This section provides information on local authority monitoring and enforcement activities. Specifically, it reports on:
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section 35 monitoring
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complaints about alleged breaches of the RMA
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resolution of complaints
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compliance with resource consent conditions
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resolution of breaches of consent conditions.
Section 35 monitoring
Local authorities were asked whether or not they monitored and reported on policies, processes and environmental outcomes as required under section 35 of the RMA (appendix 6, question 4.1). Under this section, local authorities are responsible for monitoring:
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the state of the environment
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the suitability and effectiveness of policy statements and plans
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the exercise of any functions, powers or duties delegated or transferred by the local authority
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compliance with resource consent conditions
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complaints.
Sections 35(2A) and 35(2)(b) of the RMA require local authorities to report at least once every five years on the results from monitoring the suitability and effectiveness of their policy statement or plan. There is also an expectation under section 35(5) of the RMA that information is collected and kept for all applications for resource consents, decisions, transfers of consents and complaints. However, there is no timeframe stipulated for compiling a report on this.
Table 13 provides the percentages of the types of local authority that monitor and/or report on their section 35 responsibilities. The main findings for 2007/2008 are that:
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regional councils either increased or maintained 2005/2006 levels of monitoring and reporting for their various responsibilities
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unitary authorities’ performance equalled or fell below their 2005/2006 results, with the exception of an increase in reporting compliance with resource consent conditions
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territorial authorities either increased or maintained 2005/2006 levels of monitoring and reporting, with the exception of a slight decrease in monitoring the state of the environment.
Table 13: Percentage of local authorities monitoring and reporting on their responsibilities, 2005/2006 and 2007/2008
| Responsibility | Regional councils | Unitary authorities | Territorial authorities | All | |||||
|---|---|---|---|---|---|---|---|---|---|
| 2007/2008 | 2005/2006 | 2007/2008 | 2005/2006 | 2007/2008 | 2005/2006 | 2007/2008 | 2005/2006 | ||
| State of the environment | Monitor | 100% | 100% | 80% | 100% | 42% | 46% | 53% | 57% |
| Report | 100% | 92% | 80% | 80% | 30% | 22% | 43% | 36% | |
| Suitability and effectiveness of policies and plans | Monitor | 100% | 75% | 60% | 60% | 64% | 52% | 69% | 56% |
| Report | 75% | 58% | 20% | 40% | 35% | 27% | 40% | 32% | |
| Delegated/ transferred functions | Monitor | 73% | 67% | 20% | 40% | 44% | 44% | 46% | 47% |
| Report | 55% | 50% | 0% | 40% | 29% | 29% | 30% | 33% | |
| Compliance with resource consent conditions | Monitor | 100% | 100% | 80% | 80% | 97% | 93% | 96% | 93% |
| Report | 100% | 100% | 80% | 60% | 47% | 47% | 57% | 55% | |
| Complaints register | Monitor | 100% | 100% | 80% | 80% | 91% | 81% | 92% | 84% |
| Report | 100% | 100% | 80% | 80% | 53% | 46% | 61% | 55% | |
Source: 2007/2008 and 2005/2006 RMA survey data.
Complaints about alleged breaches of the RMA
Local authorities were asked to indicate the number of complaints they received concerning alleged breaches of the RMA, including excessive noise complaints (appendix 6, question 4.2). The data collected has some limitations due to:
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the small number of local authorities that did not distinguish between excessive noise complaints and other complaints in their systems
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the small number of local authorities that did not record a complaint if it was resolved through informal means.
Figure 24 shows the number of complaints relating to breaches of the RMA for the past five surveys, with an overall upward trend apparent. In 2007/2008, 161,257 complaints were recorded, up from 109,964 in 2005/2006. The 2007/2008 figure is an increase of nearly two-thirds from the 1999/2000 figure (97,722).
Figure 24: Number of complaints about alleged breaches of the RMA, 1999/2000–2007/2008
| Survey period | Number of complaints |
|---|---|
| 1999/2000 (n = 81) | 97,722 |
| 2001/2002 (n = 84) | 109,609 |
| 2003/2004 (n = 84) | 117,655 |
| 2005/2006 (n = 81) | 109,964 |
| 2007/2008 (n = 84) | 161,257 |
Source: 2007/2008 RMA survey data and published survey reports for the periods indicated.
