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					                      Water Quality
                    Management Series




                     SUB SERIES NO.MS5.1
                          EDITION 1


                         FRAMEWORK
                            FOR A
                  WATER QUALITY MANAGEMENT
               PERFORMANCE ASSESSMENT SYSTEM
                          (WQMPAS)




                    Department of Water Affairs
                           and Forestry

                            June 2000




Final Report                     -1-              June 2000
                             Water Quality

                         Management Series




                       SUB SERIES NO. MS5.1

                               EDITION 1




                        FRAMEWORK
                           FOR A
                 WATER QUALITY MANAGEMENT
               PERFORMANCE ASSESSMENT SYSTEM
                         (WQMPAS)




                 Department of Water Affairs and Forestry
                               June 2000



Final Report                       -2-                      June 2000
                                      Published by

                      the Department of Water Affairs and Forestry
                                  Private Bag X313
                                  PRETORIA, 0001
                                Republic of South Africa



                          Tel: (012) 336-7500/+2712 336-7500
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                  No part of this publication may be reproduced in any
                  manner without full acknowledgement of the source



This report should be cited as:


        Republic of South Africa, Department of Water Affairs and Forestry. 2000.Sub –
        Series No. MS5.1, Edition 1: Framework for a Water Quality Management
        Performance Assessment System (WQMPAS). Pretoria.



Coordinated by:


Effectiveness & Performance Centre CC
107 Valley Street
Clydesdale
PRETORIA, 0001
Republic of South Africa




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Sub-Series MS5.1                                                        Edition 1




                                DOCUMENT INDEX


MS5.1          Framework for a Water Quality Management Performance Assessment
               System (WQMPAS).




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Sub-Series MS5.1                                                        Edition 1



                               APPROVAL

TITLE:             Framework for a Water Quality Management Performance
                   Assessment System (WQMPAS).

CONSULTANTS:       Effectiveness and Performance Centre CC (EPC)

AUTHORS:           M. Roos & A. Van Niekerk

PROJECT NAME:      Development of a Water Quality Management Performance
                   Assessment System

ISSUE:             Edition 1

REPORT STATUS:     Final Report

CLIENT:            Directorate Water Quality Management,
                   Department of Water Affairs and Forestry

REPORT NO.:        MS5.1

FILE NO.:          16/3/4/43

DATE:              June 2000



                       Approved for Effectiveness and Performance Centre CC.



                                                                   Ms. M. Roos


                     Approved for the Department of Water Affairs and Forestry



                                                                  Mr. P. Viljoen
                                   Deputy Director: Water Quality Management:
                                                         Management Systems



                                                 Mr. J.L.J. Van Der Westhuizen
                                           Director: Water Quality Management


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Sub-Series MS5.1                                                                  Edition 1




                                ACKNOWLEDGEMENTS

The following individuals are thanked for their contributions:

Project Management Committee:

Mr. P. Viljoen                            Project Manager
Mr. J.J. Van Wyk                          Assistant Project Manager
Ms. P Moodley                             Project Member
Ms. M. Roos                               Consultant Team Leader (EPC)
Ms. A. Van Niekerk                        Consultant Project Member (EPC)

Interviewees:

Ms. B. Schreiner                          Chief Director: Water Use and Conservation
Dr. H. van Vliet                          Chief Director: Scientific Services
Mr. Claus Triebel                         Special Adviser
Mr. H. Karodia                            Director: Catchment Management
Mr. R. Makhado                            Director: Internal Audit
Ms. M. Hinsch                             Deputy Director: WQM–Urban Development
                                          & Agriculture
Mr. L. Bredenhann                         Deputy Director: WQM–Waste Management
Ms. H. Mackay                             Assistant Director: Scientific and Ecological
                                          Services
Mr. G. Grobler                            Assistant Director: WQM: Management
                                          Systems
Mr. L. Gravelet-Blondin                   Deputy Director: KwaZulu-Natal Regional
                                          Office: Water Quality Management
Mr. M. Keet                               Deputy Director: Gauteng Regional Office:
                                          Water Quality Management
Mr. G. McConkey                           Deputy Director: Western Cape Regional
                                          Office: Water Quality Management
Mr. S. Van Der Westhuizen                 Director: Water Quality Management
Mr. L. Van Den Berg                       Chief Engineer: International Projects
Mr. M.P. Nepfumbada                       Director: Institute for Water Quality Studies




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Sub-Series MS5.1                                                                    Edition 1



                                EXECUTIVE SUMMARY

The DWAF Directorate Water Quality Management (WQM) has recognised the need to
implement a Water Quality Management Performance Assessment System
(WQMPAS). The WQMPAS required should focus specifically on performance and the
establishment of a performance reporting system.

This document reports the results of the preliminary investigation and development of
an initial framework for the development and implementation of the WQMPAS. The
development and implementation of the WQMPAS is an iterative process that has
several sequential phases. The first phase is now complete and has resulted in a
framework that specifies in general what the Performance Assessment System (PAS)
must encompass and accomplish. The framework has benefited from the input and
insights of Department Water Affairs and Forestry (DWAF) managers and other
stakeholders but it is as yet too generic for implementation. As it stands it represents the
“bones” around which a user-friendly PAS may be fleshed out.
The objectives for the first phase were:
 To perform a business analysis of the Water Quality Management (WQM) function of
   DWAF, i.e. the determination of what is involved in WQM function of DWAF;
 to determine performance criteria;
 to document key performance areas and links to possible performance indicators;
 to distribute and communicate the above to intended users and stakeholders to
   obtain inputs and insights; and
 the design of a framework for a preliminary WQMPAS.
The above objectives were achieved by a review of pertinent documents, in-depth
substantive interviews with intended users from Head Office and three Regional Offices,
representatives of the Institute for Water Quality Studies (IWQS) and DWAF senior
management. With the support of the Project Committee, the consultants developed a
logic framework depicting key performance areas for the water quality management
function and provisional schedules for linking performance areas with possible
performance indicators. An indication of possible monitoring and audit methods was
also sketched. This information was circulated to intended users for comment. A
workshop was held in March 2000 where the conceptual framework of the WQMPAS
was explained and discussed. Further input was gathered from workshop attendees
who included representatives from the Regional Offices, senior management and
outside stakeholders.
In short, the WQMPAS must enable the DWAF to demonstrate clearly the extent to
which it accomplishes and ensures “the integrated sustainable management of the
water quality of all the water resources in the Republic of South Africa”.

Water quality management is a National competency. Responsibility for this
competency devolves on the Minister of Water Affairs and Forestry and the Department
of Water Affairs and Forestry’s WQM function, which consists of the:



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Sub-Series MS5.1                                                                    Edition 1



   Department’s Directorate Water Quality Management, which provides policy
    development, capacity building, specialist support, authorisation and audit services
    at a strategic level
   Department’s nine Regional Offices, which provide policy implementation, operation,
    control and monitoring services at an operational level; and
   Department’s Institute for Water Quality Studies, which provides a scientific support
    service.

The capacity of the DWAF’s Water Quality Management function will likely be extended
with the establishment of Water Management Institutions, specifically Catchment
Management Agencies.

Given the differing levels of responsibility outlined above, it is clear that the WQMPAS
must be able to deliver performance information at specific levels to different users. It is
also important to recognise that the PAS must deliver timeous information to be utilised
as a diagnostic tool. It must provide management the opportunity for intervention to
ensure a profile of continuous performance improvement. For this to occur, performance
targets and benchmarks have to be set for purposes of comparison. The WQMPAS
must be compatible with and draw information from the DWAF’s existing information
management systems, the Water Management System (WMS) and the Water
Authorisation, Registration and Monitoring System (WARMS).

A proposal for the continuance of phases II and III of the WQMPAS project was
developed. The second and third phases must be seen as providing a bridge between
the development of a WQMPAS and its full implementation. Phase II involves the
refinement of the framework developed in phase I. Phase III is the implementation plan
and testing of performance information held by DWAF. The anticipated time for
completion of the assessment program and implementation plan is December 2000,
after which implementation can start.




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Sub-Series MS5.1                                                                                                     Edition 1



                         FRAMEWORK FOR A
     WATER QUALITY MANAGEMENT PERFORMANCE ASSESSMENT SYSTEM
                            (WQMPAS)

TABLE OF CONTENTS                                                                                            PAGE

Document Index ............................................................................................... i
Approval        ............................................................................................... ii
Acknowledgements ............................................................................................ iii
Executive Summary ............................................................................................ iv

1      INTRODUCTION AND CONTEXT. ............................................................ 1
       1.1 Trusteeship of nation’s water resources. ........................................... 1
       1.2 Water Quality Management Function of the DWAF. .......................... 1
       1.3 Need for project. ................................................................................ 3
       1.4 Purpose of this document. ................................................................. 3

2      PROJECT SCOPE..................................................................................... 3
       2.1 Aims of project…………………………………………………………….3
       2.2 Approach/Phasing of project…………………………………………….4
       2.3 Terms of Reference for Phase I………………………………………...4
       2.4 Additions and deviations from Terms of Reference Phase I…………5
       2.5 Linkages with other initiatives………………………………………..… 5
       2.6 Users of a WQMPAS………………………………………………… 6

3      WHAT IS A PERFORMANCE ASSESSMENT SYSTEM…… ................... 7
       3.1 Auditing vs Performance Assessment.. ............................................. 7
       3.2 Principles and Definitions of a PAS.. ................................................. 7
       3.3 Process… .......................................................................................... 8
       3.4 Benefits of WQMPAS ...................................................................... 10

4      ASSESSMENT OF THE DWAF’s WQM FUNCTION.. ............................ 11
       4.1 Policy and legislative requirements/mandates.. ............................... 11
       4.2 DWAF’s WQM function: Who are the role players?……….. ............ 15
       4.3 Preliminary performance areas identified… ..................................... 17
       4.4 Areas of concern.. ........................................................................... 19

5      LOGIC FRAMEWORK. ............................................................................ 19
       5.1 Context… ......................................................................................... 19
       5.2 The logic of the WQM business.. ..................................................... 21
       5.3 Performance Assessment of Regional Offices.. .............................. 23
       5.4 Issues to be considered in assessing accountability and
           Responsibility…. .............................................................................. 23
       5.5 Framework for monitoring and evaluation........................................ 24

6      CONCLUSION… ..................................................................................... 24
       6.1 Limitations.. ..................................................................................... 24


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7     WAY FORWARD. .................................................................................... 24

APPENDIXES

Appendix A:         Summary of results of document analysis….. ......................... 26
Appendix B:         Framework for Monitoring and Evaluation.. ............................. 48
Appendix C:         Workshop Inputs. .................................................................... 57




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               ALPHABETICAL LIST OF ACRONYMS AND ABBREVIATIONS

C     CEC           Committee for Environmental Co-ordination

      CMA’s         Catchment Management Agencies

      CMS           Catchment Mangement Strategy

      CORE          Codes of Remuneration System

D     DWAF          Department of Water Affairs and Forestry

I     IWQS          Institute for Water Quality Studies

K     KPA           Key Performance Area

      KPI           Key Performance Indicator

N     NEAF          National Environmental Advisory Forum

      NEMA          National Environmental Management Act

      NWA           National Water Act, 1998

      NWRS          National Water Resource Strategy

P     PAS           Performance Assessment System

R     RQO           Resource Quality Objective

W     WARMS         Water Authorisation, Registration and Monitoring System

      WMA           Water Management Area

      WMS           Water Management Strategy

      WQM           Water Quality Management

      WQMPAS        Water Quality Management Performance Assessment System

      WUC           Water Use and Conservation




Final Report                               - viii -                           June 2000
Sub-Series MS5.1                                                                 Edition 1

       FRAMEWORK FOR A WATER QUALITY MANAGEMENT PERFORMANCE
                    ASSESSMENT SYSTEM (WQMPAS)
1.      INTRODUCTION AND CONTEXT

1.1     Trusteeship of nation’s water resources
As the public trustee of the nation’s water resources the National Government, acting
through the Minister of Water Affairs and Forestry must ensure that water is protected,
used, developed, conserved, managed and controlled in a sustainable and equitable
manner for the benefit of all persons. The Department of Water Affairs and Forestry
(DWAF) is ultimately responsible for ensuring that water is allocated equitably and used
beneficially in the public interest while promoting environmental values. The DWAF has
the power and the duty to regulate the use, flow and control of all water in the Republic.
1.2     Water Quality Management Function of the DWAF
1.2.1 DWAF
The Constitution and the National Water Act, 1998 (Act No. 36 of 1998) assign the legal
mandate for water resources management to the Minister of Water Affairs and Forestry
(and the DWAF).
The DWAF mandate is embodied in its mission statement “to ensure both the integrated
and sustainable development and management of water and forestry resources and the
provision of basic community water supply, sanitation and forestry needs. Thus providing
a fair service to all users and supporting reconstruction and development towards
economic growth, prosperity and harmony of our nation.” The DWAF is structured in
Branches, Chief Directorates, Directorates and Sub-Directorates.
The Chief Directorate Water Use and Conservation (WUC) has the mission “to promote
the equitable allocation, beneficial use and sustainability in terms of both quality and
quantity, of water resources on an integrated basis through policy development,
regulation, facilitation and monitoring.”
The Directorate Water Quality Management (WQM) resorts under WUC and has the
mission “to ensure the integrated sustainable management of the water quality of the
water resources of South Africa.”
The Institute for Water Quality Studies (IWQS) resorts under the Chief Directorate
Scientific Services and supports the water quality management function by providing
technical support and information.

