteristics of all stakeholders living in the vicinity of the forest or claiming rights to the forest?

4 What is the number of visitors per annum to forests and the proportion of forestry sites available for recreation and tourism, which are impacted unacceptably by visitors?



5 Are appropriate mechanisms in place to identify, mitigate, resolve grievances and provide fair compensation for the impacts of forestry activities on stakeholders?

6 Does decision making around sustainable forest management reflect output from stakeholder meetings, and is there evidence of both agreements involving local communities in co-management responsibilities and actions and responses taken in forest management?

7 Do forest management plans reflect a sensitivity to the impacts of forestry on sense of place and landscape integrity and aim to reduce these impacts?

8 Is there evidence of a reasonable level of public satisfaction with forest management and information regarding forest management and outcomes of monitoring and research is accessible to all stakeholders?

9 Is there evidence of mechanisms developed to include marginalised groups, especially women, in decision making?

10 Do employment and business strategies benefit local people and



contribute to local economic development?

11 Do people invest in their surroundings (i.e. time, effort and money) and link their and their children's future with the management of forest resources?

12 Do forests act as a contributor or detractor to local or regional identity and to the aesthetics and amenity value of a local place or region?

13 Are the impacts of globalisation and its relationship to the forestry industry monitored, with particular reference to its impact on Local Economic Development?

14 Is there evidence that forestry and the forestry industry is playing a developmental role in local and regional areas?

15 Are tenure and forest rights are clearly defined and respected?

16 Do stakeholders perceive rights of access to and use of forests to be fair?

17 Are sites of cultural, ecological, economic and religious significance clearly identified and managed in cooperation with stakeholders?

18 Do opportunities (strategies) exists for local and forest dependent



people to receive reasonable benefits from forestry through employment, training, and other services related to forest enterprises?

19 Do effective mechanisms exists for communication, negotiation, and decision making related to forest management among all stakeholders?

20 Are strategies implemented that meets or exceeds all applicable laws and/or regulations covering health and safety of employees, their families and the broader public?

21 Are education and awareness raising activities (programmes) in place to create an increased awareness of the necessity of sustainable forest management among the general public?

22 What is the number of people dependent on the forest for subsistence uses, livelihoods and traditional and customary lifestyles?

23 What forest industry interest groups are involved?

24 What are the details regarding forest ownership and / control - Distributions in time, space and social representation?



Environmental

25 Is there a map of natural evergreen forest (indicating forest type, ownership & conservation status)?

26 Is there a database of natural evergreen forest (indicating province, forest type, ownership, conservation status, and FMU of each forest >2 ha in size)?

27 Have the Forest Act regulations for protection of forests been consulted?

28 Is there an inventory of forest resource needs?

29 Does forest land use form part of regional and sub-regional plans?

30 Have forest types been identified and described?

31 What is the conserved proportion of each forest type?

32 Is fire controlled in the forest environment?

33 What is the ratio of recruitment of harvested species?

34 Is the viability of gene flow patterns and processes within the system maintained?

35 Do nutrient cycling processes continue uninterrupted?

36 What proportion of forest edges are in good condition (gradual or soft, & functional)?



37 Is there a list of species in need of special protection (is maintained)?

38 What are the control measures of inappropriate resource use (harvesting, hunting, fishing, trapping, collecting, etc.)?

39 What is the status of gene pool & flow of key species?

40 What is the status of development of alternative resources (to satisfy demands for natural forest products in limited supply, i.e. through coppice systems, cultivation outside the forest)?

41 What is the level of promotion of indigenous tree species (for their economic, social and environmental value)?

42 What is the status of SEA, EIA & IEM in developments affecting natural forests?

43 What is the status of control of invasive alien species (practices, their potential facilitation of restoration of natural evergreen forest)?

44 What are the harvesting rates & levels of resource use (in relation to production rates of the forest and target species [recruitment, growth & mortality])?



