CONCEPT PAPER OF AN ENVIRONMENTAL COMPLIANCE AUDIT

Background and Rationale
• Environmental issues and concerns are
given very low priority in political
governance, especially in the local and
lowermost levels where it matters most.
• This is caused by the lack of awareness of
the importance of environmental
resources as the foundation for any
economic development (e.g., water, soil,
etc.)
• There is also lack of awareness on the part
of the government leadership on the
numerous laws dealing with
environmental protection. Almost all laws are passed by Congress without an
adequate information and communications program.
• Thus there is no political will on the part of the governmental leadership to comply
and enforce basic environmental and sustainable development laws
• Sometimes, even with knowledge of the importance of environmental concerns and of
the relevant laws, neglect, patronage, and corruption come in the way of compliance
and enforcement.
• The situation above prevails in many countries, especially in “less-consuming
countries” (a.k.a. so-called developing countries)
Concept of the Environmental Compliance Audit
• The idea of an environmental compliance audit was born out of frustration by a
lawyer/author who has written an 850 page book
on Philippine Environmental Law and realized that
not even one per cent of the some 130 laws are
being implemented.
• This novel idea seeks to ensure that:
o Environmental concerns are brought to the
attention of the local and national political
leaders concerned
o They are addressed with sufficient seriousness
and determination
o Public officers tasked to implement, comply
and enforce the Law are held accountable for
their inability or unwillingness to comply with the relevant environmental laws
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Methodology
• The approach to do this is very simple: It is in the form of a report card with three
columns. The first column is the key legal provision. The second is the quantitative
or qualitative level of compliance column. The third will be for other notes or
remarks.
• Thus, below is an example of environmental compliance audit report card for a
simple law on solid waste management (Republic Act 9003)
Solid Waste Management
Environmental Compliance Audit Sample Form
Key Legal Provisions Level of Compliance Other Remarks
Mandatory Segregation of
Wastes (Sec. 21)
Materials Recovery
Facilities (MRF) (Sec. 32)
No-segregation/nocollection
rule
Dumpsite/landfill
Explanation/comments:
First Column
Waste Segregation.
The first column contains key provisions of the law which if complied with will
result in the substantial compliance of the entire law. For example, if all the villages
(barangays) comply with the mandatory segregation of wastes, the wastes can be reduced
by almost 80-90%. Thus, if there are 20 villages in the town and only one practices
segregation of wastes, the level of compliance (second column) of the town is 1/20.
Materials Recovery Facility (MRF)
The same is true for the existence of MRFs. Under the law, villages or cluster of
villages are mandated to establish an MRF for the collection and storage of
segregated/recyclable facilities. If there is only one village that has an MRF or uses it,
then the level of compliance grade is 1/20.
No-Segregation/No-Collection Rule
The law also provides that un-segregated waste must not be collected. To enforce
this, there is a criminal penalty of up to six months of imprisonment for the collectors of
the garbage and (presumably, under the principle of command responsibility) for the
local officials (mayor) concerned. A quick look at the garbage trucks and the dumpsites
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will determine whether this rule is being implemented. If not, then the grade (level of
compliance, second column) of the local government being audited is ZERO.
Dumpsites
Under the law, all open dumpsites must be converted into controlled dumpsites by
February 2004 and into sanitary landfills by February 2006. If this has not been
implemented, then the grade of the local government (and its officials) is another ZERO.
Second Column
The second column is the level of compliance. Generally, this can be expressed
quantitatively, such as in the form of percentage. This has been discussed above.
Third Column
This column/cell is for other comments/notes that the auditor may wish to make. For
example, on the negative side, the auditor can express the criminal penalty for violation. On
the positive, he can document the efforts being done by the local government to address the
issue.
The form below is an example of a semi-filled up report card after an environmental
compliance audit.
Solid Waste Management
Environmental Compliance Audit Sample Form
Key Legal Provisions Level of Compliance Other Remarks
Mandatory
Segregation of Wastes
(Sec. 21)
1/20 (one of 20 villages in
the town practices
segregation)
Despite an order by the Mayor to implement mandatory
segregation, village officials are not complying. Grounds for
legal action for gross negligence in the performance of
public duty
Materials Recovery
Facilities (MRF) (Sec.
32)
2/20
(only two villages have a
clustered MRF)
Village No. 3 to 20 dump their wastes into the rivers.
Recyclables are being thrown away indiscriminately. These
are potential income sources for impoverished/ unemployed
members of the community.