1.2.2 Transition
The Directorate WQM has for the past two years been operating in a mode of transition.
The Public Service is determined to accelerate recruitment and personnel practices that
will result in a work force that mirrors the country’s demographics. At the same time new
legislation has propelled water quality management into different directions. Both
aspects of transition have a profound impact on how DWAF executes the WQM functions
through Regional Offices, the IWQS and the Directorate WQM and the extent to which it
is able to accomplish its mission.

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1.2.3 Context of the development of a performance assessment system (PAS)

The DWAF Directorate WQM has recognised the need to implement a Water Quality
Management Performance Assessment System (WQMPAS). The WQMPAS required
should focus specifically on performance and the establishment of a performance
reporting system. The performance information needs to be assessed to provide
management with the assurance that performance information is valid, accurate and
complete.

The Directorate WQM has been pro-active in the initiation of this process. The Interim
Constitution and the New Constitution (Act No 108 of 1996, inclusive of the Bill of Rights,
Chapter 2 of the Constitution) made it explicitly clear that accountability and
representivity form the cornerstones of the new constitutional state. Service delivery is
strongly implied and it is listed in detail in sections on Co-operative Government (Chapter
3) and in Schedule 4 of the Constitution. The new Public Finance Management Act,
1999 (Act No. 1 of 1999) implemented in April 2000, requires that government
departments report on performance. Another relevant piece of legislation is the White
Paper on Transforming Public Service Delivery Batho Pele (People First) launched by the
Department of Public Service and Administration during 1997. This White Paper places
a considerable emphasis on the delivery of efficient and effective services to
communities. Apart from the constitutional obligation to co-operation, good faith and co-
ordinated efforts the implementation of the Batho Pele policy aims at effective, people-
centred service delivery. Over and above the need to comply with the above-mentioned
legislation, performance reporting can be a valuable management tool. By implementing
a performance reporting system the Department’s WQM function can respond to their
accountability responsibilities and would be able to answer questions, for example:
Is the water quality of rivers in South Africa deteriorating or improving?
Is there a continuous improvement of water quality?
Does the Directorate WQM have the necessary policies and procedures in place to
ensure that objectives are achieved?
Is there adequate training of personnel and stakeholders?
Does the Directorate WQM provide the necessary specialist technical support?
Are all water uses impacting on water quality authorised?
Are any services impacting on water quality management duplicated?
Up to now the assessment and auditing functions had been neglected to a certain extent.
The implementation of a WQMPAS is one of the tools planned to address this
shortcoming. Once a proper system of reporting on performance is established, whereby
management is assured of the accuracy and completeness of the information, additional
responsibilities and functions can be delegated to the Regional Offices.
Consultants were appointed to conduct the reconnaissance phase. The intent is to
appoint consultants to conduct the development phase and the compilation of the
implementation plan. If the Directorate has adequate resources of appropriate skills the



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implementation can be done internally. Alternatively an independent consultant will have
to be appointed to conduct the execution of the WQMPAS.

1.3    Need for project
The Directorate WQM initiated this project in response to the recognition that
performance of the water quality management function in the DWAF must keep pace with
the transition within the Department necessary for the full implementation of the National
Water Act, 1998 (Act No. 36 of 1998) (NWA). Further, it was recognised that in the
interest of good governance the need for performance based management is a critical
factor. The Directorate WQM has a need to manage the WQM function. The function of
Water Quality Management is shared by the Regional Offices and Head Office and the
IWQS. Furthermore, the provisions of the NWA imply that more resources must be
expended in resource directed measures. In the past WQM had concentrated more on
source directed measures. This means that WQM must ensure that proper performance
information must be held and regularly reported and analysed to ensure that the function
can be efficiently and effectively managed.

1.4    Purpose of this document

This document reports the results of the preliminary investigation and development of an
initial framework for the development and implementation of a Water Quality
Management Performance Assessment System (WQMPAS).

The development and implementation of the WQMPAS is an iterative process that has
several sequential phases. The first phase is now complete and has resulted in a
framework that specifies in general what the WQMPAS must encompass and
accomplish.

This report sets out a brief analysis of the business of the WQM function and explains
how information was gathered and applied in order to result in a logic framework
depicting the WQM function.

This document also explains how this logic framework formed the basis of a workshop
with key role players. The results of the workshop proceedings are included as an
appendix to this report.
From the logic framework a preliminary framework for monitoring and evaluation was
constructed. It is also appended to this document. The information contained in this
report form the background for the continuance of phases II and III of the WQMPAS
project.
2.      PROJECT SCOPE
2.1     Aims of project
The objective of this project is to assist the Directorate WQM in establishing a WQMPAS
to assist the Directorate in fulfilling its responsibility of “ensuring the sustainable
integrated protection and management of the water quality of the water resources of
South Africa”.


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The above objective will be achieved by:

     Formulating feasible and practical criteria against which the performance of the
      Directorate WQM can be measured, and
     Developing a WQMPAS.

Although the project was initiated by the Directorate WQM it must be noted that the
function for water quality management is diffuse and shared by Head Office, Regional
Offices, IWQS and Catchment Management Agencies (CMA‘s) when operable. Thus the
WQMPAS must serve the performance information needs of all the parties who share the
responsibility for delivering the function.
2.2       Approach/Phasing of project
The development and implementation of a WQMPAS was rationalised into three distinct
phases each with specific objectives. They are:
Phase I – Reconnaissance phase
     Assessment of the WQM function.
     Determination and formulation of performance criteria.
     Development of the Draft WQMPAS.
     Compilation of a Terms of Reference for Phases II and III of the project.
Phase II – Development phase
     Refinement of the framework of WQMPAS developed during phase I.
     Development of a detailed assessment program.
     Development of a model of performance information to be reported on.
     Exploration of information systems and management information.
     Workshop to familiarise users with WQMPAS.
Phase III – Implementation phase
     Run tests of available performance information.
     Adjust WQMPAS with reference to test results.
     Perform pilot feasibility tests on assessment steps.
     Refine WQMPAS with reference to pilot results.
     Compile an implementation plan.
     Build capacity within the Directorate WQM.
2.3       Terms of Reference for Phase I

This document represents the completion of phase I as specified in the following Terms
of Reference.
The purposes of phase I as stated in the Terms of Reference are:
     Assessment of the WQM function: This step includes an investigation of the WQM’s function’s
       “business”, “assessment tools” that are currently available, as well as the identification of possible
       shortcomings and cost estimates to address the identified shortcomings.




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     Determination and formulation of performance criteria: This step entails the
      identification and the formulation of feasible and practical performance criteria that
      can be used to measure the effectiveness with which the Department, through the
      Directorate WQM and its Regional Offices, conducts its WQM “business”.
     Compilation of Terms of Reference for phases II and III of the project.
The Terms of Reference further provided for the establishment of a Steering Committee,
represented by the Regional Offices and the IWQS, to provide technical input and
strategic direction. The Terms of Reference also made provision for the establishment of
a project management committee to co-ordinate and manage the project.
The Terms of Reference also stipulated that phase I will incorporate the identification of
specific links with other management systems including the Water Management System
(WMS), the Water Authorisation, Registration and Monitoring System (WARMS) and the
Codes of Remuneration System (CORE).
The final deliverable, the Draft WQMPAS, will consist of an evaluation of the existing
performance information held by WQM and include an assessment of the extent to which
the information held by WQM allows the reporting of performance of the line function of
the Directorate WQM. It will identify any information or systemic gaps impeding the
reporting of performance and will identify and assess (including costing of) different
options to inform WQM management.
2.4      Additions and deviations from Terms of Reference Phase I

During the conduct of phase I of the project several changes to the approved Terms of
Reference were made. The most important deviations are listed below:
 The Steering Committee represented by the Regional Offices and the IWQS never
   came off the ground. The WQM project managers deemed this would be more
   effective during the subsequent phases of the project.
  Upon examination the existing performance information proved to be insufficient to
    form the basis for a WQMPAS. The project management committee approved a
    decision to work from the assumption that relevant information held in WMS and
    WARMS would be accessed by the proposed WQMPAS, but that the consultants
    should identify key performance areas (KPA’s) and associated key performance
    indicators (KPI’s) to form the basis of the WQMPAS.
 A problem was experienced in the garnering of input from the Regional Offices and
   other role players based on e-mail documentation. As a consequence the project
   management committee approved the holding of a workshop to achieve this input.
   This resulted in a prolongation of the estimated completion time. It also resulted in
   the expenditure of additional resources.
  The costing of options was not possible due to the fact that some of the electronic
    information systems held by the DWAF were not fully implemented, or experiencing
    problems, at the time of investigation.
 The tasks remaining will be addressed during phase II.

2.5     Linkages with other initiatives
It is important that the WQMPAS must link with existing information and management
systems held by the DWAF. Where possible it must feed information from and to the

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Water Management System (WMS), the Water Authorisation, Registration and
Monitoring System (WARMS) and the Codes of Remuneration System (CORE).
The WMS is an electronic database holding water management data. The WQMPAS will
be designed to be compatible to, and an adjunct of the WMS.
The WARMS holds data regarding authorisations and registration of water use and
licences and the subsequent monitoring of activities under licence or authorisation. It is
envisaged that these data (with possible additions or modifications that enhance the
DWAF’s ability to report on the performance of the WQM function) would form an
essential part of the WQMPAS.
The DWAF has recently adopted the performance-based CORE system to manage and
enhance the delivery of clearly specified performance in critical areas by its personnel.
The WQMPAS can be a tool to monitor and manage the achievement of CORE
performance goals.
2.6     Users of a WQMPAS
The WQMPAS must serve the needs of different categories of users. Water Quality
Management, a National competency, is the responsibility of the Minister of Water Affairs
and Forestry and the DWAF’s Water Quality Management function is carried out by:
 Department of Water Affairs and Forestry’s Directorate WQM, which provides policy
   development, capacity building, specialist support, authorisation and audit services at
   a strategic level.
 Department of Water Affairs and Forestry’s nine Regional Offices, which provide
   policy implementation, operation, control and monitoring services at an operational
   level; and
 The Institute for Water Quality Studies that provides a scientific support service.
Each of the above-listed categories has different performance information needs that
must all be satisfied by the WQMPAS.
The Directorate WQM will use the WQMPAS to monitor and report on its own efficiency
and effectiveness, the implementation of policy, the performance of the Regional Offices
WQM components and eventually those of the CMA’s.
The Regional Offices will use the WQMPAS to monitor and report on their own
performance efficiency and effectiveness and to monitor the performance of Water
Management Institutions, particularly CMA’s.
The IWQS will use the WQMPAS to monitor and report on its efficiency and effectiveness
with respect to its mandate in the Water Quality Management function.
Eventually Water Management Institutions and CMA’s will use the WQMPAS to monitor
and report on their performance with respect to efficiency and effectiveness.
Senior management will use the WQMPAS to ensure that adequate resources are
expended to perform the WQM mission with maximum relevance, efficiency,
effectiveness and economy. The WQMPAS is a tool for management to receive timeous
performance information in order to make interventions and decisions that will ensure
that the mission is carried out.

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Over and above the Directorate WQM, other Directorates within DWAF can also use the
framework as a basis to develop their own PAS.
Other national departments can also use the logic and process followed as a basis for
development of their own PAS.
Research Institutions such as universities could use information from the WQMPAS for
research purposes.

Clients and the general public can also use the information from the WQMPAS to
evaluate the extent to which objectives have been achieved and service delivery
standards have been accomplished.

Information from the WQMPAS can be used for making the general public aware of water
quality management issues and may possibly be used as a tool to encourage citizens of
South Africa to co-operate in the monitoring and protection of the country’s water
resources.

