This document may be cited as:

Ministry for the Environment.2016. National Monitoring System– information requirements: Guidance for the 2016/17financial year.Wellington: Ministry for the Environment.

Published in August2016 by the
Ministry for the Environment
ManatūMōTeTaiao
PO Box 10362, Wellington 6143, New Zealand

ISBN: 978-0-908339-50-1
Publication number:ME 1254

© Crown copyright New Zealand 2016

This document is available on websites of the Ministry for the Environment

Contents

Background

Purpose of this guide

Changes to the data requirements

Required format of data

Data due date

Data validation process

Section 1.0 – Policy and plan making and resource consent processes

Section 1.1 – Policy statement and plan full reviews

Section 1.2 – Preparation of policy statements and plans,changes and variations

Section 1.3 – Efficiency and effectiveness monitoring

Section 1.4 – Iwi/hapū planning documents

Section 1.5 – Resource consents

Section 1.6 – Certificates of compliance and existing usecertificates

Section 2.0 – Annual summary information

Section 2.1 – Iwi/hapū involvement

Section 2.2 – Staff working on preparation of policy statements and plans, changes and variations

Section 2.3 – Staff processing resource consents

Section 2.4 – Customer satisfaction

Section 2.5 – Notices of requirement (territorial authoritiesonly)

Section 2.6 – Staff working on RMA complaints, monitoring andenforcement

Section 2.7 – Other monitoring

Section 2.8 – Transfer of consents

Section 2.9 – Resource consent monitoring and compliance

Section 2.10 – Complaints

Section 2.11 – Other compliance activities

Section 2.12 – Procedures

Section 2.13 – Enforcement

Section 2.14 – National Environmental Standard for Assessing and Managing Contaminants in Soil to Protect Human Health

National Monitoring System – information requirements: Guidance for the 2016/17 financial year1

NMS information requirements: Guidance for the 2016/2017 financial year1

National Monitoring System – information requirements: Guidance for the 2016/17 financial year1

Background

The National Monitoring System (NMS), which has replaced the RMA biennial survey of local authorities, is the method whereby the Ministry for the Environment annually captures informationon the implementation of the Resource Management Act 1991 (RMA).

This monitoring information allows us to understand whether the functions, tools and processes included within the RMA are achieving what they were intended to, and to determine what changes might be necessary to ensure the desired outcomes are achieved.

The NMS has now entered its third year of information gathering. Councils are required to submit the NMS information requirements for the period 1 July 2016 to 30 June 2017 to the Ministry by Friday 28 July 2017.

Details about the NMS project can be found on the Ministry’s website:

Purpose of this guide

This guide should be read in conjunction with the Microsoft Excel Template (template),which has already been provided to your local authority. A copy of the templatecan alsobe found on the NMS webpage:

This guide and the template outline the data requirements for the current financial year, as well as appropriate responses to each data field. The section numbering, data fields, and appropriate responses in the template are replicated in this guide for easy reference. This document provides detailed guidance for those data fields where clarification is required (particularly in areas where we have had a number of queries and where the data provided in previous years was inadequate and/or inaccurate).

If you have questions or need assistance, please email or phone the National Monitoring System team on 022 069 0579.

Changes to the data requirements

The information requirements for 2016/17 financial year have been expanded (building ontheinformation requirements for 2014/15 and 2015/16). This will allow us to develop amorecomprehensive baseline to assess the implementation of current/future legislative amendments.

The expanded information requirements will also allow for a better understanding and assessment of how effectively the RMA’s functions, tools and processes are being implemented in general.

The changes are highlighted clearly in this guide and the template. In this guide and in the template the new 2016/17 data requirements/fields are highlighted in a light green colour, and wording changes to existing data requirements are in red font. All of the changes to the 2016/17 information requirements are summarised in the table below.

Following feedback on previous year’s data requirements, please note that all cost data is now required to be GST inclusive.

