IWRM Checklist - Rev01

Legal Compliance Audit Checklist – Revision 01 – 2013 Page 1 of 9
DRAFT LEGAL COMPLIANCE CHECKIST:

DUE DILIGENCE AUDIT
Draft Revision 01
LEGEND:
NA = Not X = Non- NX = Not applicable to ? = Status could not be
TN = Take Note √ = Compliance
audited compliance the scope established during the audit
TABLE OF CONTENTS
TABLE OF CONTENTS ............................................................................................................... 2
APPROVAL.................................................................................................................................. 3
EXECUTIVE SUMMARY ............................................................................................................. 3
WATER USE, STORAGE AND DISPOSAL .................................................................................. 4

NATIONAL WATER ACT 36 OF 1998 AND WATER SERVICES ACT 108 OF 1997................. 4
LEGEND:
APPROVAL
Title : Draft Legal Compliance Audit Checklist
Status : Draft - Revision 01
Date of Report :
This report is approved by:
EXECUTIVE SUMMARY
LEGEND:
LEGAL COMPLIANCE AUDIT CHECKLIST
CLIENT: AUDIT DATE:

ADDRESS: AUDITOR:
Checklist Function/process:
Ref. Person/s interviewed:
WATER USE, STORAGE AND DISPOSAL

NATIONAL WATER ACT 36 OF 1998 AND WATER SERVICES ACT 108 OF 1997
Section 4  Is the organisation entitled to use water ito the NWA?
 Where does the organisation receive water from?
 Have you identified all your water uses as defined in
section 21 of the NWA? Are you:
 taking water from a water resource? s21(a)
 storing water? s21(b)
 discharging waste or water containing waste into a
watercourse? s21(f)
 irrigating any land with waste or waste water? s21(e)
(controlled activity in terms of s37(1)(a))
Water Use  intentionally recharging an aquifer with waste or
wastewater? s21(e) (controlled ito s37(1)(d))
Section 21  disposing waste or water containing waste in any
other manner? s21(g)
 disposing of (heated) water or water containing waste
in any other manner? s21(h)
 impeding or diverting the flow of water? s21(c)
 altering the bed, banks, course, or characteristics of a
water course? s21(i)
 removing, discharging or disposing water found
underground? s21(j)
 using water for recreational purposes? s21(k)
Abstraction  For what purpose do you use raw water?

(s21(a)):  Can you demonstrate the source(s) of raw water?
 Do you have the water service authority’s permission to
Water Services
obtain water from another source than the local authority
Act (WSA) s7
or approved water service provider?
 Can you objectively demonstrate the volume of water used
WSA s82
(is consumption monitored)?
NWA s22(2)(d)  Can you demonstrate that water is not wasted?
Schedule 1:  If the local authority or other water service provider
supplies your water, is the local authority or other provider
NWA ss4(1) & authorised to supply the water?
22(1)(a)(i)  Is your abstraction permissible under Schedule 1?
General  If your abstraction is not a Schedule 1 use, is it permissible
Authorisation: under a General Authorisation (GA)?
ss4(3);  If your abstraction water use is authorised under a General
22(1)(a)(iii); Authorisation, are you complying with the relevant
22(2)(a) & 39 conditions of the General Authorisation?
LEGEND:
Existing Lawful  If your abstraction is not a Schedule 1 use or generally