3.      WHAT IS A PERFORMANCE ASSESSMENT SYSTEM?
3.1     Auditing vs Performance Assessment
Performance assessment is different from an audit. During an audit the main objective is
to gather audit evidence to be able to express an opinion on whether the financial
information is a fair reflection of the results of the entity. To be able to do this, auditors
normally test the control systems or do detail testing on financial figures in the financial
statements. An audit provides assurance that one can rely on the financial figures but
does not focus on effective, efficient and economic acquisition and utilisation of
resources.

In terms of a performance assessment system, management will make representations
regarding specific defined performance areas in order to demonstrate the extent to which
performance goals are achieved. Management reports on performance and the reported
information is analysed and reviewed for accuracy, completeness and validity.

Actual results are compared to targets or benchmarks and variances explained. The
performance information held is also audited for completeness, accuracy and validity.

This process is normally referred to as evaluation and monitoring, or performance
assessment. Performance assessment is the preferred terminology.
The WQMPAS can be compared to a thermometer. The information generated by the
WQMPAS should give a warning of potential problems that militate against good
performance. There could be good explanations for it but based on the warning the
necessary precautions can be taken to ensure the situation does not deteriorate.
3.2     Principles and Definitions of a PAS

From the above discussion it is clear that a performance assessment system (PAS) has
the following goals:


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     It allows the systematic tracking (monitoring) of specific performance areas in a
      consistent longitudinal manner, in other words it demonstrates trends.
     It must be flexible in recognition that an organisation’s performance goals tend to
      change with new strategic directions.
     It is a tool giving management timeous access to performance information so that
      interventions ensuring continuous improvement can be readily made.
     Appropriate targets or benchmarks against which trends can be measured are critical.

During the development of a WQMPAS the first objective or deliverable will be the
identification of key performance areas (KPA’s). KPA’s can be defined as the defined,
prioritised, critical performance areas that must be carried out if a mandated mission is
to be achieved.
While designing a PAS, the temptation is often to include too much information for
measuring and monitoring. The axiom Less is More is valuable. Experience has shown
that any organisation (or part of an organisation) should be able to confine its KPA’s to
less than eight (as a rule of thumb).
Once KPA’s have been identified and prioritised the next step in the development of a
PAS is the identification of appropriate associated key performance indicators (KPI’s).
KPI’s can be defined as things that can be observed or counted and that could provide a
diagnostic sense of the extent that a key performance area is being achieved efficiently
and effectively.
It is important to keep in mind that only essential performance information should be
gathered in a PAS. A phenomenon often observed in organisations, the tendency to
measure for the sake of measuring and to lose track of why or to what purpose the
measurement occurs must be guarded against.

Satisfactory KPI’s are:
 Few (choose one indicator as diagnostic of a specific objective).
 Occur over time (choose an indicator that can be monitored over time – avoid once-
   off events).
 Must be quantifiable.
 Must be able to measure the indicator against a target or benchmark.

Once KPI’s have been identified they must be challenged and tested before a PAS can
be made operational.


3.3      Process

The creation and implementation of a PAS can be divided in three phases namely the
planning phase, the conducting of the assessment phase and the reporting phase. The
planning phase culminates in delivery of a framework that links KPA’s and KPI’s.

The following diagram (Figure 1) depicts the PAS development and implementation
process.

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Figure 1: Development and Implementation of PAS Process
                   Planning phase
                                                        PLANNING PHASE
        Preparing assessment programs



          Gathering of evidence


                                                        ASSESSMENT PHASE

                   Does evidence
                      indicate
                                                         Consider cause and effect
                    satisfactory             No
                     situation?




                                              Yes
               Develop assessment findings



          Prepare point-form report


                                                        REPORTING PHASE
               Develop conclusions



                      Approve



           Complete and review files



                 Reporting phase


The main objectives of the planning phase are to:
 Develop an understanding of the assessment entity and its environment;
 Identify the assessment issues and the criteria by which they will be assessed; and
 Prepare the assessment program.
Assessment criteria include policies, practices, procedures or requirements against which
the actual situation is compared. Based on the assessment criteria a detailed
assessment program is developed. An assessment program is a list of procedures to be


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performed to compare existing systems and/or management practices with assessment
criteria and to collect evidence to support assessment observations.
During the conduct phase the objectives are to:
 Gather and evaluate information to compare actual practices or operations against
   criteria; and
 To obtain sufficient, appropriate evidence to support any opinions and
   recommendations that will eventually be reported.
Where significant deviations from criteria are identified, the underlying cause and effect
will be determined.
Assessment evidence should be of such a quality and quantity that competent evaluators
working independently from each other will reach similar findings from evaluating the
same assessment evidence.
When the cause and effect of assessment findings have been satisfactorily identified,
evaluators come to an opinion, either positive or negative. It represents the evaluation of
the assessment finding based on the available evidence.
During the reporting phase the assessment findings are described in a point-form
report. The point-form report presents findings in relation to assessment objectives and
criteria, and for each finding includes a description of assessment evidence, causes and
impact, opinions and recommendations. This report should be cross-referenced to the
assessment working papers and supporting evidence. It is important that the point-form
report be thoroughly challenged internally to ensure that findings are sound.
After the internal challenge and update of the report the evaluators can develop
conclusions. The report should be approved by management. The assessment files are
completed and reviewed and the final report issued.
The above described process if followed will result in a fully operational PAS.
3.4     Benefits of WQMPAS
After the WQMPAS is implemented it will allow the DWAF to determine the extent to
which the WQM function performs its mission. More specifically this management tool
has the following benefits:
 Management can respond to their accountability obligations.
 Management can respond to the expectations of governing bodies. Governing bodies
   need information to be able to fulfill their roles and responsibilities and a performance
   information system can provide the necessary information.
 Management can respond to emerging expectations from different stakeholders to
   provide a broader range of information.
 Such a system provides an opportunity for management to explain effectiveness in a
   context that is appropriate, thereby preventing wasted effort by ensuring information
   focuses on important matters presented at meaningful levels.
 Contribute to appropriate decision-making.
 Assist management with control processes.
 Ensure compliance with the Public Finance Management Act, 1999 (Act No. 1 of 1999).

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4       ASSESSMENT OF THE DWAF’S WQM FUNCTION

4.1     Policy and legislative requirements/mandates

The DWAF’s WQM function is carried out within the parameters of several legislative
imperatives. The key legislation relevant to this function is briefly described in the
following sections of this report.

4.1.1 Constitution 108:1996

Since 1994 all aspects of South African governance have undergone significant change.
The Constitution of the Republic of South Africa, 1996, Act 108 of 1996, in Chapter 2: Bill
of Rights section 24 describes every citizen’s rights with respect to the environment as
follows:
(a)    to an environment that is not harmful to their health or well-being; and
(b)    to have the environment protected, for the benefit of present and future
       generations, through reasonable legislative and other measures that –
(i)    prevent pollution and ecological degradation;
(ii)   promote conservation; and
(iii)  secure ecologically sustainable development and use of natural resources while
       promoting justifiable economic and social development.

With respect to the right to have access to water section 27 stipulates that every citizen
has the right to sufficient water and that the state must take reasonable legislative and
other measures within its available resources to achieve the progressive realisation of
this right.

4.1.2 National Environmental Management Act (NEMA) 107:1998

The NEMA provides umbrella legislation making provision for co-operative environmental
governance by establishing principles for decision-making on matters affecting the
environment, institutions that will promote co-operative governance and procedures for
co-ordinating environmental functions exercised by organs of state; and to provide for
matters connected therewith.

The DWAF and particularly the WQM function play an important role within the NEMA
ambit. Not only is the DWAF mandated to exercise functions that may affect the
environment, it is also mandated to exercise functions that involve the management of

the environment, the WQM function being pertinent in this report.

The NEMA sets out national environmental management principles. Chapter 2 has
particular relevance because it sets out the establishment, objectives and functions of the
National Environmental Advisory Forum, (NEAF) and the Committee for Environmental
Co-ordination, (CEC). The DWAF has key roles and responsibilities in these forums. In
terms of the WQM function the objectives under NEMA of the NEAF and the CEC are to
ensure that co-operative governance enhances the likelihood that national performance
goals can be set and achieved.


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4.1.3 National Water Act 36:1998

The legislative measure to ensure the protection of the constitutional rights with respect
to water and the aquatic environment is the National Water Act, 1998 (Act No. 36 of
1998). This Act is guided by principles of sustainability and equity in the protection, use,
development, conservation, management and control of water resources. As the public
trustee of the nation’s water resources the National Government, acting through the
Minister of Water Affairs and Forestry must ensure that water is protected, used,
developed, conserved, managed and controlled in a sustainable and equitable manner
for the benefit of all persons. The DWAF is ultimately responsible for ensuring that water
is allocated equitably and used beneficially in the public interest while promoting
environmental values. The DWAF has the power and the duty to regulate the use, flow
and control of all water in the Republic.
The introduction of the NWA expanded the functions and responsibilities of the water
quality management function considerably. The emphasis has now shifted to a more
balanced management approach recognising the need for source, remediation and
resource directed measures. The NWA introduced several new concepts. Some of the
important concepts are:
   Water resource is deemed to be a watercourse, surface water, estuary, or aquifer.
   The concept of a reserve was introduced. Reserve refers to the quantity and quality
    of water required;
    (a)    To satisfy basic human needs by securing a basic water supply, as prescribed
           under the Water Services Act, 1997 (Act No. 108 of 1997), for people who are
           now or who will in the reasonably near future be relying upon, taking water
           from, or being supplied from, the relevant water resource; and
    (b)    To protect aquatic ecosystems in order to secure ecologically sustainable
           development and the use of the relevant water resource.
   The management of water should take place in a Water Management Area (WMA),
    that is the basic management unit in the National Water Resource Strategy (NWRS)
    within which a Catchment Management Agency (CMA) will conduct the protection,
    use, development, conservation, management and control of water resources.
   The NWA contains stringent pollution prevention measures. Part 4: Pollution
    prevention Section 19 deals with pollution prevention and in particular the situation
    where pollution of a water resource occurs or might occur as a result of activities on
    land. The person who owns, controls, occupies or uses the land in question is
    responsible for taking measures to prevent pollution of water resources. If these
    measures are not taken, the CMA concerned (if a CMA does not yet exist, the DWAF)
    may itself do whatever is necessary to prevent the pollution or to remedy its
    effects, and to recover all reasonable costs from the persons responsible for the
    pollution.
   Use of water is no longer limited to the abstraction of water, but includes activities
    having relation to water such as storing of water, disposing waste, discharging water
    containing waste, altering river banks and beds, recreation and so forth (NWA Section
    21). All water uses apart from those mentioned under Schedule I of the NWA (page
    152) will ultimately require a form of authorisation or license under the NWA.
   Provision is made for public consultation processes in the establishment of strategies.

