ENVIRONMENTAL COMPLIANCE AUDITdownloads.caraga.dilg.gov.ph/mancom 6.14/Mancom - June 14 2013/8... · segregation-at-source, in order to accomplish this indicator, ECA Form 2 must

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ENVIRONMENTAL COMPLIANCE AUDIT INSTRUCTIONS GUIDE

The Audit aims to assess the ability of a local government to optimize its resource endowment and to

build on a policy of local government-private sector partnership towards economic transformation.

OBJECTIVES OF THE FIELD TEST

To test the level of ease in implementing the Audit, through the Data Capture Form and Instruction Guide

To generate inputs, from the regional or field office, that would further enhance data gathering process for the audit

COVERAGE OF THE FIELD TEST

The field test will cover at least one (1) City, and one (1) Municipality, per region.

ACCOMPLISHING ECA FORM 1

1. GENERAL INFORMATION. Provide the reporting quarter and year, the name of the city or municipality,

income class, provincial location and number of Barangays (Figure 1).

2. INSTRUCTIONS. The general directions in accomplishing the form and other instructions are in this field.

3. LOCAL SOLID WASTE MANAGEMENT BOARD AND PLAN . Tick the box that applies (Figure 2). In order

to verify, the EO must be procured. It must be signed by the mayor and must be created for the purpose of

creating a Local Solid Waste Management Board.

Figure 2

If the answer to item 1 is “Yes”, proceed to item 2, which asks to determine the functionality of the Local

Solid Waste Management Board. The test of functionality is presented using a table where a checkmark (

✓) is asked to be placed on the appropriate Yes/No columns (Figure 3). Functionality is determined

based on composition, the Local 10-Year Solid Waste Management Plan and meetings.

Note that for the composition component of LGUs outside NCR, only item 2.1.1 must be accomplished. For

the composition component of LGUs within NCR, only item 2.1.2 must be accomplished.

1. Is there a Local Solid Waste Management Board created through an Executive Order?

Yes No

If the answer is “YES”, proceed to number 2.

CITY/MUNICIPAL DATA CAPTURE FORM _____ Quarter, 20___

GENERAL INFORMATION

Name of City or Municipality: ________________________________ Income Class: ____________________ Provincial Location: ___________________________________________ No. of Barangays:________________

Figure 1

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The means of verification (MOV) for this indicator are the following:

Signed Executive Order or Resolution on the creation of the Local SWM Board

Signed minutes and attendance sheet of the meeting of the Board held on the reporting quarter

Local 10-Year Solid Waste Management Plan

Other supporting documents

The MOVs must be attached in the DCF using the prescribed MOV Package Template.

4. MANDATORY SEGREGATION OF WASTES AT SOURCE . The LGU will be rated on its compliance to the

mandatory segregation of wastes at source. In order to accomplish this indicator, ECA Form 2 must be

accomplished first.

To accomplish this portion, supply the necessary data being asked:

Total number of target Barangays

Total number of compliant target Barangays

Computed average rating

For the purpose of this Audit, only 10 adjacent barangays nearest to the economic and commercial

center of the LGU shall be covered. Therefore, the total number of target Barangays is automatically 10.

There are cases that the LGU only has 9 Barangays or less. In such instances, the coverage will be the total

number of Barangays in that LGU.

Table 2

2.1 On COMPOSITION 2.1.1 For LGUs Outside NCR YES NO

Is the city/municipal mayor the Chairperson of the Board? Does the Board have the following as members:

A representative of the local sanggunian? The president of the local Liga ng mga Barangay? The chairperson of the Sangguniang Kabataan Federation? A representative of a local environmental NGO that promotes recycling and the protection of air and water quality?

A representative from the recycling industry? A representative from the manufacturing or packaging industry? Others, please specify:

2.1.2 For LGUs in NCR YES NO Is the MMDA the Chair of the Board? Does the Board have the following as members:

The mayor? A representative of a local environmental NGO that promotes recycling and the protection of air and water quality?

A representative from the recycling industry? A representative from the manufacturing or packaging industry? Others, please specify:

2.2 TEN-YEAR SOLID WASTE MANAGEMENT PLAN YES NO Did the Local Board formulate its local 10-Year SWM Plan? (If the answer is “NO”, proceed to 2.3)

What is the status of the Plan? (Tick ONLY one)

Draft Pending Approval of NSWMC Resubmitted to NSWMC Approved by NSWMC

Is the Plan being updated every two (2) years?