Notes:
The survey question on which this figure was based was amended in 2003/2004 to differentiate between ‘excessive noise complaints’ and ‘other complaints’. Nonetheless, the response from each survey period remains comparable.
The (n = ##) along the x axis refers to the number of local authorities that answered the question on which this analysis is based.
Complaints recorded, by local authority type
In 2007/2008, territorial authorities received the most complaints (83.7 per cent), followed by unitary authorities (8.6 per cent), then regional councils (7.7 per cent). This is a change from 2005/2006, when regional councils received more complaints than unitary authorities. Territorial authorities received the most complaints in both surveys.
Table 14 shows that the increase in complaints between 2005/2006 and 2007/2008 is primarily because of more complaints about excessive noise. In 2007/2008 territorial authorities received more than 121,000 excessive noise complaints, an increase of 51 per cent from the 80,256 complaints received in 2005/2006. In 2007/2008 unitary authorities received more than 11,500 excessive noise complaints. This is nearly triple the 4114 excessive noise complaints unitary authorities received in 2005/2006.
Table 14: Number and percentage of complaints about breaches of the RMA recorded, by local authority type, 2005/2006 and 2007/2008
| Local authority type | Excessive noise complaints | Other complaints | Total | |||
|---|---|---|---|---|---|---|
| Number of complaints | Percentage of complaints recorded by each local authority type | Number of complaints | Percentage of complaints recorded by each local authority type | Number of complaints | Percentage of total complaints | |
| 2007/2008 results | ||||||
| Regional councils (n = 12) | 10 | 0.1% | 12,434 | 99.9% | 12,444 | 7.7% |
| Unitary authorities (n = 5) | 11,586 | 83.3% | 2,315 | 16.7% | 13,901 | 8.6% |
| Territorial authorities (n = 67) | 121,407 | 90.0% | 13,505 | 10.0% | 134,912 | 83.7% |
| All (n = 84) | 133,003 | 82.5% | 28,254 | 17.5% | 161,257 | 100.0% |
| 2005/2006 results | ||||||
| Regional councils (n = 10) | 0 | 0.0% | 12,519 | 100.0% | 12,519 | 11.4% |
| Unitary authorities (n = 5) | 4,114 | 66.8% | 2,041 | 33.2% | 6,155 | 5.6% |
| Territorial authorities (n = 66) | 80,256 | 87.9% | 11,034 | 12.1% | 91,290 | 83.0% |
| All (n = 81) | 84,370 | 76.7% | 25,594 | 23.3% | 109,964 | 100.0% |
Source: 2007/2008 and 2005/2006 RMA survey data.
Note: The (n = ##) in the left-hand column refers to the number of local authorities that answered the question on which this analysis is based.
Resolving complaints
Local authorities were asked for the number of complaints they resolved through different enforcement methods (appendix 6, question 4.6). The following enforcement options are available under the RMA:
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enforcement orders
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abatement notices
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excessive noise directions
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prosecutions
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infringement notices
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informal means.
Note that the results presented in this section have some limitations due to:
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the small number of local authorities that provided estimates for each complaint resolution method − these estimates have been included in the analysis
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the small number of local authorities that did not record a complaint if it was resolved through informal means − the data provided on formal resolution by these local authorities has been included in the analysis.
Table 15 shows the number of complaints resolved by formal enforcement methods. It also shows the proportion of these complaints that were resolved by each enforcement method. It highlights that the use of formal enforcement has increased since the last survey: 30,459 complaints were resolved through formal enforcement methods in 2007/2008, up from 26,118 in 2005/2006. The number of complaints resolved by each of the five formal enforcement methods also increased.
In 2007/2008, excessive noise directions were the most commonly used of all the formal enforcement methods, with nearly 90 per cent (27,229) of all formally resolved complaints resolved by this method. Enforcement orders were the least commonly used, with only 0.1 per cent (30) of formally resolved complaints resolved by this enforcement method. This was also the case in 2005/2006.
The proportion of formally resolved complaints resolved by abatement notices and prosecutions increased in 2007/2008. Use of abatement notices increased by 83 per cent, up from 3.8 per cent (1004) in 2005/2006 to 7.0 per cent (2144) in 2007/2008, while prosecutions increased by 70 per cent, up from 0.2 per cent (60) to 0.4 per cent (119). The percentages of the other enforcement options were similar between surveys.
