Monitoring, Compliance and Enforcement

• section 35 monitoring
• joint monitoring with other agencies
• state of the environment monitoring
• plan effectiveness monitoring
• complaints and enforcement orders
• compliance with resource consent condition monitoring
• infringement notices.

Section 35 monitoring

Monitoring and reporting on policies, processes and environmental outcomes is an important aspect of the RMA and is a required function for local authorities under section 35 of the RMA. Section 35 outlines monitoring responsibilities of local authorities, including monitoring:

• the state of the environment
• the suitability and effectiveness of policy statements and plans
• the exercise of any functions, powers or duties delegated or transferred by the local authority
• compliance with resource consent conditions.

Sections 35(2A) and 35(2)(b) of the Resource Management Act requires local authorities to report at least once every five years on the results of monitoring the efficiency and effectiveness of their policy statement or plan. This may be in the form of an integrated policy/plan and State of the Environment report.

While there is an expectation that information is to be kept and collected for all applications for resource consents, decisions, transfers of consent, complaints and other information under section 35(5), the only timeframe stipulated for the compilation of a report is that in regard to monitoring the effectiveness of policy statements and plans.

The higher proportion of monitoring and reporting by regional councils can be explained by the fact that regional councils often have more plans and policy statements than territorial authorities (who typically have just a district plan). Therefore, a regional council is more likely to have monitored the effectiveness of at least one of their plans in the survey period than a territorial authority.

Table 15: Percentages of local authorities monitoring and reporting in 2003/2004

Source: RMA survey of local authorities 2003/2004.

Complaints about breaches of the Resource Management Act (RMA)

Local authorities were asked to indicate the number of complaints concerning alleged breaches of the RMA or other resource management incidents. Over 2003/2004, 117,655 complaints [Complaints include excessive noise complaints.] were recorded by the 84 local authorities able to provide this information. This is a 7.3% increase from the 109,609 complaints reported by the 84 local authorities able to provide this information in 2001/2002.

Table 16 compares the numbers of complaints recorded in 2003/2004 with those recorded in 2001/2002. The data reported in this table have a number of limitations. Local authorities have reported problems arising from the collection of complaints data that have impacted upon the accuracy of their responses. Most commonly these were:

• changes to systems for recording complaints part way through the recording period
• some systems record both complaints and enquiries
• some councils did not record where informal action was used to resolve the complaint.

Table 16: Total number of complaints about breaches of the RMA recorded in 2001/2002 and 2003/2004

Source: RMA survey of local authorities 2003/2004, 2001/2002.

Complaint resolution

A number of enforcement options are available for the resolution of complaints relating to breaches of the RMA. These are:

• enforcement orders
• abatement notices
• excessive noise directions
• prosecutions
• informal means
• infringement notices.

Excessive noise complaints can be resolved using excessive noise directions - 20,891 directions were issued in 2003/2004. There were 25 enforcement orders, 889 abatement notices, 887 infringement notices and 31 prosecutions in 2003/2004. Over half of all complaints (58%) were resolved through informal means or were minor administrative matters not requiring further action.

Compliance with resource consent conditions

Sixty percent of resource consents that required monitoring for compliance were monitored in 2003/2004. Of the consents that required monitoring, 74% complied with their consent monitoring conditions.

A total of 9,137 breaches of resource consent conditions were recorded in 2003/2004. Breaches of resource consent conditions were resolved using informal means in 7,366 cases (81%) in 2003/2004. Breaches requiring formal resolution in 2003/2004 included seven enforcement orders, 678 abatement notices, 390 infringement notices and eight prosecutions. Local authorities reported that 568 breaches were still unresolved at the close of the 2003/2004 financial year.

Infringement notices

Infringement notices came into force on 1 February 2000 under the Resource Management (Infringement Offences) Regulations 1999. Eighty local authorities issued 1,157 infringement notices in the 2003/2004 annual period compared to 620 (n=85) in 2001/2002. Table 17 describes the number of infringement notices issued by different local authority types.

Table 17: Number and percentage of infringement notices issued in 2003/2004 by local authority type

Source: RMA survey of local authorities 2003/2004.

Of the 1,157 infringement notices issued in 2003/2004, 194 were not proceeded with while 21 were defended (appealed) in the Environment Court. The remainder were either paid immediately or are still in progress.