Transcript Establishing a Compliance Assistance Center in the

Establishing a Compliance
Assistance Center in the Philippines:
A Pilot Project
for the Laguna de Bay Region
Asian Environmental Compliance and Enforcement
Network (AECEN) Regional Forum
Beijing, China
15 December 2007
Objectives of the Presentation
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Provide an overview of Laguna de Bay
Region, LLDA roles, and enforcement status
of identified sectors
Discuss the CAC establishment process,
overall plan, progress, and challenges/
responses
Discuss CAC structure, roles, website, staff,
funding
Define the next steps towards/along
implementation
Lessons learned and considerations for CAC
establishment
Laguna de Bay Region, Philippines
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THREE KEY FUNCTIONS
LLDA Core Functions
POLICY AND PLANNING
Develop Lake with due regard to
environment and prevention of
ecological imbalance
Conduct comprehensive survey/studies
Prepare comprehensive plan to conserve
and utilize resources
Exercise water rights within Laguna Lake
Prepare a water quality management
program
Coordinate policies with other
government agencies and
stockholders
REGULATORY
Establish and enforce water quality
standards for industrial, agricultural
and municipal use
Issue and revoke permits for use of
surface waters within the lake region
Approve development plans proposed
by
LGUs, private persons or enterprises
Collect fees for use of Laguna Lake
resources for all beneficial purposes
Compel compliance
INFRASTRUCTURE AND
RESOURCES DEVELOPMENT
Prepares and implement infrastructure
projects such as river works, flood
control and sewerage
Reclaim portions of the Lake
Undertake re-adjustments, relocations or
resettlement of populations
Finance Infrastructure projects
Collect reasonable fees and toll charges
Develop water supply from groundwater
or Lake water sources
Engage in fish production and other
aquaculture projects
Unprecedented economic growth over last 30 years brought
rapidly expanding industrialization and urbanization in the region
Encroachment in the lake is prevalent causing
intrusions of pollutants into the lake water.
Organic Waste Profile in the Lake
(As of 2004)
Agriculture
9.8%
Forest
0.8%
Industry
11.5%
Domestic
77.9%
3 Waves of Pollution Control
Public Disclosure
3 Waves of Pollution Control
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Environmental regulation and marketbased instruments have resulted to
significant pollution loading reduction and
encouraged investments in cost effective
pollution control measures
 Much is still to be desired in terms of
environmental compliance among
regulated sectors
Platform for LLDA’s Assistance
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LLDA Website (www.llda.gov.ph)
Continuing Environmental Education
Program
Information, Education, and Communication
Program
Annual Learning Forum
Publication of the Laguna de Bay
Environment Monitor
Quick Response Desk
LLDA Hotline and TEXT LLDA
Consent agreement and phased-in
compliance
MOA with QSRs for a two-year phasedin compliance with interim BOD
standards
 Series of discussions with
slaughterhouse operators, hog farms
and gas station operators
 Seminar for slaughterhouse operators
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Need for Compliance Assistance
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Many LGUs & thousands of small and mediumscale businesses face regulatory challenges
Staff not specifically assigned to oversight of
environmental obligations
Regulatory requirements continually change
LLDA is constrained to provide on-site assistance
to regulated entities (legally and resource-wise )
Small and medium-scale businesses and LGUs
do not always receive environmental information
targeted to their needs
Workshop on Developing Compliance
Assistance Capabilities
August 2006, Bangkok, Thailand
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US-EPA’s expertise and experience in
developing and running compliance
assistance centers
Presented by: Jim Edward, Division Director
Deborah Thomas, Acting Asso. Director
Compliance Assistance & Sector Programs
US-EPA
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LLDA and PCD-Thailand agreed to move
towards establishment of CACs for specific
areas/ sectors
Generic Action Plan
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Formulate pilot’s logical framework of the CAC in
relation to LLDA’s sustainable development goals and
draw up concept design, center management
(structure, staffing, funding, sustainability
mechanisms), web-based platform
 Draft policy/ legal instrument & operational guidelines
for LLDA Board approval
 Establish and pilot test the CACs
 Monitor and evaluate the CACs
 Recommend measures for CAC improvement
 Provide capacity building activities
 Develop the CA resources
Validate/ approve the
selected sectors
as pilot CACs
List possible candidate
CAC hosts and
selection criteria
Consultative meetings towards
CAC design and process flow
for establishment considering
existing models
Form work groups among
stakeholders to facilitate discussion
and consensus and conduct meetings
to report/ assess progress
Inception-Leveling Workshop
with Targeted Sectors
Internal Workshop among LLDA & AECEN
 Long/short lists and initial assessment of the
sectors that may be considered as pilot
groups for the Project
 criteria for selecting the pilot sub-sectors
