Sub Series No.Ms5.1

SUB SERIES NO.MS5.1

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

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

Fax: (012) 323-0321/+2712 323-0321

Copyright reserved

No part of this publication may be reproduced in any

manner without full acknowledgement of the source

This report should be cited as:

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

Final Report- 1 -June 2000

Sub-Series MS5.1 Edition 1

DOCUMENT INDEX

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

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

ACKNOWLEDGEMENTS

The following individuals are thanked for their contributions:

Project Management Committee:

Mr. P. Viljoen Project Manager

Mr. J.J. Van WykAssistant Project Manager

Ms. P Moodley Project Member

Ms. M. RoosConsultant Team Leader (EPC)

Ms. A. Van NiekerkConsultant Project Member (EPC)

Interviewees:

Ms. B. SchreinerChief Director: Water Use and Conservation

Dr. H. van VlietChief Director: Scientific Services

Mr. Claus TriebelSpecial Adviser

Mr. H. KarodiaDirector: Catchment Management

Mr. R. MakhadoDirector: Internal Audit

Ms. M. HinschDeputy Director: WQM–Urban Development

& Agriculture

Mr. L. BredenhannDeputy Director: WQM–Waste Management

Ms. H. MackayAssistant Director: Scientific and Ecological

Services

Mr. G. GroblerAssistant Director: WQM: Management

Systems

Mr. L. Gravelet-BlondinDeputy Director: KwaZulu-Natal Regional

Office: Water Quality Management

Mr. M. KeetDeputy Director: Gauteng Regional Office:

Water Quality Management

Mr. G. McConkeyDeputy Director: Western Cape Regional Office: Water Quality Management

Mr. S. Van Der WesthuizenDirector: Water Quality Management

Mr. L. Van Den BergChief Engineer: International Projects

Mr. M.P. NepfumbadaDirector: Institute for Water Quality Studies

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:

• 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.

FRAMEWORK FOR A

WATER QUALITY MANAGEMENT PERFORMANCE ASSESSMENT SYSTEM

(WQMPAS)

TABLE OF CONTENTS PAGE

Document Index...... i

Approval...... ii

Acknowledgements...... iii

Executive Summary...... iv

1INTRODUCTION AND CONTEXT....... 1

1.1Trusteeship of nation’s water resources...... 1

1.2Water Quality Management Function of the DWAF...... 1

1.3Need for project...... 3

1.4Purpose of this document...... 3

2PROJECT SCOPE....... 3

2.1Aims of project…………………………………………………………….3

2.2Approach/Phasing of project…………………………………………….4

2.3Terms of Reference for Phase I………………………………………...4

2.4Additions and deviations from Terms of Reference Phase I…………5

2.5Linkages with other initiatives………………………………………..… 5

2.6Users of a WQMPAS………………………………………………… 6

3WHAT IS A PERFORMANCE ASSESSMENT SYSTEM……...... 7

3.1Auditing vs Performance Assessment...... 7

3.2Principles and Definitions of a PAS...... 7

3.3Process…...... 8

3.4Benefits of WQMPAS...... 10

4ASSESSMENT OF THE DWAF’s WQM FUNCTION...... 11

4.1Policy and legislative requirements/mandates...... 11

4.2DWAF’s WQM function: Who are the role players?………...... 15

4.3Preliminary performance areas identified…...... 17

4.4Areas of concern...... 19

5LOGIC FRAMEWORK...... 19

5.1Context…...... 19

5.2The logic of the WQM business...... 21

5.3Performance Assessment of Regional Offices...... 23

5.4Issues to be considered in assessing accountability and

Responsibility…...... 23

5.5Framework for monitoring and evaluation...... 24

6CONCLUSION…...... 24

6.1Limitations...... 24

7WAY 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

ALPHABETICAL LIST OF ACRONYMS AND ABBREVIATIONS

CCECCommittee for Environmental Co-ordination

CMA’sCatchment Management Agencies

CMSCatchment Mangement Strategy

CORECodes of Remuneration System

DDWAFDepartment of Water Affairs and Forestry

IIWQSInstitute for Water Quality Studies

KKPAKey Performance Area

KPIKey Performance Indicator

NNEAFNational Environmental Advisory Forum

NEMANational Environmental Management Act

NWANational Water Act, 1998

NWRSNational Water Resource Strategy

PPASPerformance Assessment System

RRQOResource Quality Objective

WWARMSWater Authorisation, Registration and Monitoring System

WMAWater Management Area

WMSWater Management Strategy

WQMWater Quality Management

WQMPASWater Quality Management Performance Assessment System

WUCWater Use and Conservation

Final Report- 1 -June 2000

Sub-Series MS5.1 Edition 1

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

1. INTRODUCTION AND CONTEXT

1.1Trusteeship 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.

1.2Water Quality Management Function of the DWAF

1.2.1DWAF

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.

1.2.2Transition

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.

1.2.3Context 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

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

1.3Need 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.

1.4Purpose 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.

1. PROJECT SCOPE

2.1Aims 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”.

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.

2.2Approach/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