Water Use: authorised, did you obtain a permit before 1/10/98 ito s12
ss4(2); of the Water Act 54/1956?
22(1)(a)(ii);
 Is the abstraction permit still valid and do you comply with
22(2)(a); 32, 33
all the conditions in the permit?
& 34
Water Use  If your abstraction is not a Schedule 1 use, not generally
License: authorised, and not an existing lawful use, did you apply
ss4(3); 22(1)(b) for a water use license?
& 22(2)(a); &  If a water use license was issued to you for abstraction,
40 – 42 are you complying with all conditions?
Storage of  Do you store any water on your premises? For what
water (s21(b)): purpose?
 If for the purpose of providing drinking water, are you
WSA s6 nominated as a water service provider by the LA?
 If so does drinking water provided by you conform to the
SABS 0257 SABS 0257 drinking water standard?
General  If for purposes other than drinking water, is the storage of
Authorisation: water permissible under a GA?
ss4(3);  If the storage of water is authorised under a General
Existing Lawful  If the storage of water is not generally authorised, did you
Water Use: obtain a permit before 1 October 1998 under the Water Act
ss4(2); 54/1956 for this storage?
22(1)(a)(ii)
 Is the permit for storage of water still valid, and do you
22(2)(a); 32, 33
comply with all the conditions in the permit?
& 34
Water Use  If the storage of water is not generally authorised, and not
License: an existing lawful use, did you apply for a water use
ss4(3); 22(1)(b) license?
22(2)(a);&  If a water use license was issued to you for storage of
40 – 42 water, are you complying with all license conditions?
 Is any runoff, seepage, or effluent returned to the water
Discharge of
resource from which it was taken?
water
 Can you objectively demonstrate the volume of effluent
containing
discharged and to where it is discharged?
waste (effluent)
 Can you objectively demonstrate that the quality of effluent
(s21(f):
discharged is being monitored?
 Do you have a water balance and can you demonstrate
s22(2)(d)
that water is not being wasted?
 If all effluent is discharged into the resource from which it
s22(2)(c) &
originated, does it comply with GN R991 of 18/05/1984? Is
s22(2)(e)
it treated before discharge?
If not discharged into this water resource, what happens to the effluent?
If it is irrigated, go to s21(e): controlled activity in terms of s37(1)(a).
If it is disposed underground, go to s21(e): controlled activity in terms of s37(1)(d).
If it is disposed into a dam or other facility, go to s21(g)/(h).
If none of the above, continue below:
 Is effluent treated before discharge to the works of the LA
or another water service provider; into any other water
resource; or into the original resource but not in
compliance with GN R991 of 18/05/1984?
 Do you have the water service authority’s permission to
Water Services
discharge your effluent into other facilities than the works
Act s7
of the LA or approved water service provider?
Schedule 1:  If your effluent is discharged to the works of the LA or
other water service provider, is the LA or water service
NWA ss4(1) & provider authorised to purify the water?
22(1)(a)(i) &  If your effluent is discharged to the works of the LA or
other water service provider, does the quality there-of
Water Services comply with LA permits, bylaws or specifications?
LEGEND:
Act ss8, 11 & 21  Is this discharge permissible under Schedule 1?

General  If your effluent discharge is not a Schedule 1 use, is it
Authorisation: authorised under a General Authorisation?
ss4(3);  If your effluent discharge is authorised under a General
Existing Lawful  If the effluent discharge is not a Schedule 1 use or
Water Use: generally authorised, were you exempted before 1/10/1998
from complying with GN R991 (18 May 1984) or from
ss4(2); returning the water to the original resource ito s21 of the
22(1)(a)(ii); Water Act 54/1956?
22(2)(a); 32, 33  Is the exemption for effluent discharge still valid, and do
& 34 you comply with all the conditions?
Water Use  If your effluent discharge is not a Schedule 1 use, not
License: generally authorised, and not an existing lawful use, did
you apply for a water use license?
ss4(3); 22(1)(b);
 If a water use license was issued to you for effluent
22(2)(a);&
discharge, are you complying with all license conditions?
40 – 42
Irrigation of  Do you irrigate any effluent? Is it treated before being
Effluent s21(e): irrigated?
General  Is the irrigation of effluent authorised under a GA?
Authorisation:
ss4(3);  If the irrigation of effluent is authorised under a General
Existing Lawful  If effluent irrigation is not generally authorised, were you
Water Use: exempted before 1/10/1998 from complying with GN R991
of 18/05/1984, or from returning the water to its original
ss4(2); source ito the Water Act 54/1956 s21?
22(1)(a)(ii)
 Is the exemption for the irrigation of effluent still valid and
22(2)(a); 32, 33
do you comply with all the conditions?
& 34
Water Use  If the irrigation of effluent is not generally authorised, and
License: not an existing lawful use, did you apply for a water use
license?
ss4(3); 22(1)(b)  If a water use license was issued to you for the irrigation of
22(2)(a); & effluent, are you complying with all the conditions in the
40 – 42 license?
Disposing of  Do you dispose water, heated water, waste or water
water, waste or containing waste in any manner not already covered? Is it
waste water in disposed in an evaporation dam? Is it disposed into an
any other oxidation pond? Into any other facility? Is it treated before
manner disposal?
s21(g)&(h):  Is the disposal of water, heated water, waste or
General wastewater authorised under a GA?
Authorisation:  If the disposal of water, heated water, waste or wastewater
ss4(3); is authorised under a General Authorisation, are you
22(1)(a)(iii); complying with the relevant conditions of the General
22(2)(a) & 39 Authorisation?
Removal of  Are you removing water found underground?
water found
underground  Are you discharging or disposing water found
s21(j): underground?
Existing Lawful  Was the removal of water found underground permitted
Water Use: before 1 October 1998 in terms of s12B(2)(b) of the Water
ss4(2); Act 54/1956?
22(1)(a)(ii);  Is the Permit for the removal of water found underground
22(2)(a); 32, 33 still valid, and do you comply with all the conditions in the
& 34 Permit?
LEGEND:
Water Use  If the removal of water found underground is not an