– impacts on human health and environment
– patterns of non-compliance
– impacts to small business
Inception-Leveling Workshop
with Targeted Sectors
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Held on March 30, 2007 with 4 potential
sectors: fastfood chains, slaughterhouses,
hog farms, & gasoline stations, with 35
participants
– Discuss compliance status
– Present concept of compliance assistance
– Determine if compliance assistance can be a
strategic intervention
– Level-off on the pilot CAC project
– Define the next steps
Compliance Profiles of
Slaughterhouses & Hog Farms
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Out of 68 slaughterhouses
monitored by LLDA, less
than 50% complied with
permit requirements &
effluent standards
-43 LGU-owned, majority
with pending pollution cases
 Of 201 hog farms registered
with LLDA, only 53 (26%)
are compliant with
environmental requirements
Findings/ Conclusions on the
4 Sectors
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Compliance status indicative of prevailing conditions
in other sectors in the lake region
 Many enterprises covered by LLDA-EUFS are yet
unable to comply with effluent standards, how much
more with those not yet enlisted
 Slaughterhouses & pig farms have more direct
impact on environment & community welfare; majority
have inability to comply with standards & regulations
 Potential CAC hosts: industry associations, LGU,
school, NMIS for slaughterhouses, NGO
 CAC may not be a strategic intervention for fastfood
industry and gas stations
Seminar-Workshops with
Priority Sectors – May 29-30, 2007
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Intended to share lessons from USEPA on CAC
models; share lessons from Taiwan from PROC-EPA
and swine sector; discuss proposed CAC design;
identify CAC resources, outreach activities, needs &
next steps; establish international linkages
Participants from a range of industry federations,
sector associations, pig farms owners/operators,
private slaughterhouse operators, LGUs, relevant
govt. agencies, LLDA,
Resource Speakers from: USEPA, Taiwan EPA,
Taiwan Swine Raisers Association
Workshop with Hog Raisers
May 29, 2007 ,The Vivere Suites, Alabang,
Muntinlupa City, 42 participants
Workshop with Slaughterhouse Operators
Eugenio Lopez Center, Antipolo City, May 30, 2007,
45 participants
Key Agreements from the
Workshops - Slaughterhouses
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National Meat Inspection System (NMIS)
as a potential host agency for
slaughterhouse CAC (initially)
 Eventually CAC to be mainstreamed into
the industry association
 Phase 1: Physical center
Phase 2: Couple CAC with website
MOA with CAC Host (NMIS)
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Sets the CAC purpose
Describes the policy environment within which the
LLDA and NMIS will jointly establish the CAC for
slaughterhouses
Defines roles and responsibilities of, resource/cost
sharing between LLDA and NMIS
Provides for joint monitoring and evaluation of the
CAC
Sets direction for moving forward from NMIS-to a
private sector-managed CAC; creation and
operation of CACs for slaughterhouses outside
Laguna de Bay Region
Key Roles and Responsibilities
LLDA
NMIS
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Provide funding requirements for
the CAC establishment thru
AECEN/ECO-Asia
Provides information & other tools/
materials for the CAC/website
Assist the NMIS in CAC promotion
Act professionally on matters
referred by the CAC
Provide sustainability mechanisms
to ensure continuing/improved
CAC operations
Assist NMIS in planning, training a
private sector CAC host
Extend assistance to NMIS in
mainstreaming CAC outside LdBR
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Acts as host & manager of CAC
Provide space, competent
personnel, counterpart resources, &
other amenities for CAC
Sets up/ update CAC resources,
coordinate with LLDA & other info
sources
Prepare CAC logframe, manual of
operations, annual plans
Administer the website
Conduct info dissemination, CAC
promotions
Act professionally on queries &
requests for assistance received
thru CAC
Jointly monitor & evaluate CAC
operations, prepare periodic reports
Initiate/Adopt measures to sustain CAC,
plan for private sector turn-over
CAC Challenges – Hog Farms
“Walk-in Forum” with LLDA on August 3, 2007.
 Timing of issuance of notices of violations prior
to and after the forum – “LLDA as the greatest
fear factor among hog raisers
 Clamor was for the LLDA to issue a moratorium
to hog raisers on enforcement of the effluent
standards while the CAC is being set up
 Considering the issue on the moratorium is
being linked to the hog farms’ willingness to
support the CAC establishment, the efforts took
a uphill climb
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Key Agreements – Hog Farmers
Meeting on November 5, 2007
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CAC for hog farms will be established, to be cohosted by Baras Business Council and United Broiler
Raisers Association
Web-based CAC is the most efficient, coupled with
print information materials, training, sharing of
experience (technical options and funding
opportunities), workshops, dialogues
LLDA will continue to enforce, even with CAC in
place. But hog raisers, through the BBC, will move
parallel but outside the CAC, its initiatives on
moratorium and dialogues on other aspects.