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The NWA recognises the unity of the hydrological cycle and the interdependence of its
elements, where evaporation and rainfall are linked to groundwater, rivers, lakes,
wetlands and the sea. All water is now deemed to be public water and groundwater is no
longer viewed as private property.
The complete interconnectedness of water systems demand that the water resources be
protected, used, managed, developed and controlled in an integrated and holistic manner
through a catchment directed approach.
The final implementation date of the Act was 1 October 1999.
4.1.4 National Water Resource Strategy
The National Water Resource Strategy (NWRS) provides the framework for the
protection, use, development, conservation, management and control of water resources
for the country. It also provides the framework within which water will be managed at
regional or catchment level, in defined WMA’s. The contents of the NWRS are described
in Section 6(1) of the Act.
4.1.5 Catchment Management Agencies
The purpose of establishing CMA’s is to delegate water resource management functions
to the regional or catchment level and to involve local communities, within the framework
of the NWRS. Whilst the ultimate aim is to establish CMA’s for all WMA‘s, the DWAF
Regional Offices act as the CMA where one has not been established. The establishment
and powers of CMA’s are fully described in Chapter 7 of the NWA.
The Catchment Management Strategy (CMS) provides a framework within which water
resources management will be carried out within a WMA.
Currently CMA’s are not yet in operation. The Regional Offices continue to assume the
functions that may later be carried out by CMA’s.
4.1.6 Water quality objectives
Water quality objectives are described as an important part of Resource Quality
Objectives (RQO) in the Act. The purpose of the RQO is to establish clear goals relating
to the quality of the relevant water resources. In determining RQO’s a sustainable
balance must be sought between the need to protect water resources on the one hand
and the need to develop and use them on the other. Provision is made for preliminary
determinations of the Class and RQO’s of water resources before the formal
classification system is established. Once the Class of a water resource and the RQO’s
have been determined they are binding on all authorities and institutions exercising any
power or performing any duty under the NWA.
The objectives determined in terms of subsection (1) of Section 13 of Chapter 3 of the
NWA may relate to the following:
 The Reserve;
 The instream flow;
 The water level;
 The presence and concentration of particular substances in the water;
 The characteristics and quality of the water resource and instream and riparian
   habitat;

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   The characteristics and distribution of aquatic biota;
   The regulation and prohibition of instream or land-based activities which may affect
    the quantity of water in or quality of the water resource; and
   Any other characteristics.
4.1.7 Use of water
Chapter 4 of the Act is significant because it lays the basis for regulating water use.
Requirements for regulating water use are specified and include:
 Taking water from a water resource;
 Storing water;
 Impeding or diverting the flow of water in a watercourse;
 Engaging in a streamflow reduction activity contemplated in section 36;
 Engaging in a controlled activity identified as such in section 37(1) or declared under
  section 38(1);
 Discharging waste or water containing waste into a water resource through a pipe,
  canal, sewer, sea outfall or other conduit;
 Disposing of water in a manner which may detrimentally impact on a water resource;
 Disposing in any manner of water which contains waste from, or which has been
  heated in, any industrial or power generation process;
 Altering the bed, banks, course or characteristics of a watercourse;
 Removing, discharging or disposing of water found underground if it is necessary for
  the efficient continuation of an activity or for the safety of people; and
 Using water for recreational purposes.
4.1.8 Monitoring and assessing
Section 22 of the NWA describes permissible water uses. The Act further refers to
monitoring, assessing and information in Chapter 14 where the Minister may require any
person to provide information on various aspects of water resources including the quality
and quantity of all water resources.
4.1.9 Directorate WQM response to new legislative requirements
Traditionally the Directorate Water Pollution Control and later the Directorate WQM had
been responsible for the water quality component of water resources management. The
approach adopted was focused on a point-source management approach and emphasis
was placed on pollution control. Since 1991 the Directorate has acknowledged the
receiving water environment within a catchment context. The previous emphasis on
source management had increasingly become challenged within the Department. The
Department contributed to the drafting of the new legislation. The DWAF has thus
informally been preparing for some time to take on broader responsibilities.
The current structure of the Directorate WQM provides for four sectoral Sub-Directorates
and one integrating Sub-Directorate namely:
 Sub-Directorate Industries;
 Sub-Directorate Mines;
 Sub-Directorate Urban Development and Agriculture;
 Sub-Directorate Waste Management; and
 Sub-Directorate Management Systems (integrator).

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The current structure, while adequate for a point-source directed management focus may
not be the most effective delivery system for a resource directed approach to WQM.

The Directorate WQM developed a number of tools to support the WQM function. These
tools included the setting of receiving water quality objectives, conducting investigations
to assess the impacts of effluent discharges and granting permits for the discharge of
effluent. Water quality objectives are specific numeric values set for water quality
constituents of concern. In the source directed management process, water quality
objectives are used to set appropriate standards for an effluent discharge. The aim is to
develop RWQO’s or resource water quality objectives for all catchments. These
objectives are set through catchment assessment studies. In the past, the manner in
which water quality had to be managed to achieve the set objectives was called the
WQM plan. The NWA, however uses the term Catchment Management Strategy (CMS).
We may therefore refer to the water quality component of the CMS or to the WQCMS.
Although a few catchment studies have been completed much work still needs to be
done. Key to our task of preparing a WQMPAS, is the enabling of relevant and effective
monitoring and assessment criteria. These will ensure that WQM contribute to the
ultimate aims to achieve the sustainable equitable use of water for the benefit of all
users; protecting of the quality of water resources, to ensure sustainability and for the
integrated management of all aspects of water resources. Where appropriate, the
delegation of management functions to a regional or catchment level may occur so as to
enable everyone to participate.

4.2     DWAF’s WQM function: Who are the role players?

Within the DWAF the WQM function is shared by a number of role players. The level of
performance within the function fluctuates between different role players but each make
unique contributions towards achieving WQM objectives. The following section depicts
the formal structure (Figure 2) within the DWAF where the WQM function is
accommodated. It is important to note that other role players outside of the DWAF also
make important contributions to the achievement of water quality management goals. In
terms of co-operative governance the NEAF and the CEC (described in section 4.1.2 of

this report) play key roles in ensuring that national water quality performance goals are
achieved.

4.2.1 Organogram

The main role players in performance of the WQM function within the DWAF are
structured as the following organogram summarises:




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    Figure 2: Organogram WQM Function




                                                DWAF
                         Water
                                                                        Policy and
                        Services                DG
                                                                       Resources -
                      Finance and
                                                                          DDG
                       Regions -
                         DDG




                                                               Chief                 Chief
           Chief
           Directorate                                      Directorate:        Directorate:
           Regions                                         Water Use and             Scientific
                                                           Conservation              Services


                                                                                Institute for
                                       Gauteng
                                       Regional              Directorate        Water Quality
                                        Office                  WQM
                                                                                     Studies


                                    Western Cape
                                       Regional
                                       Office
            Chief
         Directorate                  Free State
       Eastern Cape                    Regional
                                        Office

                                    Northern Cape

           Chief                       Regional
        Directorate                    Office
         Northern
         Province
                                    Mpumalanga
                                     Regional
                                     Office
             Chief
          Directorate
          Kwa-Zulu
                                      North West
             Natal
                                       Regional
                                        Office




4.2.2 Head Office Directorate WQM

The mission of WQM is “to ensure the integrated sustainable management of the water
quality of the water resources of South Africa”. The Directorate WQM contributes to the
performance of the mission by providing policy development, capacity building, specialist
support, authorisation and audit services at a strategic level.

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4.2.3 Regional Offices
The DWAF’s nine Regional Offices provide policy implementation, operation, control and
monitoring services at an operational level in support of the WQM mission. A regional
interpretation of its mission regarding water quality management can be stated as “to
ensure that the water resources of the region are fit for use for humans and recognised
users and ensure that the health of the water environment is protected and improved on
a sustainable basis.”
4.2.4 Institute for Water Quality Studies
The IWQS resorts under the Chief Directorate: Scientific Services with the mission:
“To ensure water resource monitoring and development of water resource assessment
methodologies, based on multi-disciplinary scientific and technical principles; and to
provide an extensive range of water resource quality, quantity and related information in
support of the Department’s mandates for water service provision, water resource
development and water resource protection”.
The IWQS is responsible for providing water resource quality information collected
through a number of national and regional monitoring networks. In support of water
resource quality management, the Institute provides technical information, guidelines and
procedures for water resource assessment.
4.2.5 Catchment Management Agencies
The purpose of establishing CMA’s is to delegate water resource management functions
to the regional or catchment level and to involve local communities, within the framework
of the NWRS. Whilst the ultimate aim is to establish CMA’s for all WMA‘s, the DWAF
Regional Offices act as the CMA where one has not been established. The establishment
and powers of CMA’s are fully described in Chapter 7 of the NWA.
The Catchment Management Strategy (CMS) provides a framework within which water
resources management will be carried out within a WMA.
Currently CMA’s are not yet in operation. The Regional Offices continue to assume the
functions that may later be carried out by CMA’s.
4.3     Preliminary performance areas identified
In this section the methods used to gather, analyse and present information needed to
form the basis of a WQMPAS are briefly discussed. Based on the information gained
through interviews with staff and an extensive document analysis preliminary
performance areas were identified. A first attempt at selecting key performance areas
was tested in a workshop. It is important to note that the key performance areas need
refinement and prioritisation in further iterations before being incorporated as the basis
for a final WQMPAS.

Obtaining the relevant information to enable the development of the WQMPAS is an
iterative process.   First, an in-depth understanding of the scope and range of
responsibilities and activity areas must be obtained by scrutiny of records and
documents. A total of thirty documents were reviewed and key responsibilities and

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activities were identified. The document review focussed exclusively on performance
areas. Care was taken to be as inclusive as possible. Appendix A provides a summary
of the results of the document analysis. On the basis of the knowledge obtained from a
thorough document analysis, structured in-depth interviews were held with eighteen
designated DWAF personnel.
The preliminary investigation concentrated on obtaining relevant information from Head
Office personnel. Three Regional Offices were selected for inclusion, namely Gauteng,
KwaZulu-Natal and Western Cape. The information obtained during the interviews was
then collated and combined with information and insights gained from the document
review.
The above-mentioned information allowed the consultants to formulate a meta level
understanding of the responsibilities and activities of the WQM function. From this
understanding it was possible to create a logic framework to guide the design of a
framework for monitoring and evaluation.
The framework based on the logic model sets out (in a preliminary manner) the key
performance areas, associated indicators and monitoring and control steps
(assessment). Refer to Appendix B.
Performance areas identified in the documents and interviews include:
                    HEAD OFFICE                                                 REGIONAL OFFICES
Planning and Development                                       Planning and Development
   Policies                                                      Involved in inputs as required
   Strategies
   Procedures
   Guidelines
   Methodologies
   Regulations
   Criteria and objectives
Capacity Building                                              Capacity Building
   Training                                                      Training
   Liaison with stakeholders                                     Involvement of public in participatory processes
   Liaison with other line departments                           Liaison with stakeholders
   Water Quality Staff satisfaction                              Water Quality Staff satisfaction
Operate /technical specialist input                            Operate /technical specialist input
   Provide support                                               Operational systems
   Development of information systems.                           Reduce and prevent degradation of water
   Involved in assessment of water resource quality               resources.
    including flow pattern, timing, water quality, habitat        Meet water quality user requirements.
    and aquatic biota.                                            Involved in assessment of water resource quality
                                                                   including flow pattern, timing, water quality, habitat
                                                                   and aquatic biota.
                                                                  Abandoned mines (remediation).
Control and authorisations                                     Control and authorisations
 Consider licenses                                               Licenses
 Consider authorisations                                         Authorisations
                                                                  All water quality related use must be licensed.
Assessment                                                     Assessment
   Assessment system                                             Monitoring
   Establishment of a national water monitoring                  Provide input in establishment of a national water
    system for quality, use of water resources,                    monitoring system for quality, use of water
    rehabilitation of water resources and compliance               resources, rehabilitation of water resources, and
    with resource quality objectives.                              compliance with resource quality objectives.
   Improved efficiency and effectiveness of water                Improved efficiency and effectiveness of water
    quality management.                                           quality management.


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Note: Sentences in italic style refer to areas identified during document analysis.
Sentences in normal font represent performance areas from interviews.
4.4       Areas of concern
During the interviews interviewees mentioned some areas of concern. The concerns
were prompted by questions regarding the extent to which the WQM function will be able
to achieve its objectives. The interviewees regard the areas listed as impediments to the
effective and efficient carrying out of mandated tasks. Areas of concern include:
 Lack of policies on the new Act.
 Attrition of skilled personnel.
 Lack of detailed information on catchments.
 Skilled water quality management personnel are in short supply.
 Different regional offices have different practices.
 Regional offices at divergent levels in terms of capacity and development.
 Success in enforcing permits, currently no compliance assessments done.
 Lack of resources for proper implementation of NWA.
 Management in terms of RQO’s not yet in place.
 Inadequate information systems in place.
 Public participation processes not fully specified.
 Few successful prosecutions.
 Large variance in current application and understanding of policies, criteria and
    guidelines.
 Permits issued after the fact or not at all.
 Lack of support for recording data.
5.        LOGIC FRAMEWORK
5.1       Context

This section explains the interpretations that have been placed on the information and
findings gathered by the document review and by comprehensive interviews with key
managers.
The task of the consultants is (a) to determine the key performance areas (in other
words, to describe the main business of WQM) and, (b) to establish a system whereby
DWAF can determine whether WQM is achieving its intended results. The latter aspect
involves as a first step, an analysis of the effectiveness of WQM. In essence,
“effectiveness” can be defined as “doing the right things correctly”.

Effectiveness is determined by analysing the extent to which WQM planned
achievements in key result areas met expectations in terms of:
     The conditions, needs or problems concerned;

       Established performance targets;

       Past organisational performance; and

         Whether WQM is meeting its own prescribed standards (as found in policy,
          guidelines etc.)

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To understand the links between key performance areas and desired outcomes (impacts
or effects) it is useful to employ a logic framework.

