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Establishment and Operation of Compliance Assistance Centers for Hog Farms and Slaughterhouses in the Laguna de Bay Region/Philippines. Assisted by the USAID/ECO-Asia and AECEN Dolora N. Nepomuceno Assistant General Manager Laguna Lake Development Authority. M. a. r. i. k. i. n. a.
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Establishment and Operation of Compliance Assistance Centers for Hog Farms and Slaughterhouses in the Laguna de Bay Region/Philippines Assisted by the USAID/ECO-Asia and AECEN Dolora N. Nepomuceno Assistant General Manager Laguna Lake Development Authority
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Introduction to Laguna de Bay • Largest lake in the Philippines, one of the largest in Southeast Asia, World’s 18th Living Lake • 24 sub-watersheds including 24 major river systems traversing 66 LGUs in 5 provinces including Metro Manila, of which 28 immediately surround the lake • Multiple uses with greatest potentials as source of domestic water • Only one outlet – Napindan Channel, discharging to Manila Bay via Pasig River The Laguna Lake Development Authority (LLDA) was created thru Congressional Enactment in 1966 for the sustainable management and protection of the Lake.
Institutional and Legal Context • As a lake basin management authority, LLDA has planning, regulation and enforcement, and developmental mandate and functions • DENR - national line environmental protection and natural resource conservation agency • 2 Regional ENR offices in the Laguna de Bay basin: decentralized regulatory responsibilities • Over 30 other water-related agencies • 66 LGUs with environment-related functions (1991 Local Government Code)
Compliance Profiles of Slaughterhouses & Hog Farms • Out of 68 slaughterhouses monitored by LLDA, less than 50% complied with permit requirements & effluent standards -43 LGU-owned, majority with pending pollution cases with LLDA, often do not meet sanitation standards • Of 201 hog farms registered with LLDA, only 53 (26%) are compliant with environmental requirements
Need for Compliance Assistance • Many LGUs & thousands of small and medium-scale businesses face regulatory challenges • LLDA 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
Introducing the CAC to the Philippines The idea of establishing Compliance Assistance Centers in the Philippines and Thailand was introduced by USEPA and AECEN in August 2006 in Bangkok LLDA and PCB-Thailand decided that the CAC would be piloted on a smaller (sector-specific) rather than country-wide scale and that lessons would guide the establishment of other CACs. Work for the introduction of CAC started in early 2007 thru the CAC Project Team with support from USAID/ECO-Asia and AECEN.
Introducing the CAC to the Philippines With AECEN, LLDA conducted a inception/leveling-off workshop in February 2007 to make a long list of priority industries for CA, agree on the selection criteria, and initially assess 10 priority industry sectors Sector representatives, including hog raisers and slaughterhouse operators and their association officers, attended the March 2007 workshop which reduced the long list of 10 industries to only 4.
Findings/ Conclusions on the 4 Sectors(Fastfood, gas stations, Slaughterhouses, Hog Farms) • Slaughterhouses & pig farms have more direct impact on environment & community welfare; majority have inability to comply with standards & regulations • Industry associations, LGUs, schools, NGOs expressed interest/willingness to host the CACs • CAC may not be a strategic intervention for fastfood industry and gas stations
Consultation Workshop with Hog Raisers/Slaughterhouse Operators,May 29-30, 2007 • Intended to share lessons from USEPA on CAC models; share lessons from Taiwan-EPA and swine sector; discuss proposed CAC design; identify CAC resources, outreach activities, needs & next steps; • Forged international linkages on CACs
Agreed Center Model • Centers managed by independent 3rd party (industry associations) in partnership with LLDA • Cooperative agreement on funding between LLDA and CAC hosts, and initially with grant support from USAID thru ECO-Asia/AECEN; • Post-grant period- CAC hosts to continue operation using its own/ internally generated funds; LLDA to leverage partly its user fee collection from hogfarms/ slaughterhouses to sustain the CAC
Key Agreements from the two workshops • Strong support to the CAC by two sectors • Potential CAC host institutions • 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
Establishing the Pilot CACs in the Laguna de Bay Region/Philippines LLDA Board of Directors issued on Sept. 27, 2007 Board Resolution No. 336, Series of 2007 Approving the Establishment of the Pilot CACs Launched on April 29, 2008 the CACs and dedicated websites Announced the search for host of the CAC for Slaughterhouses
Center Staffing • Approximately 2-3 staff headed by CAC Supervisor dedicated to Center management -Additional LLDA staff available for technical/ sector expertise
Selecting CAC HostsSetting of Criteria Familiarity with the industry & operation of the sector; Willingness to serve needs of hog farms or slaughterhouse and develop its capacity to operate the CAC; Openness to cooperate with the environmental agencies; With office strategically within the Laguna de Bay Region; ability to provide physical facilities (office, communications, internet, etc) Availability of personnel with enough technical background on industry/sector operation and communication technology to help manage the CAC; and Has the capacity to sustain operations of the CAC;
Selecting CAC Host Invited institutions to submit expressions of interest to host the CAC Two state universities in the Lake region One technology provider Federation of River Councils, a non-government organization for the protection of the Lake Philippine Association of Hog Raisers National Federation of Hog Farmers Slaughterhouse Operators Association of the Philippines Slaughterhouse Operators Association of Rizal LLDA was the “Transitional Host” of the CAC for Slaughterhouses, while looking for a private host organization
Selecting CAC Hosts Interview of CAC Host Applicants Evaluation of Applicant’s Potential Capability as CAC Host - done by the LLDA CAC Project Team, with assistance from an external Institutional Devt. Specialist Final Interview and series of meetings with selected CAC Host
Selecting CAC Host For the slaughterhouse, the National Meat Inspection Service (NMIS) of the Dept. of Agriculture, a government agency initially manifested interest to be the CAC host. NMIS regulates the operation of all slaughterhouses in the Philippines. The interest of NMIS was tied up to its Environmental Management System for Slaughterhouses which was launched in 2007.