License: existing lawful use, did you apply for a water use license?
ss4(3); 22(1)(b)  If a water use license was issued to you for the removal of
22 (2)(a); water found underground, are you complying with all the
40 – 42 license conditions?
 Are any of these water uses permissible under Schedule
1?
 Are those water uses that are not permissible under
Permissible Schedule 1, permissible in terms of a general authorisation
Water Use issued under s39?
Summary:  Are water uses that are not permissible under Schedule 1,
or generally authorised, permissible as a continuation of
any existing lawful water uses?
Section 22(1)  Are all other water uses that are not permissible under
Schedule 1, or generally authorised, or existing lawful
water uses, authorised by a water use licence?
Sections 32, 33,  Is the organisation negotiating with DWAF to legalise water
34, 39 and 40 – use in order to ensure that water use is permissible and
42 that such use can continue?
 How do you ensure that new projects that may impact on
the current water use authorisation take cognisance of the
authorisation conditions?
 Have all relevant water uses been registered in
accordance with the specific regulation for the catchment
in which the organisation operates?
Registration  Are you aware that failure to register a water use is an
offence?
ss26(1)(c) & 139  Were Schedule 1 uses, & those water uses for which the
GA specify that registration is not required, excluded from
GN R 1352 of being registered?
12 November  Are proposed changes in the water use specified in the
1999 registration certificate reported to the responsible
authority?
 Have water uses that were registered, but discontinued,
been deregistered?
 Is any treatment of wastewater being undertaken at a
Water Care water care works operated by the organisation?
Works  If so, is the work registered and classified?
 Is the Registration Certificate displayed on site?
s26(1)(d),
 Are the qualifications of the staff compliment in line with
(e)&(f)
certification requirements?
GN R2834 of  Are staff changes being communicated to DWAF?
27/12/1985)  Are deviations from registration conditions being
communicated to DWAF?
 Do any of your activities or processes have the potential to
cause pollution of ground or surface water?
 Is effluent discharged to surface water in terms of the
Prevention and
conditions of the water use authorisation
remedying the
(License/General Authorisation/ELU)?
effects of
 Is waste disposed of on your premises in terms of the
Pollution
conditions of the water use authorisation (NWA
License/General Authorisation/ELU) or the ECA waste
disposal permit?
NWA s19 and
 Do you have any stockpile of raw material or by-products
NEMA s28
on your premises?
 What happens to stormwater at facilities under your
control and influence?
LEGEND:
 Does any other situation exist on your premises that can