A logic framework depicting WQM business has been developed and is discussed in
section 5.2. At the outset it must be noted that the desired outcome of this exercise,
namely a Performance Assessment System for WQM can never be an add-on to the
organisation. Rather it must feature as an integral part of WQM’s overall management
system. The design of a performance assessment system is an ongoing and interactive
process.      The structure, responsibilities, practices, processes and resources for
implementing WQM policies, objectives and targets should be co-ordinated with existing
efforts in other areas (e.g. operations, finance etc.).

A depiction of a performance management system model is provided below for
reference.

Figure 3: Performance Management System Model




                                        Continual improvement




                                                           Commitment and policy
                                                        (Water quality policy)
               Review and improvement
                (Management review)


                                                                   Planning



                                                                Implementation
               Measurement and evaluation
                                                             (Implementation
           (Checking and corrective                           and operation)
                      action)




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The management system model illustrates how performance management ensures continual
improvement in outcomes. The shaded area (Measurement and evaluation) is where the
performance assessment system fits in. Measuring, monitoring and evaluating are key activities
of a performance system to ensure that the Directorate WQM, Regional Offices’ WQM
components and the Institute for Water Quality Studies to some degree are performing in
accordance with the DWAF’s WQM mission.

5.2     The logic of the WQM business
                     Figure 4: Logic Framework of WQM Business




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5.2.1 WQM objectives

The mission statement of WQM embodies its overall objectives, namely “to ensure the
integrated sustainable management of the water quality of the water resources of South
Africa”. This is the task that WQM is mandated to perform.

5.2.2 Core Activities (Implementation)

Core activities are derived from main objectives. The main objectives of the WQM
function are:
        plan and develop point-source, diffuse source, remediation and resource
          directed integrated water quality management policies, strategies, procedures,
          guidelines, methodologies, regulations and criteria;
        build capacity;
        provide specialist technical and strategic support;
        consider authorisations;
        monitor and audit the implementation of the set policy;
        manage WQM related information;
        promote transparent decision taking through Co-operative Governance and
          participative management;
        ensure the integrated sustainable management of the water quality of the
          water resources of South Africa through the application of Source Directed
          Controls (SDC’s) and Resource Directed Measures (RDM’s); and
        ensure fitness for use of South Africa’s surface water, groundwater and
          estuarine waters for all user sectors, which include: Agriculture; Domestic;
          Industry; Recreation; as well as Aquatic Ecosystems.

5.2.3 Outputs

Outputs are the distinctive discernible products of resources having been devoted to core
activities. Outputs are not the end results, which are outcomes or impacts or effects, but
outputs are rather those entities produced which enable outcomes to occur.
The outputs of the core activities (key performance areas) are set out in the third level of
the logic framework.
5.2.4 Immediate Impacts
When outputs are produced it is useful to consider that there are different levels of
impact. Some results occur immediately. Other impacts and effects can only occur with
the passage of time. When designing an overall performance assessment system it can
be useful to distinguish three levels of impacts: immediate, intermediate and ultimate.
Immediate impacts are those that occur directly as a result of output having been
produced.
5.2.5 Intermediate Impacts
Intermediate impacts occur over time and are usually enabled by immediate impacts. In
the case of the core activity area of policy it would refer to the ability to take appropriate
and relevant actions guided by policy.

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5.2.6 Ultimate Impacts
The ultimate desired impacts of the WQM function in the Department of Water Affairs and
Forestry must embody the mission statement. Thus, following the logic framework, the
mission is really the alpha and omega. It is the end to which all the means at the
disposal of the DWAF must work.
Monitoring and evaluating the extent to which the Directorate and the Regional Offices in
terms of the WQM components are able to perform its mission is thus the main objective
of the performance assessment system.
5.3      Performance Assessment of Regional Offices
The central questions are:
 How do the Regional Offices contribute to the performance of the Department’s WQM
   function?
 How can the Head Office’s Directorate WQM evaluate and ensure regional
   performance?
 How can the Head Office’s Directorate WQM ensure that it provides relevant support
   to the Regional Offices?

The logic framework, although drawn up from the Head Office perspective, provides a
logical basis to begin to answer the above questions.

Although the core activities differ slightly – policy development being of much lesser
priority for the Regional Offices – the logic of progressing from objectives to core
activities to outputs to immediate, intermediate and ultimate impacts or effects remains
the same.
The key distinction is that there are different levels of performance. Firstly, the Regional
Offices have a duty to monitor and sometimes test water use data provided by others.
Secondly, the Regional Offices report these data centrally. Thirdly, Head Office has the
duty to assess the Regional Offices and to hold them accountable to performance
standards in these areas.
The previous sections set out the context and the logic for a Performance Assessment
System for WQM.
The relevant inputs of some managers and stakeholders were obtained by way of a
workshop. The results of the workshop are attached as Appendix C.
5.4      Issues to be considered in assessing accountability and responsibility
     What are the responsibilities and accountability of personnel who manage, perform
      and verify work affecting water quality, and are these defined and documented?
     How do the responsible and accountable personnel:
          Obtain sufficient training, resources and personnel for implementation?
          Initiate action to ensure compliance with water quality policy?
          Anticipate, identify and record any water quality problem?
          Initiate, recommend, or provide solutions to those problems?
          Verify the implementation of such solutions?

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         Control further activities until any water quality deficiency or unsatisfactory
          condition has been corrected?
         Obtain appropriate training to act in emergency situations?
         Gain an understanding of the consequences of non-compliance?
         Gain an understanding of the accountability that applies to them?
         Encourage voluntary action and initiative?
5.5     Framework for monitoring and evaluation
A framework for monitoring and evaluation based on the logic model discussed above
and informed by the document review and interviews was developed.
This preliminary framework sets out in tabular form the key performance areas of the
WQM function. Possible indicators for the measurement of performance in these areas
are listed. In addition sources of information are identified. Finally, standard assessment
and monitoring methods are described.
It is stressed that the framework is at a preliminary stage. It would need to be simplified
and adjusted following the iterations and inputs of all stakeholders. In addition cost
implications have to be evaluated and considered.
The framework is attached as Appendix B.
6.      CONCLUSION
With the acceptance of this report, Phase I of the project is concluded. The preliminary
framework for a WQMPAS as delineated in this report provides the background and
basis for the further development and implementation of the WQMPAS in phases II and
III.
6.1     Limitations
The consultants have approached this project from the onset recognising that capacity
and resource constraints within the DWAF would necessitate the design of a basic
WQMPAS. The aim is getting a basic performance assessment system up and running
that could be added to incrementally over time should adequate resources become
available.

Regrettably, only limited input was received from the Regional Offices after submission of
the draft report. Some input was given by staff from the Regional Offices during the
workshop. However, the key performance areas need to be critically assessed and
challenged by future users of the WQMPAS.

Big challenges for the next phase of the project will be the further refinement and
prioritisation of KPA’s and the selection of appropriate associated KPI’s that will be key to
a successful WQMPAS.

7.      WAY FORWARD

This concludes Phase I of the project. A proposal for the continuance of Phase II and III
was also developed separate from this document. During Phase II the framework will be


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Sub-Series MS5.1                                                                         Edition 1

refined and a detailed assessment program developed.          During Phase III an
implementation plan will be completed and implementation will commence. The
anticipated time for completion of the assessment program and implementation plan is
estimated to take sixteen months to deliver.

The continued improvement of the WQMPAS is considered to be very important and will
receive the necessary attention.

               The specific objectives for phase II and III of the project are set out below.

Phase II

   Refine the framework for the WQMPAS developed during phase I by ensuring that it
    reflects appropriate key performance areas, associated performance indicators,
    methods and parameters for the collection of performance information not currently
    held in DWAF’s information management systems.
   Develop a detailed audit program for Head Office, Regional Offices and Catchment
    Management Agencies, including
            - Detailed steps for each performance indicator identified.
            - The source to be used for audit purposes.
            - Sample sizes.
            - Frequency of audits.
            - Responsible people with reference to any special skills required.

   Exploration of information systems and management information.
   Hold a workshop to familiarise users with PAS.

Phase III

   Run tests of available performance information.
   Adjust PAS with reference to test results.
   Pilot feasibility testing of audit steps.
   Refine PAS with reference to pilot results.
   Compile an implementation plan.
   Capacity building and training of WQMPAS manager




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                                APPENDIX A


                   Summary of results of document analysis




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WATER QUALITY MANAGEMENT PERFORMANCE ASSESSMENT SYSTEM
Possible areas for assessing performance identified through document analysis



                        Performance area                            Source1


      NWA, White paper on National water policy & Bill of
      Rights and others


      Everyone has the right to an environment not harmful to   12 (Bill of rights)
      their health or wellbeing


      Everyone has the right to have the environment            12 (Bill of rights)
      protected for the benefit of present and future
      generations through reasonable and other
       measure
      - prevent pollution & ecological degradation
      - promote conservation
      - secure ecologically sustainable development and
          use of natural resource while promoting justifiable
          economic and social development


      Everyone has the right to sufficient water ((Quality &    12 (Bill of rights)
      quantity)


      Sustainability and equity are guiding principles                  10




      Non-wqm: meeting basic human needs, present & future              10




           Non-wqm: promoting equitable access to water               10,11




      Non-wqm: everybody must pay (only a third currently               11
      pays non-payer e.g. afforestation, dryland users and
      disposal of waste




_________________________________
1
Sources are listed at the end of the table



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                         Performance area                            Source


      Non-wqm: redressing the results of past racial and gender         10
      discrimination


      Non-wqm: promoting efficient, sustainable and beneficial          10
      use of water in public interest


      Non-wqm: water conservation may be a better investment            11
      than new dams


      Facilitate social & economic development                          10




      Non-wqm: Providing for the growing demand for water use           10




      Protecting aquatic ecosystems and their biological                10
      diversity


      Reducing & preventing pollution and degradation of water          10
      resources


      Must classify water resources and resource quality             10 sec 13
      objectives


      Pollution prevention responsibility of owner, user, occupier      10
      of land. If not CMA must take responsibility


      Emergency incidents, remedying rests with person                  10
      responsible for emergency , otherwise CMA’s
      responsibility




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                        Performance area                           Source



      All water use must be licensed unless listed in Schedule       10
      I, is an existing lawful use, is permissible under general
      authorisation or responsible
      authority waives need for licensing.


      Non-wqm: meeting international obligations                     10


      Non-wqm: promoting dam safety                                  10


      Non-wqm: managing floods & droughts                            10


      Establish suitable institutions with appropriate               10
      community, racial & gender representation


      Non-wqm: establish a national water monitoring system          10
      for quantity, quality, use of water resources, rehab of
      water resources, compliance with resource quality
      objectives, the health of aquatic ecosystems and
      atmospheric conditions which may influence water
      conditions


      To improve the efficiency and effectiveness in managing        16
      water quality


      To streamline the regulatory system and to clarify its         16
      responsibilities in relation to both those of other
      regulating authorities and of those who contribute to
      water pollution


      To enhance public confidence in managing water quality         16
      by making it accessible, easy to understand and simple
      to operate


      To ensure the regulatory system is receptive to changing       16
      technology, to environmental impacts and to prevailing
      socio-political trends




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                        Performance area                        Source


      To assess the financial implications of water quality       16
      management not only for effluent producers but for the
      national economy


      Head Office


      Develop policies and strategies for WQM in all main       2 (10)
      areas (establish national water strategy)


      Assessment and control regional implementation of           2
      policies and strategies


      Training of departmental water quality managers             2


      Ministerial Investigations                                  2


      Approvals, authorisations, licences or permits to Water     2
      Act, Environmental Conservation Act and Mineral Act


      Permit system to control effluent standards exceeding a     2
      minimum standard


      Management Systems
      Head office


      Develop policy,        regulations, procedures and          2
      guidelines on           industries  and   catchment
      management




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                            Performance area                   Source


      Ensure that industrial and ICM research take place         2


      Develop technical expertise to provide regions and the     2
      Directorate to ensure ICM executed


      Develop integrated computerised data management            2
      system


      Ensure the implementation of policy                        2
       Training for officers in water quality management
       Training with regard to ICM
       Ensure implementation of National Water Act
       Ensure computer management and support systems
         are being used by regions and provide training for
         this
       Support the regions with catchment management
         plans/studies/projects


      Assessment of implementation of policies and               2
      compliance of industries and the performance of water
      quality management function


      Regional Offices/CMA’s


      Meet user requirements and establish a forum to           2,4
      address water quality issues


      Staff satisfaction                                         5


      Client satisfaction                                        5


      Routine inspections local authority and government         3
      institutions




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                        Performance area                        Source


      Handle pollution incidents                                  3


      Reduce faecal pollution impact upon rivers                  4


      Link with catchment management                              4


      Acceptable river flow monitoring                            5


      Dam safety inspections                                      5


      Improvement in water quality                                5


      Ground Water monitoring                                     6
       Minimise at source the impact of development on
         ground water
       Manage impacts to ensure fitness for use
       Restore groundwater quality
       Group according to importance and vulnerability and
         where it is the only source of water for communities


      Regulatory controls focussing on:                           6
       Water abstraction and dewatering
       Disturbance and damage to aquifers
       Waste disposal from urban, commercial, farming
         industrial and mining sectors
       Diffuse sources of pollution associated with urban
         and rural development specifically around boreholes
       Underground storage tanks




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                          Performance area                    Source


      Permit, exemption and EMP local authority, sect 12B,      3
      EMP’s and abattoir


      Industrial Sector


      Regional Offices/CMA’s


      Assessment monitoring – industries                        3


      Permit, exemption and EMP                                 3


      Point source discharge                                    4


      Management of effluent disposal from industrial sites     5


      Routine inspections                                       3


      Waste Management
      Head Office


      Develop policies and strategies, procedures and           2
      standards on waste management


      Approval of hazardous waste site permits                  2


      Draft legislation and law enforcement                     2




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                          Performance area                      Source


      Regulatory approach prescribing best practice standards     2
      for prevention of water pollution


      Capacity Building                                           2


      Development and maintenance of waste management             2
      information systems


      Formulate public participation processes                    2


      Training                                                    2


      Assessment Committees set up in consultation with           9
      Department


      Assessments – 12 month intervals for small sites, 6 for     9
      medium, 3 for large sites and monthly for hazardous
      waste
      Assessment programme should include:
       Checklist of items to be assessed
       Report on findings
       Record of performance – also to be submitted to
         responsible person and IAP’s.