Table 15: Number and percentage of enforcement options used to formally resolve complaints, 2005/2006 and 2007/2008
| Enforcement option | 2007/2008 | 2005/2006 | ||||
|---|---|---|---|---|---|---|
| Number | Percentage | Number of local authorities providing data | Number | Percentage | Number of local authorities providing data | |
| Enforcement orders | 30 | 0.1% | 80 | 21 | 0.1% | 79 |
| Abatement notices | 2,144 | 7.0% | 82 | 1,004 | 3.8% | 82 |
| Excessive noise directions | 27,229 | 89.4% | 78 | 24,173 | 92.6% | 78 |
| Prosecutions | 119 | 0.4% | 80 | 60 | 0.2% | 79 |
| Infringement notices | 937 | 3.1% | 80 | 860 | 3.3% | 81 |
| Total | 30,459 | 100% | 82 | 26,118 | 100% | 84 |
Source: 2007/2008 and 2005/2006 RMA survey data.
Formal and informal enforcement means
In 2007/2008, 54 per cent of all complaints were resolved by formal enforcement methods, up from 41 per cent in 2005/2006. Figure 25 shows a steady increase in the proportion of complaints resolved using formal methods over the past five surveys, and a corresponding decrease in the use of informal methods. This trend should be interpreted with some caution, however, as the analysis for the past four surveys is based on incomplete data.
Figure 25: Percentage of complaints resolved by formal, informal or other methods, 1999/2000–2007/2008
| Survey period | Percentage of informally resolved complaints (%) | Percentage of formally resolved complaints (%) | Percentage of complaints resolved by other methods (%) |
|---|---|---|---|
| 1999/2000 | 78 | 21 | 1 |
| 2001/2002 | 75 | 23 | 2 |
| 2003/2004 | 59 | 37 | 4 |
| 2005/2006 | 56 | 41 | 3 |
| 2007/2008 | 44 | 54 | 2 |
Source: 2007/2008 and 2005/2006 RMA survey data and published survey reports for the periods indicated.
Notes:
The percentages of formal resolution in 2001/2002 and 2003/2004 have been estimated from results in the published reports and raw data.
‘Other resolution’ refers to complaints that are either unresolved, in the process of resolution, or are yet to have a decision made on the resolution method.
Compliance with resource consent conditions
Local authorities were asked for the number of resource consents that required monitoring, the number of these consents that were monitored, and the number of these consents that were fully compliant with their consent conditions (appendix 6, questions 4.3–4.5).
The data reported in this section has a number of limitations due to the following reasons.
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A small number of local authorities do not formally record the number of consents monitored and/or the number of monitored consents that comply with their consent conditions. These local authorities provided estimates of these numbers, which have been included in the analysis.
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A small number of local authorities have included data from monitoring consents that were not covered by questions 4.3–4.5. These responses have been included in the analysis.
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A small number of local authorities have counted each inspection of an individual consent that required multiple monitoring among the number of consents that required monitoring. These responses have been included in the analysis.
In addition, the 72 local authorities that answered this question did so in one of two ways:
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24 reported only on consents processed in 2007/2008 that required monitoring
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48 reported on the number of ‘active’ consents that required monitoring, regardless of which year the consent was processed (‘active’ refers to consents that are still current or have not ceased).
Table 16 shows both the number and percentage of consents monitored in 2007/2008, and the number and percentage that complied with consent conditions.
Table 16: Number and percentage of consents requiring monitoring, those monitored and their compliance with consent conditions, 2007/2008
| Consent type | Consents requiring monitoring | Consents monitored | Percentage monitored | Compliance with consent conditions* | Percentage compliant* |
|---|---|---|---|---|---|
| Active consents (n = 48) | 49,608 | 39,423 | 79% | 32,195 | 83% |
| Consents processed in 2007/2008 (n = 24) | 8,594 | 6,834 | 80% | 5,838 | 85% |
| Total (n = 72) | 58,202 | 46,257 | 79% | 38,033 | 84% |
Source: 2007/2008 RMA survey data.
* One local authority could not provide the number of monitored consents that complied with consent conditions and has been excluded when calculating these columns.
Note: The (n = ##) in the left-hand column refers to the number of local authorities that answered the question on which this analysis is based.