Table 1: Changes to data requirements

Section / New data requirement / Reason for change
1.1 Policy statement and plan reviews / Timeframes – whether the review began within the statutory timeframe under section 79(1), and the date that the review was completed.
[New sections 1.1.2(a) and 1.1.2(b)]. / This has been added to provide some context to the timeliness of full policy statement and plan reviews. Overtime we are interested in tracking the differences on outcomes, costs and effectiveness between full reviews and rolling reviews to help identify any advantages and disadvantages to local authorities who are looking to manage long-term plan-making processes in tight fiscal environments as effectively as possible.
1.2 Preparation of policy statements and plans, changes and variations / For private plan changes, the local authority decision on whether to adopt/accept the proposed plan change or not.
[New section 1.2.2(a)] / This has been added to provide some context around private plan change requests.
National instrument drivers. Amended for clarification.
[Existing/amended sections 1.2.14 and 1.2.15] / The data further clarifies what sections of the relevant national instruments are being given effect to by what parts of the proposed plan. This will help provide a clear understanding of how councils consider they are giving effect to national policy statements (NPSs)in accordance with section 55 of the RMA. Councils have to clearly delineate which of their policies relate to individual national instrument policies. The information will also help usassess the proportion of time/cost that could be attributed to giving effect to NPSs in plans.
Background research.
[New section 1.2.19(a)] / Explanation of the background research process which led to the proposed plan isuseful to provide more contextual information on the background research leading to the proposed plan. This can help provide a greater understanding around the timing and triggers for new plans and policy statements and how much work was undertaken before the plan was developed.
Date proposed plan change first reported to council for approval to release for consultation and date that the decision was made to do so.
[New sections 1.2.22(a) and (b)] / This information should help provide a more complete understanding of plan-making timeframes for when councillors (elected representatives) first consider the plan before it is formally notified.
Number of submissions received.
[New section 1.1.27(a)] / Measure the level of interest in proposed plan.
Number of further submissions.
[New section 1.2.29(a)] / Will identify the number of further submitters involved in the plan process.
Number of submitters heard at hearing.
[New section 1.2.38(a)] / Identifies the number of submitters heard at hearings. Helps provide a greater level of understanding of how this impacts on the overall timeframes for hearings.
Use of section 37 extension of time, and commentary on any non-compliance with statutory timeframe.
[New sections 1.2.45(a) and1.2.45(b)] / Provides a greater understanding of the timeframes around the plan-making process and potential sources of delay.
Compliance with 2year timeframe and commentary on any non-compliance with statutory timeframe.
[New section 1.2.45(c) and 1.2.45(d)] / Will provide a better understanding of the number of plans that proceed from the notification to decisions within the 2 year statutory timeframe. Will also help build a better understanding around why the timeframe may not have been met which may be for a range of reasons and may be linked to its scale and significance, level of interest in submissions etc.
Appeals – information about how many appeals were lodged with the Environment Court, how many were resolved and commentary surrounding appeals (for additional context).
[New sections 1.2.53 – 1.2.57] / Identified the level of appeals in plan-making which is important to understand given concerns about the costs and delays associated with appeals on plans.
1.3 Efficiency and effectiveness monitoring / Compliance with the statutory timeframes (not more than 5 years) in accordance with section 35(2A).
[New section 1.3.3] / This information will help provide a more detailed picture of the plan management processes.
1.5 Resource consents / Consent sub-type
[New Optional Data Field–section 1.5.2(a)] / This has been added as an optional data field. Will help better understand the main types of applications that require consent and how this varies across the country. Will help provide a better understanding of the time and costs for different consent sub-types and whether this is proportionate to the nature and scale of the activity. Consent sub-types are based in the most common activities requiring consent to allow for some comparisons of results in the national level.
Amendedtypes of application (Section 1.5.3) to include:
  • section 125 extension of lapse period
  • section 221(3)(a) application to vary or cancel condition of consent notice
  • section221(3)(b) review of condition of consent notice.
/ Additional types of applications have been added noting that some councils were already including data about to these applications within their data submitted to the Ministry; and to obtain dataon other key processes undertaken by councils.
Consent renewal – whether the resource consent application is for an activity that has previously been granted resource consent.
[New Optional Data Field –section 1.5.3(a)] / Will provide a greater understanding of how consent renewals are being sought and the activities these typically relate to.
National environmental standards relevant to the consent.
[New Optional Data Field –section 1.5.3(b)] / Understand the extent to which national environmental standards (NESs) are influencing resource consents as something that needs to be complied with and/or deemed to be relevant. Will help us better understand the overall influence of current NESs on the consent process which can also be linked back to different activity types.
1.6 Certificates of compliance and existing use certificates / New tab (set of questions) relating to the certificate of compliance and existing use certificate processes.
[New sections 1.6.1 – 1.6.14] / The level of activity that plans/NESs permit is largely unknown although this is a key indicator of plan effectivenessThis data will help establish how often certificates of compliance are being sought to confirm an activity permitted which may also indicate the scale of permitted activities.
2.0 Annual summary information / The number of consents (coastal/water and discharge) that are transferred.
[New section 2.8] / Will provide a greater understanding of the number of consents that are transferred under sections 134–137. This has been identified as problematic at times. This data requirement will enable more detailed understanding of how often consents are being transferred and the type of consents it relates to.
Commentary/context about resource consent monitoring and compliance.
[New section 2.9.4] / During the validation process for the NMS for 2014/15, it was evident that there were instances where a council was unable to accurately advise responses for 2.9.1 to 2.9.3. This context will help the Ministry understand the risks associated with monitoring and compliance.
New requirement for the numbers of excessive noise directions issued and infringement notices for noise issued.
[New sections 2.10.2 – 2.10.5] / A new section has been added specifically about excessive and unreasonable noise. This has been separated from other types of complaints/enforcement procedures given the large numbers of noise complaints received by territorial and unitary authorities.
Other compliance activities.
[New sections 2.11.1 – 2.11.3] / This includes data foremergency works resource consents, water shortage directions, and related infringement notices. This provides useful information on other enforcement and enforcement-related activities under the RMA. It will help provide a more complete story about compliance, monitoring and enforcement.
Procedures – complaints register.
[New section 2.12.1] / Information will provide a better understanding of how well complaints are recorded. Provides a standard measure of whether the complaints register is being used and whether this extends beyond written complaints.
Procedures – compliance and enforcement strategy
[New section 2.12.2] / Will help provide a greater understanding around internal council processes and procedures for enforcement and compliance and what common/standard practices are. If they are available, we will be asking that each local authority provide a copy of their policy/strategy, which will provide insight into the nature and variability of these strategies.
2.13 Enforcement / Commentary/context
[New Optional Data Field] / A new (optional) column has been added to provide any commentary relating to “other contraventions”: for example, Contraventions of sections 17, 338.
2.14 National Environmental Standard for Assessing and Managing Contaminants in Soil to Protect Human Health / New tab (set of questions) relating to the NES for Assessing and Managing Contaminants in Soil to Protect Human Health.
[New sections 2.14.1 – 2.14.10] / The questions relating to this NES were asked in the 2012/13 Survey of Local Authorities. The data will help us understand how effectively/successfully theNES is being implemented by local authorities, and provide comparable data inrelation to the previous Survey of Local Authorities. A copy of the councils Hazardous Activities and Industries List register also needs to be attached to data submitted.