         Keep record of complaints received and addressed         9


        Planning and design of water pollution control works      2


      Construction of water pollution control works               2


      Effluent reuse                                              2




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                        Performance area                         Source


      Treatment                                                    2


      Discharge                                                    2


      Waste Management
      Regional Offices


      Assessment waste disposal facilities                         2


      Issue waste disposal site permits/waste management          2,4,6
      permits for general and hazardous waste


      Assessment monitoring sewage works                           3


      Permit, exemption and Environmental Management               3
      Programme (EMP)


      Point source discharge                                       4


      Disposal of low hazardous waste function                     4


      Management of effluent disposal from municipal sites         5


      Liaison with authorities to upgrade sanitation treatment     5
      works


      Steps for the design of a monitoring (could include site
      inspections, assessments, data collection, sampling,
      analysis and interpretation) system:




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Sub-Series MS5.1                                                        Edition 1




                        Performance area                     Source


         Obtain information on disposal practices volumes    6,9
          and types of waste
         Obtain available information and sample surface
          and groundwater for chemical analyses
         Perform a risk assessment, level of impact and
          monitoring facilities required
         Perform geophysical investigations
         Drill boreholes
         Perform water sampling from holes
         Enter data into computerised database
         Present to client
         Include information in application for permit
         Train on-site personnel in use of database


      Rank aquifers and consider for waste disposal            6


      Routine inspections


      Early warning monitoring systems


      Minimum monitoring requirements at various types of      6
      waste management facilities


      Indicator analysis until undesirable trends are          6
      uncovered


      Regional monitoring systems                              6


      Monitoring as requirement for Environmental Impact       6
      assessment




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Sub-Series MS5.1                                                          Edition 1




                        Performance area                       Source


      Update of information system – Software Waste             3,6
      Manager/plot or update line graphs and tabulate
      information according to examples from Department



      Six monthly reporting or at frequency prescribed by        6
      waste disposal permit


      General Waste

      Dealt with regional offices


      Landfills divided between communal, small, medium and      9
      large.


      Classified in terms of potential to generate leachate      9


      Two external assessments a year                            9


      Hazardous Waste


      Deal with Director of Water Quality Management – Head     1,9
      Office

         Common sense assessment
         Information based assessment
         In-depth assessment

      Research and development based assessment

      Report on site sent to Department on a quarterly basis     9


      Two external assessments a year                            9




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Sub-Series MS5.1                                                                Edition 1




                         Performance area                            Source


      Maintain records of any impact caused by landfilling             9
      operation on the quality of the water regime


      Landfills                                                        9

      Water Quality Monitoring Plan


      Site selection                                                   1


      For all new sites and first time monitoring at existing         6,9
      sites a comprehensive analysis is
      required

         Site feasibility and end-user requirements – DWAF
          confirmation of feasibility. Landfill site investigation
          to provide pre-disposal background water quality
          data. Landfill site report submitted to DWAF and
          results of IAP’s and Site Feasibility report.
         Geohydrological Investigation
         Environmental Impact Assessment
         Site design. Water quality data expanded to
          address other facets of water monitoring
         Operating plan. Water quality monitoring continues
          throughout operation
         Monitoring plan
         Permit application report and form
         Site visit
         Input into waste disposal site registration system
         Notify applicant




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Sub-Series MS5.1                                                          Edition 1




                         Performance area                      Source


      Prepare landfill site – DWAF approval                      9


      Control system/monitoring during operation,                9
      rehabilitation and closure. Gas monitoring and water
      quality monitoring

         Surface water monitoring - Upstream and
          downstream
         Ground water monitoring
         Minimum requirements


      Issue of permits only if minimum requirements are met     4,9


      Unpermitted landfills classified and assessed in           9
      consultation with DWAF


      Landfill monitoring committee                              9


      Water monitoring up to 30 years after                      1
      closure

      Programme on waste disposal within the framework of        5
      the National Waste Management Strategy


      Closed landfills                                           1

         Permit holder apply one year before event              8
         Landfill process
                                                                 8

      Written acceptance of closure design and report issued     9
      by Department


      Inspection by responsible person and Department            9




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Sub-Series MS5.1                                                          Edition 1




                          Performance area                     Source


      Closure and implementation of end-use plan assessed        9
      at final inspection attended by relevant state
      departments and monitoring committee


      Ongoing inspections and maintenance after site closure     9


      Post-closure water quality monitoring 6-12 months          9
      interval


                           Larger landfills                      1


      Landfills that produce leachate through ground             1
      water



      Mines


      Head Office

                                                                 2
      Evaluate training


      Evaluation of EMP’s                                        2


      Evaluation of discharge permit applications                2


      River diversion permit application                         2


      Mine closure applications                                  2




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Sub-Series MS5.1                                                              Edition 1




                        Performance area                           Source

      Regional Offices


      Routine inspections                                            3


      Manage impact                                                  3



      Address point pollution sources                                5



      Water pollution control measures at abandoned                 2,4
      mines


      Urban Development and Agriculture

      Head Office

      Strategy to manage pollution                                   2


      Strategy to address pollution from the agricultural sector     2


      Policy on underground petroleum reservoir tanks                2


      Document on classification of aquifers                         2


      Guidelines for planners for ground water protection            2


      Training of regional personnel to use software for the         2
      registration of water care works and operators


      Ensure implementation of policy                                2




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Sub-Series MS5.1                                                              Edition 1




                         Performance area                          Source


      Assessment of water quality management in South                2
      Africa


      Catchment management plans                                     2


      Catchment management projects                                  2


      DWAF must influence the planning and siting by actively        17
      participating in formulating land development objectives


      Set standards for levels of service                            17


      Delegation of responsibility for the registration of water     2
      care works and operators


      Regional Offices

      Raising awareness in dense settlements communities to          17
      maintain services


      Allow development of settlement management agencies            17


      Co-operative governance and community participation            17


      Financially viable and sustainable                             17


      Characterise ito physical, environmental, socio-               17
      economic and institutional status




Final Report                                         - 42 -                 June 2000
Sub-Series MS5.1                                                           Edition 1




                        Performance area                        Source


      Catchment Management


      Head Office


      Develop catchment management plans and                    2,7,14
      strategies
         Declare CM areas
         Classify water resource
         Determine the reserve
         Set resource quality objectives
         Develop water allocation plan

      Should represent a programme, responsibilities,
      guidelines and procedures for implementation and
      programme of actions in the declared CM areas


      Establish the department as a credible body, addressing     14
      and understanding the needs of the people


      Formulate a coherent national CM policy                     7


      Initiate CM at the catchment level                          7


      Promote and link integrated water resource                  7
      management at national and catchment levels


      Formulate a programme of action                             7


      Implement regional transformation                           7


      Build capacity in regional CM staff                        7,14




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Sub-Series MS5.1                                                               Edition 1




                        Performance area                            Source


      Define budget responsibilities                                  7


      Evaluate CM budget needs of directorates                        7


      Specify CM Financing mechanisms                                 7


      Develop CM guidelines and procedures                           7,14


      Develop CM information and Decision support system             7,14


      Development of HR and capacity building through                 14
      training e.g. in-house (water quality skills), departmental
      e.g. negotiation and communication


      Conduct CM training awareness programmes                       7,14


      Establish Pilot CM Area Administrative Arrangements             7


      Initiate pilot CM process                                       7


      Water resource classification system                            7


      Reserve WR objectives and allocation plans                      7


      Receiving water quality objectives                              2


      Approval of effluent discharge permits                          2




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Sub-Series MS5.1                                                             Edition 1




                       Performance area                         Source

      Formulate a programme of action for regional offices         7


      Resolve issues concerning DWAF regional offices              7


      Assessment the implementation of CM                        7,14


      DWAF’s role in statutory CM                                  7


      Initiate and guide and promote research


      Regional Offices


      Perform catchment management functions with                  7
      consensual participation by representative forums


      Every catchment management agency to progressively          10
      develop a catchment strategy for water resources within
      its water management area. – must be reviewed at
      intervals of not more than 5 years                        10 sec 8


      Operate as CMA                                               7
       Highlight CM functions being performed in regional
         offices
       Identify regional office personnel performing CM
         functions
       Regional office budgets and spending to be
         separated between CM functions and other
         functions
       Regional director to act as CMA chief executive
         officer




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Sub-Series MS5.1                                                           Edition 1




                         Performance area                       Source


      Site analysis                                               2


      Water quality management plans                              2


      Assessment monitoring - river and industries                3


      All data put on Polmon                                      3


      Non compliance reported to permit holder                    3


      Report back twice a year                                    3


      River monitoring                                            3


      Integrated catchment management on river systems            5


      Implement of all infrastructural and planning projects      14
      involving public at regional level and to create the
      required forums for consultation with regard to these
      projects.


      That h/o reorganises itself to support the regions with     14
      those functions which it normally would have undertaken
      bulk demand satisfaction, catchment level supply and
      quality planning and permitting


      Determine the water quality requirements of users           14




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Sub-Series MS5.1                                                                  Edition 1




                        Performance area                         Source


      Assessment of water quality monitoring system of users       14



      Determination and characterisation of sources of water       14
      pollution


      Evaluation of the water quality                              14


      Assessment of legal, institutional and managerial            14
      effective management of water quality


List of sources

1.  Waste Management and the Minimum Requirements First Edition 1998
2.  Water Quality Management: Directorate Business plan 97/98
3.  Water Quality Management Free State Region
4.  Water Quality Management KwaZulu Natal
5.  Water Quality Management Mpumalanga
6.  Minimum requirements for water monitoring at waste management facilities
7.  Strategic Plan for DWAF for the implementation of Catchment Management in South
       Africa
8. Minimum Requirements for the handling classification and disposal of hazardous
       waste
9. Minimum requirements for disposal by landfill
10. National Water Act (Act No 36 of 1998)
11. White paper on a national water policy for South Africa
12. Legal tools WQM orientation course
13. Operational guideline for control over the alteration in the course of a public stream
14. Catchment management issues WQM orientation course
15. Operational guideline for control over the alteration in the course of a public stream
16. Water quality management policies and strategies in the RSA
17. Draft strategy for managing the water quality effects of dense settlements



Additional Information

Number of complaints received and followed-up.
Link of budget to different activities



Final Report                                      - 47 -                        June 2000
Sub-Series MS5.1                                               Edition 1




                                APPENDIX B


                   Framework for monitoring and evaluation




Final Report                        - 48 -                   June 2000
Sub-Series MS5.1                                                                                                                                       Edition 1