45 Is planning and monitoring of harvesting levels according to species specific biology and socio-economic cost-benefit analysis taking place?

46 What is the harvesting cycle of resource use (consider production rates, ecological requirements of target species, harvesting costs, and potential social impacts?

47 What is the level of diversified, multiple resource use?

48 What is the level of product output versus waste from harvested resources (maximizes product output and minimizes waste, such as utilising timber, branchwood & bark from harvested trees, or utilising both pulp and seeds of forest fruits, where appropriate)?

49 What are the levels of forest protection (from illegal harvesting, settlement and other unauthorized activities)?

50 Is there a documented resource use plan?

51 Is there a policy framework to guide diverse resource use (in line with national and provincial laws and regulations)?

52 Is there a statistically acceptable



resource assessment?

53 Is there a monitoring plan for resource use impacts?

54 Is there a plan and budget for relevant ecological and socio-economic research?

55 Is there a plan and budget for appropriate training and capacity building (for acceptable resource management practices)?

56 What is the area under Forest - Indigenous Forest and Plantations (Forest type, Age class distribution, Area Temporary Unplanted, New Afforestation / Deforestation)?

57 What is the situation regarding the forest Management Systems and Audits?

58 What is the situation regarding Forest Protection - Fire, Biological organisms, pollution?

59 What is the situation regarding Biological Diversity - Type/Species distribution, Protected areas, Patch size /Edge to Area?



APPENDIX I: EMP COMPLIANCE CHECKLIST

This checklist is to be used as a guideline, from which a checklist should be drawn up for the specific EMP.

NUMBER

EMP MITIGATION MEASURE FREQUENCY RELEVANT? HAS THE TARGET /

OBJECTIVE BEEN MET?

PREVIOUS AUDIT

RESULTS


RECOMMENDATIONS

Soil

1. Topsoil to be stored

2. Manner of stockpiling soil, e.g. no compaction

3. Soil not stockpiled on drainage lines

4. No soil imports

5. Limit vehicle access over rocky outcrops

6. Don‟t use equipment displaying oil and fuel leaks

7. Removal of contaminated soils

Water

8. No development within 1: 50 year floodline

9. Don‟t impede natural water flow

10. Sedimentation control measures at watercourse crossings

11. Use of in-stream diversions when working in watercourses

12. Control of pollution entering watercourse

13. Avoid swimming and personal ablutions in watercourses

14. Use of groundwater strictly prohibited

15. Stormwater management system provided and maintained

Air

16. Speed limits on all roads on site



NUMBER


OBJECTIVE BEEN MET?

PREVIOUS AUDIT

RESULTS


RECOMMENDATIONS

17. Regular dust suppression on site (roads and stockpiled soil)

18. Notification of IAPs in the close vicinity of construction

19. Inform nearby IAPs of noisy after hours work

20. No site fires allowed

Social and Cultural

21. Prevent casual access to construction site

22. Compensation for damage to property

23. Inform landowner of any planned damage to properties

24. Maintenance of photographic record of damage

25. Housing of labour force

26. All conditions binding upon sub-contractors

27. Limit construction workers access to private property

28. Inform SAPS of any crimes on site

29. Inform employees about site specific environmental risks

30. Contractor‟s employees to be clearly identifiable

Aesthetics

31. Limitation of damage to visual impressions of the area

32. Above ground structures to blend with the environment as far as possible

33. No access roads wider than four meters

34. Recording of complaints regarding site



NUMBER


OBJECTIVE BEEN MET?