Consents requiring monitoring
In 2007/2008, 79 per cent of resource consents that were reported as requiring monitoring were actually monitored, up from 59 per cent in 2005/2006. This result is shown in figure 26. Figure 26 also shows that before the 2007/2008 survey there were only minor fluctuations.
Figure 26: Percentage of consents requiring monitoring that were monitored, 1998/1999–2007/2008
| Survey period | Percentage of consents requiring monitoring that were monitored (%) |
|---|---|
| 1998/1999 | 57 |
| 2001/2002 | 64 |
| 2003/2004 | 60 |
| 2005/2006 | 59 |
| 2007/2008 | 79 |
Source: 2007/2008 RMA survey data and published survey reports for the periods indicated.
Note: The result from the 1999/2000 survey period is not provided because it was presented in a manner that did not allow direct comparison.
Compliance with consent conditions
In 2007/2008, 84 per cent of monitored resource consents complied with their consent conditions, an increase from 74 per cent in 2005/2006. This continues a gradual increase in the percentage of monitored consents that complied with their conditions, as shown in figure 27.
Figure 27: Percentage of monitored consents that complied with consent conditions, 1998/1999–2007/2008
| Survey period | Percentage of monitored consents that were compliant (%) |
|---|---|
| 1998/1999 | 68 |
| 2001/2002 | 72 |
| 2003/2004 | 74 |
| 2005/2006 | 74 |
| 2007/2008 | 84 |
Source: 2007/2008 RMA survey data and published survey reports for the periods indicated.
Note: The result from the 1999/2000 survey period is not provided because it was presented in a manner that did not allow direct comparison.
Resolving breaches of resource consent conditions
Local authorities were asked how many breaches of resource consent conditions they resolved through different enforcement methods (appendix 6, question 4.6). The data collected has some limitations due to:
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the small number of local authorities that provided estimates for each complaint resolution method (these estimates have been included in the analysis)
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the small number of local authorities that did not record a complaint if it was resolved through informal means (the data provided on formal resolution by these local authorities has been included in the analysis).
Table 17 shows the number of breaches of resource consents conditions resolved by formal enforcement methods. It also shows the proportion of these breaches that were resolved by each enforcement method. Table 17 highlights that the use of formal enforcement has increased since the last survey: 1863 breaches were resolved through formal enforcement methods in 2007/2008, up from 1348 in 2005/2006. The number of breaches resolved by each of the formal enforcement methods also increased, with the exception of infringement notices, which dropped.
In 2007/2008 abatement notices were the most commonly used of all the formal enforcement methods, with 47.3 per cent (881) of all formally resolved breaches resolved by this method. Enforcement orders were the least commonly used, with only 0.4 per cent (7) of formally resolved breaches resolved by this method. This was also the case in 2005/2006.
The proportions of formally resolved breaches resolved by excessive noise directions and prosecutions both increased in 2007/2008. Use of excessive noise directions more than tripled, from 5.9 per cent (80) in 2005/2006 to 18.8 per cent (351) in 2007/2008, while prosecutions increased from 1.9 per cent (26) in 2005/2006 to 2.6 per cent (48) in 2007/2008. The proportion of formally resolved breaches resolved by infringement notices decreased in 2007/2008, from 46.1 per cent (621) in 2005/2006 to 30.9 per cent (576) in 2007/2008.
Table 17: Number and percentage of enforcement options used to formally resolve breaches of consent conditions, 2005/2006 and 2007/2008
| Enforcement option | 2007/2008 | 2005/2006 | ||||
|---|---|---|---|---|---|---|
| Number | Percentage | Number of local authorities providing data | Number | Percentage | Number of local authorities providing data | |
| Enforcement orders | 7 | 0.4% | 76 | 6 | 0.4% | 74 |
| Abatement notices | 881 | 47.3% | 79 | 615 | 45.6% | 79 |
| Excessive noise directions | 351 | 18.8% | 73 | 80 | 5.9% | 68 |
| Prosecutions | 48 | 2.6% | 77 | 26 | 1.9% | 76 |
| Infringement notices | 576 | 30.9% | 78 | 621 | 46.1% | 78 |
| Total | 1,863 | 100% | 80 | 1,348 | 100% | 79 |
Source: 2007/2008 and 2005/2006 RMA survey data.