potentially cause ground or surface water pollution (e.g.
old dumps, washbays, workshops, other areas of
contamination, etc)?
 What arrangements do you have in place to timeously
identify potential incidents or spillages that could cause
water or other pollution?
Control of  Are regular inspections of the premises and equipment
Emergency conducted to identify potential incidents or spillages that
Incidents could cause pollution?
NWA s20 & 151  Are employees aware of the obligation to report
and NEMA s30 emergencies, incidents or spillages that may result in
 Is the bunding of raw, by- and final products, equipment or
other arrangements sufficient?
 Has a responsible person in terms of NWA s20(2) and
NEMA s30 been officially appointed?
Responsible
 Have you made arrangements to ensure that pollution
person &
incidents are communicated immediately to DWAF, DEAT,
communication
the SAPS and other institutions as required in NWA s20(3)
and NEMA s30?
 Do you have an incident detection and emergency
response plan for potential pollution incidents?
 Does the incident detection and emergency response plan
Incident
indicate line of command under emergency incidents, and
detection and
contact numbers of responsible persons and persons to be
emergency
contacted?
response plan
include a scenario-based health and environmental risk
assessment?
describe measures to be taken to contain and minimise
the effects of the incident?
describe measures to be taken to initiate and undertake
Measures and clean-up operations?
actions  Does the incident detection and emergency response plan
describe measures to be taken to remedy the effects of
 Do you know that any act committed unlawfully &
intentionally or negligently that may affect the quality of a
water resource is an offence?
 Are employees aware that a person authorised by DWAF
Entry & may enter the property without prior notice and with the
Inspection necessary equipment (including photographic equipment)
to carry out routine inspections on the use of water?
ss 124 & 125
 Are you aware that obstructing an official in the exercise of
his duties is an offence?
 Are samples taken before the discharge of effluent or
runoff – either into a watercourse or to a water service
Monitoring, provider?
Assessment &  If effluent or runoff is discharged to a watercourse, are
Information samples taken upstream and downstream of the point of
discharge?
 Are samples taken from appropriately located boreholes if
ss137 – 145 waste or water containing waste is disposed on land?
 Were these boreholes located following a geohydrological
study?
 How do you ensure that samples are taken correctly?
LEGEND:
 Does your organisation take these samples?

 If not, how do you ensure that it is done correctly?
 Are analyses on samples done before discharge of
effluent into a water resource or sewer?
 Are analyses done on groundwater quality if waste or
water containing waste is disposed on land?
 How do you ensure that analyses are done properly?
 When analyses of samples for water quality is done, are
SABS approved methods and techniques used?
 Does your organisation undertake this analysis?
 If not, how do you ensure that it is done correctly?
 Do you control calibration of analytical equipment?
 If not, how do you ensure that it is controlled?
 Do you provide the results of analysis to DWAF (if
discharged to a resource/disposed on land) or the service
provider (if discharged to sewer)?
 Do these samples and analyses satisfy the requirements
of DWAF / the service provider?
 Do you keep records of water quality monitoring data and
information?
 Are you aware that DWAF may require you to provide any
information required for the management or protection of
water resources?
 Are you aware that failure to provide DWAF with access to
information is an offence?
 Are you aware that water use otherwise than under a
Offences & water use authorisation is an offence?
Penalties  Do you know that non-compliance with any water use
authorisation condition is an offence?
 Are directors & management aware of the monetary award
ss152 – 153
of damages when contravening the NWA?
 Are directors and management aware of the presumption
s154 of guilt for environmental wrongs committed by the
company or employees?
 Are you aware that an interdict may be granted by a High
Court to discontinue any activity causing a contravention of
S155
the provisions of the NWA, and to remedy the effects of the
contravention?
LEGEND:

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Legal Compliance Audit Checklist – Revision 01 – 2013 Page 1 of 9

DRAFT LEGAL COMPLIANCE CHECKIST:

TABLE OF CONTENTS ............................................................................................................... 2

EXECUTIVE SUMMARY ............................................................................................................. 3

WATER USE, STORAGE AND DISPOSAL .................................................................................. 4

Title : Draft Legal Compliance Audit Checklist

Status : Draft - Revision 01

This report is approved by:

LEGAL COMPLIANCE AUDIT CHECKLIST

CLIENT: AUDIT DATE:

WATER USE, STORAGE AND DISPOSAL

Abstraction  For what purpose do you use raw water?

Existing Lawful  If your abstraction is not a Schedule 1 use or generally

Act ss8, 11 & 21  Is this discharge permissible under Schedule 1?

Water Use  If the removal of water found underground is not an

 Does any other situation exist on your premises that can

 Does your organisation take these samples?

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