Selecting the CAC Host The CAC for Hog Farms is now hosted by the Baras Business Council (BBC), an organization of industries east of Metro Manila, whose membership includes a number of hog farm operators The CAC for Slaughterhouses is operated by the Slaughterhouse Operators Association of the Philippines (SOAP), based in one of the cities of Metro Manila.
Signing of Memos of Agreement with CAC Hosts November 17, 2009, Legend Hotel, Mandaluyong City April 29, 2008, LLDA Office, Pasig City
Salient Features of the MOA • Defines the common objective for CAC establishment • Recognizes the authority of LLDA and the pursuit of Host institutions to carry out their respective functions and responsibilities • Spells out the duties/responsibilities, resource commitments, info sharing, etc. of LLDA & BBC • Defines the M&E, reporting functions of each party
Provides initial funding requirements for the CAC establishment thru USAID/ECO-Asia and AECEN Provides information & other tools/ materials for the CAC/ website Assists the CAC host in info dissemination & promotion Acts professionally on matters referred by the CAC Provides sustainability mechanisms to ensure continuing/improved CAC operations Provides training to CAC Hosts/staff Extends assistance to CAC Hosts in mainstreaming CAC outside LdBR Manage & operate the CACs Provide space, competent personnel, counterpart resources, & other amenities for CACs Sets up/ update CAC resources, coordinate with LLDA & other info sources Prepare CAC logframe, manual of operations, annual plans Administer the websites 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 Key Roles and ResponsibilitiesLLDACAC Hosts
Benefits to Host Institutions • Achievement of institutional goals/ objectives while serving the needs of stakeholders/ beneficiaries • Capability building including training in managing a CAC and websites • Opportunities for cooperative exchanges to share experience and best practices • Prestige & honor as CAC hosts
Training Approaches • Both formal and informal • For formal training: two-staged orientation/seminar-workshops: • Focused orientation-seminar to build ownership of the CAC, to develop the CAC hosts’ buy-in • Seminar-workshops where elements of CAC and its services are discussed by the LLDA CAC Team and external specialists (institutional devt & website designer)
Training Approaches Orientation-Training of CAC Supervisors thru face-to-face/ in-person meetings and learning by doing with Center Team; Coaching on how to handle requests for assistance from establishments Informal training happens during small meetings between the LLDA and the CAC hosts, and in some cases , during dialogues with the national environmental agency and technology providers – with assistance from a CAC institutional specialist
Training Contents Overview of Environmental Management and Protection Environmental Laws, Regulations and Standards Environmental User Fee System Permits and permitting systems; fees and charges
Training Contents Monitoring and inspection procedures Policies and procedures on citing establishments with violation Procedures on holding “technical conference” with violators Legal procedures
Training Contents How to Manage the CAC; attending to clients’ needs Use and management of the CAC website Monitoring and Evaluation; Preparation of Reports
LLDA and the CACs Emergence of the CAC Champion – “mover & shaker” of the CAC initiative within the agency Organized its own CAC Team tasked to provide policy direction and continuing assistance to the CAC’s, and to monitor CAC activities. CAC Team reports to the LLDA management on the progress of the CAC’s Designated a full-time CAC Coordinator within LLDA whose major task is to coordinate working relationship between LLDA and the two CACs, and to link the CACs with the various offices of LLDA
LLDA and the CACs The CAC Supervisor for hog farms has been allowed to observe hearing of cases of violation. The purpose is to familiarize the CAC supervisor with the range of problems and violations and the applicable solutions. Similar approach will also be done for the slaughterhouse CAC.