Required format of data

As with previous years, the excel template which has been provided to your local authority, demonstrates the format we expect to receive the data required.

Information can be provided as a data extract from your system provided it is in Microsoft Excel or CSV format. Where only partial information can be extracted from your system, the additional information will need to be entered manually before the data set is submitted. Alternatively, all information can be manually entered into the template provided.

It is important to ensure the data fields reported can be matched to those in the template.

If you have specific comments about your data, please add a column at the end of the relevant data sheet. It is preferable not to use the Microsoft Excel ‘comments’tool embedded within the relevant cells as these are difficult to reveal through our data validation process.

Please note:

  • Data entries must be accurate:

-all data cells should be populated with one of the ‘Acceptable Response’shown (unless otherwise stipulated). These acceptable responses have been drafted to reflect the wording of the RMA or common practice. Alternative responses are problematicforthe data validation process

-there should be NO blank cells (unless otherwise stipulated)

-correct spelling should be used

-all date data must be exactly in the format: dd/mm/yyyy (including the use of four year digits). Please do not use the American date format).

  • If you have copied and pasted data from your own database system, it is advised that you paste the data as‘text only’ (that is, do not paste the underlying formatting from your database into the document). Please ensure any columns with date information are formatted as ‘date’, and other columns that contain numbers and/or words are formatted as ‘general’.
  • If any specific data fieldscannot be provided, please provide context:

-For example,information ‘x’ is not collected by council.

-If this is the case, it would be helpful if youdescribed the process and/or resources to provide the data. This contextual information helps the Ministry understand the effect of the NMS on councils and identify areas where we could support councils. This information can be provided in the template (by adding a new column at the end of the data sheet – please do not use the Microsoft Excel comments tool), or on a covering email.

Data due date

The 2016/17 NMS data set is required to be reported to the Ministry by Friday 28July 2017. The information should be reported electronically to .

By reporting the information required, your local authority is declaring that the information is true and correct to the best of its knowledge and acknowledging that the information reported is official information and subject to the Official Information Act 1982.

Data validation process

Once your data has been submitted, you will receive an email acknowledging receipt of the data from the Ministry.We will then begin a manual process to validate the data. Once this process is complete, clarification on particular matters or amendments to your data may be required if any errors have been identified.

Once you have corrected these matters or clarified your responses, the data is finalised foranalysis.

Section 1.0 – Policy and plan making and resource consent processes

Section 1.1 – Policy statement and plan full reviews

This section requires the reporting of information on each full review of any policy statement or plan under section 79(4) of the Resource Management Act 1991 (RMA).

Information is required for each full review that was underway, started or completed during the 2016/17 financial year (1 July 2016 to 30 June 2017).

It should be noted that partial and/or rolling reviews (as recognised under s79(1)) are identified separately through Section 1.2.

Note: Please leave the cell blank if the event has not yet occurred.

Data field / Description of data field / Acceptable response / Guidance
1.1.1
Name of full review / The name of the policy statement or plan undergoinga full review under s79(4). This needs to be unique and will be used to identify it from other reviews. /
  • Open Text
  • Not applicable
/ Note: Not applicable should be inserted where council is not undertaking a full review.
1.1.2
Date full review commenced / The date a decision was made to advance the full review, through resolution of council or other formal decision. / Date [dd/mm/yyyy]
1.1.2(a)
Commenced within statutory timeframe / Whether the review commenced within the 10 year statutory timeframe under section 79(1). /
  • Yes
  • No

1.1.2(b)
Date full review completed / The date that the full review was completed. /
  • Date [dd/mm/yyyy]
  • Review not yet completed

1.1.3
Full review outcome / Confirmation of whether or not the policy statement or plan required alteration following the full review. /
  • Requires alteration
  • Does not require alteration
  • Review not yet completed
/ Note: the cell may be left blank if the review is not yet completed.

Section 1.2 – Preparation of policy statements and plans,changes and variations

This section requires the reporting of information on each process to prepare or changea policy statement or plan, or to make a variation to aproposed policy statement or plan change.Information is required for each process that was underway, started or completed during the 2016/17 financial year (ie, between 1 July 2016 and 30 June 2017).