    Key Performance Areas                   Perfor-                                                    How measured/monitored   Assessment Method
                                            mance
                                            Indicators
Policy Processes (policies, strategies,     Yes          No   Target Date   Responsibility/
procedures, guidelines, methodologies)                                      Authorisation
DEVELOPMENT                                                                                            Formal minute meetings   Verify existence and evaluate
                                                                                                       Drafts                   completeness and compliance
     National Water Resources
      Strategy                                                                                         Progress reports         with legislation
     Catchment Management Strategy
                                            Yes                                 Urban Development &                            Assessment communication
     Economic sector: Agriculture
                                            Yes                                  Agriculture                                    evidence i.e. Meetings, minutes
     Economic sector: Industry             Yes                                 Industries
     Economic sector: Mining               Yes                                 Mines
     Economic sector: Waste disposal
                                                                                Urban Development &
     Water use: Taking water from a        Yes                                  Agriculture
      water resource [S.21(a)]
                                                                                Waste Management
     Water use: Storing water [S.21(b)]                 No                     None
     Water use: Impeding or diverting
      the flow of water in a watercourse                 No                     None
      [S.21(c)]
     Water use: Steam flow reduction                    No
                                                                                Mines
      activities [s.21(d)]
     Water use: Controlled activities                   No
                                                                                None
      [S.21(e)]
     Water use: Discharging of water                    No
                                                                                All
      [S.21(f)]
     Water use: Disposing of water                      No
                                                                                All
      [S.21(g)]
     Water use: Disposing of water
      containing waste, that has been
      heated, from any industrial process   Yes
                                                                                Waste management
      [S.21(h)]
     Water use: Altering the bed, banks,                No
                                                                                All
      course or characteristics of a
      watercourse [S.21(l)]
     Water use:
      Removing/discharging/disposing of                  No
                                                                                Mines
      water found underground [s.21(l)]
     Water use: Recreational purposes                   No
                                                                                Mines
      [s.21(k)]
     Resource Directed Measures:                        No
                                                                                None
      Classification




    Final Report                       -                                               49 -                                                        June 2000
Sub-Series MS5.1                                                                                                                                         Edition 1




Key Performance Areas                       Performance                                                     How measured/monitored   Assessment Method
                                            Indicators
Policy Processes (policies, strategies,     Yes           No   Target Date   Responsibility/Authorisation
procedures, guidelines, methodologies)
    Resource Directed Measures:                          No                 All
     RQOs
    Water use: sector: Agricultural                      No                 All
    Water user sector: Domestic                          No                 All
    Water user sector: Industrial                        No                 All
    Water user sector: Recreation                        No                 All
    Water user sector: Aquatic                           No                 All
     ecosystem
    Consideration for licensing:                         No                 None
     Existing lawful water uses [S.27(a)]
    Consideration for licensing: Equity
                                                          No                 None
     [S.27(c)]
    Consideration for licensing: Socio-
                                                          No                 All
     Economic impact [S.27(d)]
    Consideration for licensing: CM
     strategy [S.27(f)]                                   No                 All
    Consideration for licensing: Impact
     [S.27(f)]
    Consideration for licensing: Class     Yes                              All
     and RQOs [S.27(g)]
    Consideration for licensing:                         No                 All
     Current investments [S.27(h)]
    Consideration for licensing:                         No                 None
     Strategic importance [S.27(l)]
    Consideration for licensing:                         No                 All
     Reserve/Int. Obligations [S.27(j)]
    Consideration for licensing:                         No                 All
     Duration of authorization [S.27(k)]
    Diffuse source management                            No                 None
    Application of the precautionary
     principle
    Pollution prevention                                 No                 All
    Waste minimisation                     Yes                              All
    Cleaner technology
    Water quality friendly products                      No                 All
                                                          No                 All
                                                          No                 All
                                                          No                 All




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Sub-Series MS5.1                                                                                                                                       Edition 1




Key Performance Areas                     Performance                                                     How measured/monitored   Assessment Method
                                          Indicators
Policy Processes (policies, strategies,   Yes           No   Target Date   Responsibility/Authorisation
procedures, guidelines, methodologies)
    Best Practice Guidelines                           No                 All
    Recycling                                          No                 All
    Risk Assessment                      Yes
    General WQM framework policy                       No                 All
    Marine WQM                                         No                 Management Systems
    Emergency incidents                                No                 All
    Rehabilitation policy                              No                 All
                                                        No                 All
    Information Management
    Water Service Development Plans
                                          Yes                              All
    Pricing Strategy/Waste discharge
     charges                                            No                 All
    Procedures to assess effluent
     discharges (Orange Book)             Yes                              All




  Final Report                       -                                             51 -                                                           June 2000
Sub-Series MS5.1                                                                                                                                               Edition 1




Key Performance Areas                         Performance                                   How                      Assessment Method
                                              Indicators                                    measured/monitored
Policy Processes (policies, strategies,       Yes           No   Target   Responsibility/
procedures, guidelines,                                          Date     Authorisation
methodologies)
IMPLEMENTATION AND
MAINTENANCE
     Economic sector: Agriculture
                                                                                               Formal minute           Evaluate completeness and compliance with
     Economic sector: Industry                                                                 meetings                 mandate
     Economic sector: Mining
                                                                                               Changes and             Assessment communication evidence i.e. Meeting,
     Economic sector: Urban                                                                    updates                  minutes
      development
                                                                                               Quarterly report-       Follow-up of regional concerns
     Economic sector: Waste                                                                    backs from regions      Assessment regional compliance to policies
      disposal
                                                                                                                        Assessment regions compliance to NWA
     Water use: Storing water
      [S.21(b)]
     Water use: Impeding or diverting
      the flow of water in a
      watercourse [S.21(c)]
     Water use: Steam flow reduction
      activities [S.21(d)]
     Water use: Controlled activities
      [S21(e)]
     Water use: Discharging of water
      [S.21(f)]
     Water use: Disposing of water
      [S.21(g)]
     Water use: Disposing of water
      containing waste, that has been
      heated, from any industrial
      process [S.21(h)]
     Water use: Altering the bed,
      banks, course or characteristics
      of a watercourse [S.21(l)]
     Water use:
      Removing/discharging/disposing
      of water found underground
      [S.21(l)]
     Water use: Recreational
      purposes [S.21(k)]




    Final Report                          -                                            52 -                                                                June 2000
Sub-Series MS5.1                                                                                                                                           Edition 1




Key Performance Areas                         Performance                                                     How measured/monitored   Assessment Method
                                              Indicators
Policy Processes (policies, strategies,       Yes           No   Target Date   Responsibility/Authorisation
procedures, guidelines,
methodologies)
    Resources directed Measures:
     Classification
    Resources directed Measures:
     Reserve
    Resources directed Measures:
     RQOs
    Water use sector: Agricultural
    Water user sector: Domestic
    Water user sector: Industrial
    Water user sector: Recreation
    Water user sector: Aquatic
     ecosystem
    Consideration for licensing:
     Existing lawful water uses
     [S.27(a)]
    Consideration for licensing:
     Equity [S.27(b)]
    Consideration for licensing:
     Beneficial use [S.27(c)]
    Consideration for licensing:
     Socio-Economic impact
     [S.27(d)]
    Consideration for licensing: CM
     strategy [S.27(e)]
    Consideration for licensing:
     Impact [S.27(f)]
    Consideration for licensing:
     Class and RQOs [S.27(g)]
    Consideration for licensing:
     Current investments [S.27(h)]
    Consideration for Licensing:
     Strategic importance [S.27(l)]
    Consideration for licensing:
     Reserve/Int. Obligation[S.27(j)]
    Consideration for licensing:
     Duration of authorisation
     [S.27(k)]
    Diffuse source management
    Application of the precautionary




  Final Report                            -                                            53 -                                                           June 2000
Sub-Series MS5.1                                                                                                                                           Edition 1




    principle
   Pollution prevention
Key Performance Areas                         Performance                                                     How measured/monitored   Assessment Method
                                              Indicators
Policy Processes (policies, strategies,       Yes           No   Target Date   Responsibility/Authorisation
procedures, guidelines,
methodologies)
    Waste minimisation
    Cleaner technology
    Water quality friendly products
    Best Practice Guidelines
    Recycling
    Risk Assessment
    General WQM framework policy
    Marine WQM
    Emergency incidents
    Rehabilitation policy
    Information Management
    Water Service Development
     Plans
    Pricing Strategy/Waste
     discharge charges
    Procedures to assess effluent
     discharges (Orange Book)




  Final Report                            -                                            54 -                                                           June 2000
Sub-Series MS5.1                                                                                                                                                        Edition 1




Key Performance Areas                         Performance                                                             How measured/monitored     Assessment Method
                                              Indicators
Policy Processes (policies, strategies,         Needs                         Training
procedures, guidelines,
                                               analysis                       Numbers
methodologies)

                                                                No                          Actual Training Numbers
                                              Yes                            Target Date
General WQM training                                                                                                  Course evaluation          Verify accuracy of numbers
                                                                                                                                                 trained
Economic Sector: Industry
                                                                                                                                                 Survey of course attendees
Economic Sector Agriculture

Economic Sector: Urban
development

Economic Sector: Waste Disposal

Transformational, e.g. towards
demand management/empowerment

Resource Directed Measures

Remediation Directed Measures

Use of information systems

Training and Capacity             Needs analysis            Strategies/             Responsibility                     How measured/monitored         Assessment method
Building                             Yes/No                 implementation
                                                            E.g.                                                       Actions vs planned         Verify appointments
                                                                Joint ventures
                                                                 with tertiary                                                                    Costs of recruitment
                                                                 institutions
                                                                Bursaries and                                                                    Attrition rate
                                                                 scholarships
Training and Capacity           Target % time OJT             Actual % time                                            How measured/monitored         Assessment method
Building                                                            OJT
Transitional on the job                                                                                                Timesheets
training
Training and Capacity             Staff Retention                                                                       How measured/Monitored        Assessment method
Building
                               Key personnel                Attrition rate          Replacement
                               identified
     Needs analysis                                                                                                   Personnel records and      Verifying accuracy
      (including equity                                                                                                statistics




    Final Report                          -                                                       55 -                                                             June 2000
Sub-Series MS5.1                                                                                                                                     Edition 1




    requirements)
 Key Performance Areas
    Policy Processes
  (policies, strategies,
 procedures, guidelines,
     methodologies)
    Gaps / Challenges


  Specialist Technical          Performance
       Support                   Indicators
                            # of meetings     # of forums   # of joint studies   # of presentations
                                                                                 to forums
Management systems                                                                                    Meetings minutes         Case studies of problems
                                                                                                      Quarterly reports from
Economic Sector:                                                                                      regions
Agriculture                                                                                           Forum minutes            Verify # of studies

Economic Sector: Industry

Economic Sector: Urban
development

Economic Sector: Water
disposal

Resource Directed
Measures

Remediation




  Final Report                    -                                          56 -                                                              June 2000
Sub-Series MS5.1




                        APPENDIX C

                       Workshop Inputs




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Sub-Series MS5.1




WORKSHOP ON WQMPAS – 9 MARCH 2000

Background

The Department of Water Affairs and Forestry’s Directorate Water Quality
Management (WQM) has initiated the development of a performance
assessment system and the establishment of a performance reporting system.
The project consists of three distinct phases. EPC was awarded the contract for
completion of the first phase. This document is an account of the proceedings of
a workshop held at the end of the first phase on 9 March 2000. WQM placed
great emphasis on receiving inputs and interactions from a whole array of role-
players.

Individuals invited to attend the workshop                    42
Being:
Representatives of regions                                    20
Outside interested parties                                     5
Representatives WQM Head office                                6
Representatives other Directorates                            11

Unfortunately only 21 delegates were able to attend. The workshop programme
is attached on annexure I and the attendance list is attached as annexure II.

S Manyaka, A Van Niekerk and M Roos presented the workshop. S van der
Westhuizen provided the background and context of the project and P Viljoen
described the way forward at the conclusion of the workshop.

Project in perspective

M Roos aimed to put the project in perspective and set the scene for the
delegates to participate. She emphasised that the Water Quality Management
Performance Assessment System (WQMPAS) was not an audit. The main
objective of an audit was described as the gathering of audit evidence to be able
to express an opinion on whether the financial information in the financial
statements are a fair reflection. To be able to do this, auditors normally test the
control systems or do detail testing on financial figures in the financial
statements.

The WQMPAS is an assessment system. The difference is that instead of having
an external party audit the financial information, management will be responsible
for managing their own performance. In terms of an assessment system
management will make representations on performance. Management will report
on their performance and the information they report on will be reviewed for
accuracy, completeness and validity. Actual results are compared to targets and




Final Report             -                                   58 -
Sub-Series MS5.1




variances explained. The WQMPAS should be a tool that management use to
manage their own performance.

Another very important feature of a performance assessment system (PAS) is
that it should not place significant additional administrative burdens on
employees. The benefits should outweigh the cost. In as far as possible current
systems should be used to generate the information necessary for the WQMPAS.

