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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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Establishing a Compliance Assistance Center in the Philippines:A Pilot Projectfor the Laguna de Bay Region Asian Environmental Compliance and Enforcement Network (AECEN) Regional Forum Beijing, China 15 December 2007
Objectives of the Presentation • 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
M a r i k i n a M a n g a h a n M o r o n g T a n a y M a i r i k a n a M n g a h a n o M r n o g r a B s a T a n y a T g a i u g A n g n o o P l i i l a l S t a . M a r a i S n i a o i l n u M t i n n l u p a J a l a a j - a l n P a g i l n a S P e r d o ñ i B a n l a C a r i a y a b C u y a o S t a . M a r i a A n g o l P i a a g P s a a j n n S n a C t s i r b o a l L o s a B o ñ s l C a a u a n S a t C . r z u S a n J u n a S i n i l o a n P a n g i l J a l a - j a l a l i C a r a y a B i ñ a n C a b u y a o P a g s a n j a n P i l a S a n C r i s t o b a l L o s B a ñ o s l C a a u a n S t a . C r u z S a n J u a n Laguna de Bay Region, Philippines B a r a s T a g u i g P i l i l l a n o M u n t i n l u p a S a n P e d r o N
LLDA Core Functions • 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 • 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 • 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 THREE KEY FUNCTIONS
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.
Agriculture Forest 9.8% 0.8% Industry 11.5% Domestic 77.9% Organic Waste Profile in the Lake (As of 2004)
3 Waves of Pollution Control Market Based Instruments Law Enforcement Public Disclosure
3 Waves of Pollution Control • Environmental regulation and market-based 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 • 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 phased-in compliance with interim BOD standards • Series of discussions with slaughterhouse operators, hog farms and gas station operators • Seminar for slaughterhouse operators
Need for Compliance Assistance • Many LGUs & thousands of small and medium-scale 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 CapabilitiesAugust 2006, Bangkok, Thailand • 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 • LLDA and PCD-Thailand agreed to move towards establishment of CACs for specific areas/ sectors
Generic Action Plan • 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 • 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 • 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 • 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 withPriority Sectors – May 29-30, 2007 • 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 RaisersMay 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 • 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) • 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
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 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 Key Roles and ResponsibilitiesLLDANMIS
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
Key Agreements – Hog FarmersMeeting on November 5, 2007 • CAC for hog farms will be established, to be co-hosted 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 • 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 • Development of website -November-December • Meeting on draft MOA -November 14 • Workshop on webpage -November 19 contents &Action plan • Meeting to view and -December 3 comment on initial Website • Set up of the web-based CAC -End of December 2007 • Launching -January 2008
Compliance Assistance Center for the Laguna de Bay Region – What It Is • 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. • 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 • 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. • Applicable environmental laws, regulations, standards, permitting system (including forms) can be found also in the CAC. • The Compliance Assistance Center shall have basic facilities, personnel and budget support for its operations. • Its personnel shall be trained on the rationale, objectives, tasks and mechanics of a compliance assistance Center
Information Materials for Compliance Assistance Center - Relevant Environmental Laws – Clean Water Act; Republic Act 4850; Executive Order 927 - 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) • Suggested Environment Improvement Technologies • Manuals on Good Housekeeping; Best Environmental Management Practices; Good Manufacturing Practices • NMIS Rules and Regulations • NMIS Environmental Management Guidelines
Tasks to be Done • 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 • 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 • 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 • 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 • 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 • 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. • Finally, all this is expected to help improve the lake environmental quality and make it sustainable for the 10 million or so stakeholders.