No-segregation/nocollection
rule
Zero (0%)
Mayor/Garbage collectors
has not implemented this.
Mayor, Municipal Engineer and head of public office can be
held liable for criminal prosecution and penalized with
suspension of public office and imprisonment of up to 6
months.
Dumpsite/landfill
Zero (0%)
Disposal facility still an open
dumpsite
Despite lapse of deadline, local government has maintained
a very unsanitary dumpsite, with squatters living in the
dumpsite. However, the local government is beginning to
fence the area and is in the process of relocating the
squatters.
The elegance of this method lies in its simplicity. The second column can be filled up by
ordinary members of the community, in fact, even by high school students. This compliance
audit can be done for fisheries and marine conservation laws. In fact, it can be done for all
environmental laws. Below is an example of an environmental compliance audit form for
marine conservation and coastal resource management duly filled after the conduct of the audit.
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Environmental Compliance Audit Sample Form
Marine Conservation and Coastal Resources Management in
The Municipality of ABC
Key Legal
Provisions
Level of Compliance Other Remarks
Identification
of Municipal
Waters
100%, done. Ordinance no. 123 (2004)
delineates an area of some 30,000
hectares as its municipal waters.
(Attached is a map of the municipal
waters and the ordinance).
There are disputed areas between the towns of A and
B. It will be suggested that they turn this into a marine
park under joint management (a local ‘parks-forpeace’
initiative)
Registration of
Fishers
It is estimated that there are 1000
fishers of whom only 200 are registered.
200/1000 (20%)
Need to campaign for registration of fishers and
identification of the fishing nets/gear used.
Registration of
Fishing Boats
Local officials are unaware that there is
a law requiring them to register all
fishing boats below 3 tons. (0%)
In villages A, B and C, there are a great number of
boats that are identical in shape, color and size, all
without names and serial numbers. This is intentional
to ensure anonymity. Villages A, B and C are the
known hotspots of illegal fishing in the area. Mayor is
advised of need to register the boats and put clear
number/markers
Incidence of
illegal fishing
Anecdotal evidence by persons
interviewed reveals that blast fishing
and commercial fishing intrusions run
rampant in the locality.
Local Government has no capability to protect its
municipal waters. No budgetary appropriation has
been made for fish wardens training.
Marine
Protected Area
10 hectares of a minimum needed of
4500 hectares.
Law mandates that at least 15% of the
municipal waters must be declared
marine sanctuaries (in the case of the
town of ABC only ten hectares have
been declared as such when it should be
at least 4,500 hectares.
The local government officials are unaware of the
law. Upon inspection of marine survey, sites A, B, C,
D, E and F, (see map attached) are damaged coral
reefs suitable for marine sanctuaries. These have great
potential for scuba diving / eco-tourism sites.
Budget Practically none From its development fund, it should set aside some
funds for the establishment and operation of a Bantay
Dagat Patrol (Sea Guardian)
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The above ‘report card’ will have the following functions:
1. raise the level of awareness of local officials on their environmental duties and
responsibilities as mandated by law
2. elevate the priority accorded to basic environmental concerns
3. be a mirror to measure their own performance
4. serve as an accountability sheet and, subtly, as a warning that continued failure may give
rise to legal liabilities
5. serve as a benchmark/baseline with which to measure the future performance of the local
officials concerned
6. promote better compliance without resorting to the enforcement mode
7. spark serious action for compliance of basic environmental laws.
Pilot Testing: The Philippine Islands
• The Philippine Islands is one of the megadiversity
countries in the world. It has been
found to be so rich in the terrestrial lives it
has been described as the Galapagos Islands
multiplied ten-fold.
• Its seas are even richer. The Philippines is
one of the countries that make up the Sulu-
Sulawesi Marine Triangle (also known as the
Indo-Malay Philippine Archipelago). This
group of islands has been described by a UNFAO
study as the ‘Center of Marine
biodiversity on Earth,’ with the Philippines
being the ‘center of the center.’ Sadly,
however, abundance breeds waste. From
about 3 million hectares of coral reefs some
50 years ago, today only about 10,000
hectares remain in intact condition. The rest
are in varying stages of degradation and destruction as a result of over-fishing, blast
fishing, cyanide fishing, and other destructive fishing methods.
• Consequently, fish catch has also reduced by as much as 95% in some areas.
The Visayan Sea
• The heart of the Philippine seas is the Visayan Marine Triangle with the Visayan Sea
at its apex. It is so rich in marine life that a mere two hectares of its coral reefs
contains more coral species than the entire Caribbean Sea put together.