Objectives of the workshop

M Roos subsequently indicated that the objectives of the workshop were to refine
the framework for a WQMPAS that was developed to ensure it is:

   Comfortable in the sense that it responds to needs identified.

   Specific enough that information can be used to make decisions.

   Useful.

   Not cumbersome.

   Easy to use and understand.

Logic framework

Annalie van Niekerk of EPC presented the session that focussed on the logic
framework for WQMPAS.

The thinking behind the generic logic framework included in the workshop
documentation was explained. It was stressed that the initial version of the logic
framework represented the work of the consultants as informed by the analysis of
documents and information gained in interviews. It was explained that this
version would at best provide some “ribs” to support the envisioned PAS, but that
the main purpose of the workshop was to receive inputs from workshop
participants in order to transform the generic logic framework to one that would
illustrate more precisely the activities and responsibilities of WQM.

The derivation of the logic framework was explained as follows:

The overall objectives of WQM are encapsulated in the mission statement, To
ensure the integrated sustainable management of the water quality of the water
resources of South Africa.




Final Report             -                                    59 -
Sub-Series MS5.1



To achieve its mission, or overall objectives, WQM undertakes certain core
activities, or Key Performance Areas (KPA’s). Head office and the Regional
Offices share the responsibility of implementation of the mission through these
activities. The core activities identified in the logic framework are:
        1. Planning and policy
        2. Capacity building
        3. Provision of strategic technical support
        4. Operation of technical specialist input
        5. Control/authorisations
        6. Audit

The differential contribution of Head Office and the Regional Offices to the core
activities was illustrated in the provisional logic framework and explained to
workshop participants.

The outputs or measurable aspects stemming from the core activities were
delineated as follows:
       1. Policy
       2. Trained personnel and stakeholders
       3. Meetings, forums, joint studies, presentations, and reports
       4. Licenses and authorisations
       5. Operational systems (Polmon, CMS, WMS, WARMS)
       6. Audit system.

From the outputs or measurable aspects flow impacts. Impacts can occur
immediately or over time.

Outputs or measurable aspects were related to associated immediate impacts
and sketched in the logic framework. Similarly, intermediate impacts (that need
some time to pass before becoming visible or measurable) were identified.

Finally, the accounting for and reporting on impacts and effects or outcomes
associated with the business of WQM was shown to be a way to demonstrate the
achievement of the mission. This, it was explained, is what a PAS must achieve.
The PAS will allow any WQM manager to monitor and report on the extent
that the mission is being achieved. It can be used as a diagnostic tool that will
allow managers to make interventions or apply resources differently in order to
be more effective, efficient and relevant in the achievement of objectives.

                                                          Key performance areas

It was explained that while designing a PAS, the temptation to include too much
information for measuring and monitoring is almost irresistible. The axiom Less
is More was stressed. Experience has shown that any organisation (or part of an
organisation) should be able to confine its KPA’s to less than eight (as a rule of




Final Report            -                                    60 -
Sub-Series MS5.1



thumb). Participants were asked to critically assess the logic framework with this
advice in mind.

Key performance indicators

Key performance indicators were defined as things that could be observed or
counted that could provide a diagnostic sense of the extent that a key
performance area was being achieved efficiently and effectively. Participants
were once again warned against the temptation to include too many KPI’s in the
PAS. The phenomenon often observed in organisations to measure for the sake
of measuring and to lose track of why or to what purpose the measurement
occurs, was explained.

Criteria for KPI’s were specified. Satisfactory KPI’s are:I
         Few (choose one indicator as diagnostic of a specific objective)
         Occur over time (choose an indicator that can be monitored over time –
           avoid once-off events)
         Must be quantifiable
         You must be able to measure the indicator against a target or
           benchmark

Participants were then tasked with removing to three breakaway groups to
wrestle with defining pertinent KPA’s for WQM.

It was decided to have three breakaway groups allocating delegates with similar
interest, line functions and responsibilities together. Group I consisted of outside
interested parties and representatives of Directorates other than the Water
Quality Management Directorate. Group II consisted of representatives from the
regions and Group III of representatives from the Directorate Water Quality
Management at Head office.

Results of break-away groups

Each individual group identified the following KPA’s.

GROUP I (external)

People/behavior
 Partnerships
 Economic/social conditions
 Awareness

Conditions in aquatic environment/water resources
 Goals - objectives – actions




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Sub-Series MS5.1



Translation of legislation
 Strategies – guidelines – policy

Functioning – monitor – control
 Data – information – understanding – knowledge – decisions/control
 Information on users (social/ecological/ economy) and status of water
   resources

Authorisation
 relevance
 compliance

Strategies
 developed 1) need–objectives, plans and tools   2) priorities – actions,
   capacity, tasks
 implemented
 achieved

Capacity/training/innovation
 DWAF
 Users/impactors(communities)

Cooperation
 DWAF, government and stakeholders

GROUP II (regions)

Source directed measures
 Licenses (NB)
 Compliance monitoring(NB)
 Specialist structures
 Incident response
 WQMP’s
 Law enforcement
 Registration

Resource directed measures
 WQMP’s(NB)
 Water quality objectives
 Coordination (internal and external)
 Catchment studies
 Reserve determination and classification
 Specialist studies




Final Report           -                             62 -
Sub-Series MS5.1



Information management and audit
 Information systems in place

Institutional arrangements
 Catchment management forums (effective)(NB)
 Coordination (internal and external)
 Liaison

Corporate Services
 Financial management(NB)
 Administration
 Human Resource Management and Development
 Transformation

Policy
 Guidelines procedures and regulation

GROUP III

Quality of national water resource
 Water quality objectives
 Region sensitive/strategic areas – key areas and key indicators
KPI’s –       Water quality status report - trends and interpretation
              Public acceptability
              Sustainability – outputs linked to quality

Authorisations (number and time)
 Monitor and enforce
 Compliance
 Authorised vs. unauthorised

National Water resource/ catchment management strategies
 Developed and implemented
 Standards, norms and procedures

Monitor and enforce

Service delivery to public as measured to policy (internal and external)
 Public relations
 Hard products(water quality)

Personal performance

(Not prioritised)




Final Report            -                                     63 -
Sub-Series MS5.1



Integration in department (intra, internal and external)
Successful prosecutions
Successful remediation
Efficiency input vs. output
Liaison - provinces (external and internal)
Transformation (equality)
Staff retention/ Human Resource Management

If the inputs from the three breakaway groups are critically examined and
analysed seven broad KPA’s are revealed. These seven KPA’s encompass the
original ones identified by EPC but they are at the same time much more specific
in terms of the mission and objectives of WQM.

 The KPA’s identified are:
 Facilitation of awareness
   -public
   -role-players
   -stakeholders
   -institutional arrangements
   -inter/intra/external departments
   -provinces

   Resource Directed measures

   Management and Audit
    -source directed measures
    -information systems
    -monitoring
    -enforcement
    -control
    -authorisations/licensing

   Strategies, Guidelines and Policies

   Capacity building/Training/Innovation
    -transformation – equality
    -staff retention

   Specialist technical support and input

   Corporate support

During the next break-away group session each group was tasked with defining
KPI’s associated with the three KPA’s chosen, namely, Institutional
arrangements, Resource directed measures and Source directed measures.



Final Report             -                                 64 -
Sub-Series MS5.1



The following KPI’s were identified by each group:

GROUP I (external) – KPI’s for Institutional arrangements
(CMA’s, WUA, WMI and Forums)
The main areas: Intra Department, Inter departments (LA, PG and NG,
stakeholders, general public and training institutions).
The platform consists of cooperation with government and role players (IAP and
outside public). Role-players are domestic, WB, Imp users, environment groups,
Agri, Urban, Mines and Industry.

Cooperation
 Benchmark = constitution
 Protocols
 Terms of agreement (MOU ‘s)
 Rules=time

6 monthly assessment
very relevant to vision of WQM

GROUP II (regions)- KPI’s for Resource Directed Measures

RDM Plan

Setting of water quality management plans for catchment/management areas

Resource monitoring

Sub-KPI’s
Training/capacity building
Set up dedicated RDM team
Prioritise QDA’s/Management units
Identify studies required

GROUP III KPI’s for Source Directed Measures

Authorisations
# issued and enforced in order to WQO

Developed policies – number

Monitor implementation - % compliance of industries

Total load discharge – change per sector and per component (e.g. metal)

% GDP – pollution prevention – industry and region




Final Report            -                                  65 -
Sub-Series MS5.1



Public awareness - %
Public/Private partnerships – number and sector specific (e.g. NUMSA and
Petroleum)

Compliance/Inspections
% compliance in relation to non-compliance

Prosecutions - # and improvement

Spills and pollution incidents, remediation

Emergency clean-ups

Recruitment and retainment of key skills

Re-cap of workshop achievements

The workshop served to demonstrate how complex the design of a suitable PAS
is. The defining of more specific key performance areas turned out to be an
onerous task. Each of the breakaway groups (first breakaway session) came up
with a different list. This shows that at different levels of the organisation,
managers have different performance information needs. A logical conclusion is:

The PAS must be capable of delivering the right resolution of information
to each level of user.

In the plenary session, prioritisation of the KPA’s put forward by the groups
proved challenging. This process was curtailed due to time constraints and a
concern of the EPC consultants that participants’ time could be more fruitfully
spent on concentrating on devising appropriate KPI’s for one KPA per breakaway
group. In the second phase of the project when the PAS is refined the
prioritisation exercise must be revisited.

Workshop participants were able to identify KPI’s associated with the three KPA’s
chosen, namely, Institutional arrangements, Resource directed measures and
Source directed measures. However, in this exercise not all groups were able to
reach unanimity. The criteria for KPI’s were not applied across the board. It is
clear that more work needs to be done regarding choosing indicators that meet
the pre-set criteria.
Overall the workshop met its main objective: to get inputs from participants and
future users of the PAS in order to ensure that it meets specific as well as more
general information needs.




Final Report            -                                   66 -
Sub-Series MS5.1



Way forward and closure

P Viljoen closed off the workshop by indicating that the next step would be to
summarise the proceedings of the workshop. Thereafter the project would move
onto the second phase.




Final Report           -                                  67 -
Sub-Series MS5.1




Annexure I –           Workshop programme

08H00-08H30            Delegates arrive. Coffee/Tea

08h30-08h40            Welcome – Sakkie van der Westhuizen

08h40-08h50            Background to project – Sakkie van der Westhuizen

08H50-09H05            Project in perspective and objectives of workshop –
                       Mariaan Roos

09H05-09H50            Logic Framework – Annalie van Niekerk

09H50-10H10            Coffee/Tea

10H10-10H20            Setting scene – Solly Manyaka

10H20-11H20            Break-away groups

11H30-12H30            Report- back and wrap-up of morning session
                       – Solly Manyaka

12H30-13H15            Lunch

13H15-13H45            Prioritisation of KPA’s – Solly Manyaka

13H45-14H30            Break-away groups

14H30-15H30            Report-back – Solly Manyaka

15H30-15H40            Re-cap – Annalie van Niekerk

15H40-15H55            Wrap-up –Solly Manyaka

15H55-16H00            Way-forward and closure – Pieter Viljoen

16H00-16H30            Coffee/Tea




Final Report       -                                    68 -
Sub-Series MS5.1




Annexure II – Attendance list

NAME & SURNAME                  POSITION
M. Roos                         EPC – Project Leader
A. van Niekerk                  EPC Consultant
H. Bolton                       EPC
L.R. Gravelet-Blondin           DD: WQM KwaZulu-Natal
B. Schreiner                    CD: WUC.
N. Lesufi                       DD: WQM
S. Manyaka                      Consultant
J.L.J. Van Der Westhuizen       D:WQM
A. Lucas                        DRD:WQM Eastern Cape
H. Abbott                       AD:WQM Head Office
G. McConkey                     DD:WQM Western Cape
A.      R. Makhadi              D:IA
J. Mare                         AD: WQM Gauteng North
S.C. Vogel                      D: North West
P.S. Venter                     DD: North West
T. Oosthuizen                   AEMS
J. Van Dyk                      AD Head Office
P. Viljoen                      DD:WQM Head Office
N. Mohapi                       AD: Catchment Management
R. Stassen                      Business Area Manager:     Water
                                Programme, Environmentek
V. Mongwe                       DD:WQM Northern Province
L. Bredenhann                   DD:WQM:WM Head Office
J. Van Der Merwe                DD:WQM Freestate Region
M. Keet                         DD: WQM Gauteng
J. Streit                       DRD




Final Report            -                      69 -

				
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