PREVIOUS AUDIT

RESULTS


RECOMMENDATIONS

appearance

Archaeology and Cultural Sites

35. Finds of human remains reported to the SAPS/SAHRA

36. Avoid graveyards

37. Work ceased when buried artefacts discovered

38. Fenced erected to protect archaeological sites

39. No employee access to identified archaeological and cultural sites

Flora

40. Rare flora seeds to be stored at a nursery

41. Protected plants tagged prior to construction

42. Limit felling of trees

43. Alien or invader plants to be removed

44. Documentation of damage to priority and riparian plants

45. Use of approved flora in rehabilitation

46. No damage to flora outside of works footprint

47. Grass seeding following proper procedures

Fauna

48. No poaching of animal species

49. No fishing permitted

50. Anthills not to be disturbed

51. Recording of incidents regarding disturbance of animals

52. Bird nesting sites not disturbed

Infrastructure



NUMBER


OBJECTIVE BEEN MET?

PREVIOUS AUDIT

RESULTS


RECOMMENDATIONS

53. Notification of interruptions of service due to construction

54. No fences or gates interfered with

55. Protection to exposed pipelines

56. Telephone poles not interfered with

57. Complaints of damage to infrastructure recorded

58. Proper storage facilities for site requirements

59. Adequate precautions regarding traffic control

60. Appropriate signs displayed

61. Traffic to use actual development main road

Safety & Security

62. Care regarding flashover of overhead power lines

63. Protection of workers during thunder storms

64. Fire prevention measures

65. Periodic checking of open excavations

66. Perimeter fencing erected and maintained

Waste

67. Sanitation facilities to be installed on site (adequate quantity)

68. Suitable litter receptacles provided

69. Prohibition of littering

70. Waste disposal at registered landfill site

71. Chemical spills contained and cleared up

72. Vehicles serviced within designated areas on site

73. Cement mixed in allocated areas

74. Mitigation of spillage from elevated fuel tanks

Rehabilitation and Site Clearance



NUMBER


OBJECTIVE BEEN MET?

PREVIOUS AUDIT

RESULTS


RECOMMENDATIONS

75. Site specific rehabilitation plan complied

76. Rehabilitation of 2 drainage lines on site

77. Access roads rehabilitated on completion

78. All construction residue removed after construction

79. Indigenous trees replanted

80. Borrow pits reshaped to even surfaces and closed off

81. Indigenous vegetation mix used in rehabilitation

82. Scarify areas compacted by vehicle movements

83. Site specific instruction regarding closure followed



APPENDIX J: CHECKLIST FOR MONITORING PEST CONTROL OPERATIONS

The purpose of this checklist is for the highly specialised monitoring of DWAF‟s pest control operations.

NUMBER

CHECKLIST QUESTION/ ISSUE RELEVANT? HAS THE TARGET /

OBJECTIVE BEEN MET?

PREVIOUS AUDIT RESULTS

NON-COMPLIANCE DETAILS AND RECOMMENDATIONS

1 What is the objective / target of the pesticide application? When will these be reviewed?

2 What is the objective / target of the monitoring? When will these be reviewed?

3 How will the abovementioned objectives and targets be achieved?

4 What are the legal requirements regarding the proposed pesticide use?

5 Have the views of interested and affected parties planning parties been obtained? What aspects of these views must be borne in mind when carrying out the pesticide application?

6 What are DWAF‟s environmental goals regarding pesticide use? Are the targets and objectives in line with these goals?

7 Have responsibilities been allocated for each level and function relating to the pesticide application? Are all personnel suitably qualified?

8 What communication procedures are in place?

9 Is there an EMS or EMP in place?

10 Are there sufficient resources for the pesticide application?

11 What type of pesticide was used?

12 How often will the pesticide be applied?

13 What quantity of pesticide will be applied?

14 For what purpose was the pesticide developed?



Will it be used for its intended purpose?

15 What potentially harmful substances are present? If relevant, include details about the effects of dilution and the time taken for the harmful substances to break down.

16 What are the potential effects of this pesticide? List all possible effects, including cumulative effects and effects due to potential interactions with other substances. Also list which species could be affected, how they may be affected, and what their tolerance level is for the harmful substances.