LLDA Assistance to CAC Hosts Guidance in setting up the CAC physical centers Assisting the CACs in recruiting/selecting and training of CAC Supervisors Setting up and enhancement of the CAC Websites Wells Resort, Baras, Rizal Hog/Poultry Farms CAC
LLDA Assistance to CAC Hosts Providing the CAC with information materials on good environmental management practices; appropriate waste water treatment technologies; environmental laws, regulations and standards; required permits and permitting procedures; penalties and fines Facilitating CAC dialogues with local government officials Assisting the CAC in formulating and adopting a Manual of CAC Operations Development and discussion of CAC Monitoring and Evaluation System and CAC Performance Indicators
LLDA Assistance to CAC Hosts Organizing dialogues between the CACs and technology service providers to enhance the CACs’ capacity in giving advice to operators on appropriate waste water treatment technologies Assistance in organizing and conducting interactive meetings with the industry players (hog farms; slaughterhouses) Assistance in answering queries from participants during interactive meetings
Compliance Assistance Center- Early Benefits • Increased awareness on environmental management responsibilities although their capacity to comply still needs to be improved. • Created forum for the operators to raise their own concerns and difficulties with government environment agencies, LLDA included, thus initial doubts on LLDA intentions to help the sectors has bee slowly replaced by mutual trust, thus improving environmental governance. • Enabled LLDA to take a more critical look at how environmental compliance and enforcement are done and what further improvements are needed/
Compliance Assistance Center- Early Benefits Policy dialogues using the CACs platform • Entering into an agreement with LLDA on step-wise or phase-in compliance to give them time to comply with standards and regulations, under the Philippines Environmental Partnership Program (PEPP) • Negotiating with the national environmental agency for water quality standards that are appropriate for their operations (industry-specific effluent standards)
Compliance Assistance Center- Early Benefits The CAC complements the environmental management improvement for slaughterhouses – of the National Meat Inspection Service, a government agency that supervises and regulates the operations of slaughterhouses in the country. CACs have become a venue for policy dialogues, thus contributing to good governance
Compliance Assistance Center Lessons Learned The hog farming and slaughterhouse sectors initially thought that the CAC can be a shield for them for non-compliance, meaning, LLDA will give them special treatment and be allowed to continue violating LLDA regulations. This of course had to be clarified repeatedly – that LLDA will continue to enforce regulations because it is the agency’s legal mandate.
Compliance Assistance Center Lessons Learned Initially, many target establishments have doubts on the objectives of the Compliance Assistance Center. Some of them thought that it was a gimmickry or strategy to bring out violators so LLDA can go after them. The regular dialogues between the CAC and its target clients serve to clarify the CAC’s true objective – that is, assisting establishments to improve their environmental performance and be able to comply with regulations.
Compliance Assistance Center Lessons Learned In organizing industry dialogues: -CAC host-initiated and driven -LLDA’s role is mainly to serve as resource persons This is important at this stage when the CACs are being developed to grow as a credible assisting organization and when doubts as to its objectives still linger among establishments. Continuing need to secure the support of local government units in compliance assistance work. The LGUs can be a partner of the CACs and the LLDA in disseminating environmental and permitting regulations. The LGUs positive support is considered as a critical factor for the success and sustainability of the CAC
Challenges – on the Success and Sustainability of the CAC Continuing capability building of the CACs through formal and informal training and by updating of information materials on environmental regulations and management Linking the CAC with pollution control technology providers have to be pursued vigorously to enable the CAC to give appropriate advice to the assisted establishments
Challenges – on the Success and Sustainability of the CAC Need for financial mechanisms that will ensure the generation of funds for the CAC to enable it to continue its operations. Examples are: membership fees, seminar/workshop fees, sale of information materials, securing grants from other donors, and LLDA’s sharing part of its Environmental User Fee collected from the two sectors. Monitoring and evaluation of the CACs to track their performance and further improve its capacity to provide compliance assistance
Challenges – on the Success and Sustainability of the CAC Replicability of the present CAC for other industry sectors within the LLDA Region Making the CAC’s as country-wide service compliance assistance centers
LLDA’s Continuing Advocacy • CACs as a “connect” between environmental authorities and regulated communities • Compliance promotion thru the CACs even as environmental regulation and enforcement continue • Making initial strategic gains achieved from the CACs work for other sector replication and mainstreaming it nationwide • Pro-active support to USAID/AECEN knowledge building and experience sharing on CACs in Asia
Thank You!Laguna Lake Development AuthorityUSAID/ECO-AsiaAECEN Establishment and Operation of Compliance Assistance Centers Laguna de Bay Region/Philippines