Timetable – Slaughterhouses CAC
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Soft launching of CAC webpage-October 15
Data Gathering
-November
Production of leaflet/posters
-on-going until Dec
‘09
IEC – tri-media
-Oct – Dec ‘07
Dialogue with Operators
-continuing
Virtual Plant Tour
-Jan ’08 – Dec ’09
Launching of the CAC
-Jan ‘08
Timetable – Hog Farms CAC
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Development of website
Meeting on draft MOA
Workshop on webpage
contents & Action plan
Meeting to view and
comment on initial Website
Set up of the web-based CAC
Launching
-November-December
-November 14
-November 19
-December 3
-End of December 2007
-January 2008
CAC Structure
Compliance Assistance Center for the
Laguna de Bay Region – What It Is
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The CAC comprises of activities, tools or technical
assistance which provide clear and consistent
information for the regulated establishments to help them
understand environmental regulations and be able to
comply with their obligations under environmental
regulations.
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In effect, the operation of a compliance assistance
center is compliance promotion even as the
environmental authorities continue to undertake their
enforcement work.
Compliance Assistance Center for the
Laguna de Bay Region – What It Is
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Salient features of the CAC are the use of web sites, plain-language
guides, fact sheets, training, and on-site visits as tools of assistance.
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Applicable environmental laws, regulations, standards, permitting
system (including forms) can be found also in the CAC.
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The Compliance Assistance Center shall have basic facilities,
personnel and budget support for its operations.
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Its personnel shall be trained on the rationale, objectives, tasks and
mechanics of a compliance assistance Center
Information Materials for Compliance
Assistance Center
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Relevant Environmental Laws – Clean Water Act;
Republic Act 4850; Executive Order 927
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Relevant Environmental Regulations and Standards
– DENR Administrative Order No. 34 and 35;
Relevant LLDA Resolutions, e.g., Board Res. No. 33,
series of 1996 (Environmental User Fee); LLDA
Memorandum Circular No. 2006-3, series of 2006
(Policies and Implementing Guidelines on the
Disposal/Discharge of Wastewater Through Service
Providers and for Other Purposes)
Information Materials for Compliance
Assistance Center
LLDA Forms
(e.g., Self-Monitoring Reports)
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Suggested Environment Improvement Technologies
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Manuals on Good Housekeeping; Best Environmental
Management Practices; Good Manufacturing Practices
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NMIS Rules and Regulations
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NMIS Environmental Management Guidelines
Tasks to be Done
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Briefing of CAC institution or host
Negotiation and Discussion on Terms of CAC, including
counterpart contribution to the CAC
Training of CAC Staff
Provision of Support to CAC
Reproduction of Information Materials Informing the
Slaughterhouse Operators and hog farms
Continuing Training of LLDA staff and host institutions on
CAC operations
Continuing forum and seminars
Monitoring and Evaluation of the CAC by LLDA in
collaboration with CAC hosts and AECEN
Sustainability Mechanisms
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LLDA Board’s approval of and issuance of
Board Resolution ensures institutional
commitment & provision of counterpart
resources
 Designation of a CAC Focal Point within the
LLDA to provide direction, mobilize concerned
divisions/personnel, lead formulation of
guidelines & procedures for establishment,
operation, monitoring and coordination of CACs
 In the future, allocation of a certain percentage
of the user fee collected from slaughterhouses
& hog farms to support the CACs
Key Accomplishments &
Current Status
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Board Resolution No. 336, Series of 2007 approves the
establishment of Compliance Assistance Centers to
facilitate compliance with environmental laws,
regulations and standards, confirms slaughterhouses
and hog farms as the priority sectors for compliance
assistance, and ensures sustainable source of financial
support
Memorandum of Agreement between LLDA and NMIS
Soft launching of the Slaughterhouse CAC Website
(www.slaughterhousecac-phil.org)
Development of initial design & contents listing of hog
farms CAC Website (www.hogfarmscac-phil.org)
Seminars, technical visits, study tours
Firming up of action plans
Lessons Learned & Considerations
in CAC Establishment
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Involving stakeholders early on in the process
is a MUST
 Identifying key partners (organizations &
individuals) helps in facilitating the process
 CAC processes should be clearly delineated
from the agency’s regulatory functions
 Clarifying and mutually agreeing on the role
of the CAC in stakeholders’ advocacy of
policy and compliance issues
Lessons Learned & Considerations
in CAC Establishment
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Continuous dialogue with organizations
involved should be pursued to level off on
CAC goals and expectations
 Promotion of CAC concept and functions
within the agency helps in building consistent
understanding and engaging management
and dedicated staff to move the process
forward
 Having appropriate legal instruments should
be pursued to ensure institutionalization of
CAC
Endnotes
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Operational CACs are part of a set of systems
and behavioral changes, both of the regulator
and the regulated, that will eventually lead to
improved and consistent compliance with laws,
regulations and standards, creating a more
acceptable image in the community, and
improving overall environmental governance in
the locality.
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Finally, all this is expected to help improve the
lake environmental quality and make it
sustainable for the 10 million or so
stakeholders.