17 Were fact sheets and instructions obtained from the supplier of the pesticide?

18 Was the person appointed to carry out the pesticide application appropriately trained for the particular pesticide?

19 What safety equipment is required while applying the pesticide? Has this equipment been obtained / maintained? Has the person applying the pesticide been trained in how to use the safety equipment?

20 What are the water quality targets for the water in the dam to be treated?

21 What substances in the water (from the pesticide or its interactions) will be monitored?

22 Where are the monitoring points? Provide a map and details about why these points were chosen.

23 How often will water quality samples be taken?

24 What sampling methods will be used?

25 How will the water samples be analysed?

26 Who will analyse the water samples and what qualifications do they have?

27 How will the results of the sample analysis be presented? Will they be analysed statistically?



28 Who will the results be presented to?

29 How will the documentation and records be maintained?

30 Are all relevant personnel aware of the potential impacts of the pesticide application, their roles, the contents of the EMP/EMS?

31 What type of reporting system is in place?

32 Have the water quality targets been met? Attach a list of the results for each monitoring point.

33 What negative impacts from the pesticide use have been identified from the water analysis? Are these impacts acceptable?

34 How will incidences of non-conformance be handled?

35 What are the procedures for implementing corrective actions? Provide documentation of any corrective actions taken.

36 What mitigation measures should be put in place to reduce the impacts of pesticide use in future?

37 What, if any, alternatives to pesticide use have been explored?

38 What were the results of alternative methods tested?



APPENDIX K: CHECKLIST FOR AUDITING PEST CONTROL OPERATIONS

As with the checklist for monitoring pest control, this is a highly specialised checklist for auditing various pest control operations.

NUMBER

CHECKLIST QUESTION/ ISSUE RELEVANT? HAS THE

TARGET /

OBJECTIVE

BEEN MET?

PREVIOUS

AUDIT RESULTS

NON-COMPLIANCE

DETAILS AND

RECOMMENDATIONS

1 Were pesticide monitoring checklists

completed in full?

2 Were the targets set for pesticide application

and monitoring suitable? Were the targets

reviewed?

3 Were the targets / objectives achieved?

4 Was public participation carried out and were

the public‟s views taken into account?

5 Were the pesticide application projects in line

with legislation and DWAF‟s environmental

goals?

6 Were appropriate communication procedures

used?

7 Were EMSs or EMPs in place and were

these complied with?

8 Were there sufficient resources for the



pesticide applications?

9 Was the type, quantity and interval of

pesticide application suitable? List these.

10 Was the pesticide used as intended?

11 Were details obtained regarding the harmful

substances and potential effects of the

pesticides?

12 Was information obtained from the supplier

about the pesticide?

13 Was appropriate equipment used and was it

properly maintained?

14 Were the water quality monitoring points in

suitable places?

15 Were there sufficient monitoring points?

16 Were the monitoring time intervals

acceptable?

17 Was the person appointed to carry out the

monitoring appropriately qualified? Was

suitable training undertaken? Were other

personnel appropriately qualified and

trained?

18 Were the water quality targets identified, for

different types of water use, for the



substances to be tested?

19 Were the substances to be tested for correct

based on the pesticides used?

20 Was the person / agency who analysed the

samples suitably qualified?

21 Were water quality targets met after pesticide

use?

22 Were the water quality results appropriately

analysed and were the results presented to

the correct people?

23 Analyse the water quality results to determine

any trends.

24 Was a suitable type of reporting system in

place?

25 Were the documentation and records

properly maintained?

26 Were all personnel aware of their roles as

well as the contents of the EMS/EMP?

27 Were the water quality targets met? If they

were not met, was suitable corrective action

carried out?

28 Were mitigation measures designed to

reduce the impacts of pesticide use?



29 Were alternatives to pesticide use explored?

30 Were the results of alternative methods

tested and appropriately analysed?

31 Were the expected cumulative impacts of

pesticide use identified? Were these

acceptable?



Documents

Environmental Monitoring and Auditing Guidelines (EM&AG)