Formal and informal enforcement means
In 2007/2008, 44 per cent of breaches of consent conditions were resolved by formal enforcement methods, up from 22 per cent in 2005/2006. This represents an increase of 100 per cent. Figure 28 shows a steady increase in the proportion of breaches resolved using formal methods over the past four surveys, and a corresponding decrease in the use of informal methods.
Figure 28: Percentage of consent breaches resolved by formal, informal or other methods, 1997/1998–2007/2008
| Survey period | Percentage of informally resolved complaints (%) | Percentage of formally resolved complaints (%) | Percentage of complaints resolved by other methods (%) |
|---|---|---|---|
| 1997/1998 | 95 | 2 | 3 |
| 1998/1999 | 92 | 4 | 4 |
| 1999/2000 | 85 | 3 | 12 |
| 2003/2004 | 81 | 13 | 6 |
| 2005/2006 | 63 | 22 | 15 |
| 2007/2008 | 52 | 44 | 4 |
Source: 2007/2008 RMA survey data and published survey reports for the periods indicated.
Notes:
The result from the 2001/2002 survey period is not provided because it was presented in a manner that did not allow direct comparison.
‘Other resolution’ refers to complaints that are either unresolved, in the process of resolution, or are yet to have a decision made on the resolution method.
Infringement notices
Local authorities were asked for information on the status of infringement notices (appendix 6, questions 4.6.5, 4.7).
In 2007/2008, 1530 infringement notices were issued. This is similar to the last survey, when 1507 were issued. This levelled off the upward trend from 2001/2002 to 2005/2006, as shown in figure 29. The number of infringement notices issued in 2007/2008 was more than double the 2001/2002 figure. The number of infringement notices issued as a proportion of the total number of active consents is unknown.
Figure 29: Number of infringement notices issued, 2001/2002–2007/2008
| Survey period | Number of infringement notices issued |
|---|---|
| 2001/2002 (n = 85) | 620 |
| 2003/2004 (n = 80) | 1157 |
| 2005/2006 (n = 85) | 1507 |
| 2007/2008 (n = 82) | 1530 |
Source: 2007/2008 RMA survey data and published survey reports for the periods indicated.
Note: The (n = ##) along the x axis refers to the number of local authorities that answered the question on which this analysis is based.
Infringement notices recorded by each local authority type
Table 18 distils the information further, showing infringement notices issued by the different local authority types over time. The increase in the total number of infringement notices over the past four surveys is due to increased activity by regional councils and territorial authorities. The number of infringement notices issued by regional councils decreased from 2005/2006 to 2007/2008.
In 2007/2008, of the 1530 infringements notices issued, 15 per cent (231) were withdrawn and 1 per cent (13) were appealed to the Environment Court. This is similar to the results in 2005/2006, when 16 per cent (238) were withdrawn and 1 per cent (19) were appealed. The remainder for each survey period were either paid or still in progress at the end of the respective survey period.
Table 18: Number and percentage of infringement notices issued, by local authority type, 2001/2002–2007/2008
| Local authority type | 2007/2008 (n = 82) | 2005/2006 (n = 85) | 2003/2004 (n = 80) | 2001/2002 (n = 85) | ||||
|---|---|---|---|---|---|---|---|---|
| Number | Percentage | Number | Percentage | Number | Percentage | Number | Percentage | |
| Regional | 680 | 44% | 785 | 52% | 503 | 43% | 335 | 54% |
| Unitary | 88 | 6% | 86 | 6% | 93 | 8% | 35 | 6% |
| Territorial | 762 | 50% | 636 | 42% | 561 | 48% | 250 | 40% |
| All | 1,530 | 100% | 1,507 | 100% | 1,157 | 100% | 620 | 100% |
Source: 2007/2008 RMA survey data and published survey reports for the periods indicated.
Notes:
The total number of infringement notices for 2007/2008 in this table is different from the sum of infringement notices in table 15 (resolving complaints) and table 17 (resolving breaches of consent conditions). This is because one local authority provided information on total infringement notices, which has been used here but which could not be separated out to use in the earlier tables.
The (n = ##) in table 18 refers to the number of local authorities that answered the question on which this analysis is based.
Due to rounding, not all survey percentages sum to 100%.
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Monitoring, Compliance, Complaints and Enforcement
June 2009
© Ministry for the Environment