• It also mirrors the abuse heaped upon the seas by Filipinos. The underwater coral
reefs are so devastated, in some areas they already look like roads flattened and paved
with concrete.
The Sulu-Sulawesi Marine Triangle
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The Visayan Sea-the heart of marine biodiversity
on Earth
• Bantayan Island, an archipelago of some 20 islands and islets, is a case in point.
While blessed with being one of the very few areas totally and completely surrounded
by coral reefs, it is now 99.9 damaged.
• This is the cumulative result of decades of neglect by local and national officials
mandated by law to protect its seas.
The Project
• The Visayan Sea Squadron, a group of volunteer citizens made up of lawyers,
academicians, incumbent and former public officials, and ordinary citizens have
banded together to conserve, protect and restore the Visayan Sea.
• The project is made up to two components: The Bio-physical Survey and the
Environmental Compliance Audit. To soften the
perception of its impact, however, it will be
formally referred to as an Environmental
Compliance Exercise, or ECE.
• It will assess two basic laws: The Solid Waste
Management Law (Republic Act 9003) and the
Fisheries Code (Rep. Act 8550)
a. Solid Waste Management Law
􀂃 Solid waste management is a
barometer for good citizenship and
good governance. Discipline is a basic
measure of good citizenship. If a
people cannot exercise basic discipline
in the handling of its waste, there is not
much it can achieve as a people.
􀂃 Similarly, if a government and its
government officials cannot manage
such as simple thing as its own
garbage, what is it capable of managing?
b. Fisheries Code
􀂃 Especially the sustainable development and marine conservation aspects
of the law such as the registration of fishers and boats (as a tool to
determine maximum sustainable yield), reports of illegal fishing incidents,
areas set aside for marine sanctuaries, budget appropriated for marine
conservation, etc.
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The Bio-Physical
o A team of divers will conduct
biophysical surveys of the marine
resources of the area, and determine its
condition. (This is popularly known as
‘reef check’). The findings will be
reported to the local government
officials concerned and a
recommendation will be made on the
appropriateness of the area as marine
sanctuaries.
o The Team will also gather volunteer local deep sea divers (aka ‘hooka divers) and
train them on basic reef check methods. This will enable them to do future reef
checks on their own. (Classic example of ‘not doling out fish and instead teaching
them how to fish; in this case however, teaching them how to monitor the reef and
fish population in their areas).
o Related studies will also be conducted as to habitats and cleaning stations of
sharks, marine mammals (dolphins and whales) for future development by the
local government unit as eco-tourism sites).
o The findings will become the baseline data for annual comparison (this is a fiveyear
project/commitment).
Environmental Compliance Exercise (ECE)
o A Compliance Survey Team will be organized consisting of an environmental
Lawyer, marine conservationist, solid waste management specialist, one from the
Environmental Ombudsman, and a representative from the concerned local
government
o They will perform the basic survey/audit of the local government using the key
provisions of the laws described above. The bio-physical survey will feed into
their survey exercise.
o It will also look into their local ordinances and see their compliance status
The result of these two exercises (bio-physical and the ECE) will be documented into an
aide memoire to be submitted to the Mayor. At the first instance, this document will be strictly
confidential in order to gain the confidence of the local officials concerned and to avoid partisan
politics from rearing its ugly head. (The duly filled environmental compliance audit form,
indicating serious gaps between the law and the implementation and compliance level, is an
actionable document. Political opponents who get hold of this may simply refer it to the office
of the Environmental Ombudsman and this can be the basis for criminal charges for gross
negligence in the performance of public duty under Sec. 3 (e) of the Graft and Corrupt Practices
Act).
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The aide memoire will be the subject of a round table discussion by the concerned local
officials and the survey team. The Team of Experts can then make their technical and legal
recommendations to the concerned local government officers on how to improve their
compliance with the relevant environmental laws subject of the audit.
After 6 to 8 months, another round of visits to the 26 towns and cities will again be
conducted to determine progress. It will also be the used to determine the best improved
performance. This will then be the basis to select the best local government unit in solid waste
management and in marine conservation, for national and international recognition.
This process will continue for the next five years. If successful in the first two to three
years, the Environmental Compliance Audit can be expanded to cover greater portions of the
Visayan Marine Triangle. The process can also be replicated in other towns and cities of the
world to promote environmental compliance and enforcement and official accountability for
environmental duties and responsibilities.
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OPERATIONS\PROPOSALS\ENVIRONMENTAL COMPLIANCE AUDIT-WOB-10 of Jan 06.doc