2.3 On MEETINGS YES NO Has the Board met at least once this quarter?

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There are also situations where the LGU has 11 Barangays or a little higher. You may cover up to 15

Barangays to cover all Barangays in that LGU if that is the case. If the LGU has 16 Barangays, cover only

10.

After identifying the total number of target Barangays, the number of compliant Barangays from among

the target must be identified. This will be identified by accomplishing ECA Form 2—Barangay DCF.

Once all the necessary data are identified, the average rating may already be computed using the

following formula:

Equation 1

After computing for the average rating, you will be asked to determine whether the LGU is compliant or

not. A range will be provided to determine this:

Figure 3


Photos showing waste segregation at source with date and location (Presence of separate receptacles for biodegradable and non-biodegradable wastes)

Barangay DCF on the mandatory segregation of wastes at source


5. NO SEGREGATION/NO COLLECTION RULE . You must identify if the LGU implements segregated

collection of wastes. The MOVs are important in determining the answer for this indicator. First, ask the

mayor if they are implementing segregated collection. If they said “Yes”, ask if the LGU has an existing

contract with private haulers, which must specifically have provision for a scheduled segregated

collection.

In the event that the city or municipality has its own collection system, there must be a local ordinance

(or other documents) and it must also have a provision for a scheduled segregated collection.

Photos of collection with date and location must also be provided by the LGU to validate their claim. If

possible, the audit may be conducted on the scheduled date of collection of wastes to have first-hand

validation.

If the LGU met these criteria or were able to provide the necessary MOVs, they may be considered

compliant. Tick “Yes”.

Figure 4

After identifying whether the LGU implements segregated collection, determine the collection scheme

being used.

_No. of Compliant Target Barangays_ Total Target Barangays

X 100

1. Based on the computed average above, is the LGU compliant on the mandatory segregation of wastes at source?

If average is 70% or higher, tick “Yes” If average is 69% or lower, tick “No”

Yes No

1. Does the LGU implement segregated collection?

✓ Yes No

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Figure 5


Contract of the city or municipality with private haulers must specifically have provision for a scheduled segregated collection

In the event that the city or municipality has its own collection system, there must be a local ordinance (or other documents) and it must also have a provision for a scheduled segregated collection

Photos of collection with date and location


6. FUNCTIONAL MATERIALS RECOVERY FACILITY. The LGU will be rated on its compliance to having a

functional materials recovery facility that processes recyclable wastes. Much like the indicator on

segregation-at-source, in order to accomplish this indicator, ECA Form 2 must be accomplished first.


Total number of target Barangays

Total number of compliant target Barangays


For the purpose of this Audit, only 10 adjacent barangays nearest to the economic and commercial

center of the LGU shall be covered. Therefore, the total number of target Barangays is automatically 10.

These barangays must also be the barangays audited in the indicator on segregation-at-source.

There are cases that the LGU only has 9 Barangays or less. In such instances, the coverage will be the total

number of Barangays in that LGU. There are also situations where the LGU has 11 Barangays or a little

higher. You may cover up to 15 Barangays to cover all Barangays in that LGU if that is the case. If the LGU

has 16 Barangays, cover only 10.

After identifying the total number of target Barangays, the number of compliant Barangays from among

the target must be identified. This will be identified by accomplishing ECA Form 2—Barangay DCF.

Once all the necessary data are identified, the average rating may already be computed using Equation 1.

After computing for the average rating, you will be asked to determine whether the LGU is compliant or

not. A range will be provided to determine this:

Figure 6


Photos showing MRF with date and location (Barangays may have their own MRF, be included in a

cluster MRF, or use the Municipal MRF) Barangay DCF on the mandatory segregation of wastes at source


1. If “Yes”, what is the collection scheme being used? (Tick ONLY one) 1. Separate day collection of different wastes 2. Same-day collection of different wastes on separate trucks 3. Others, please specify

1. Based on the computed average above, is the LGU compliant on having functional MRFs? If average is 70% or higher, tick “Yes” If average is 69% or lower, tick “No”

Yes No

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7. DISPOSAL FACILITY. LGUs are not allowed to dump their residual wastes to controlled and open

dumpsites. The only allowable disposal facilities are sanitary landfills and other alternative technologies

that properly treat residual wastes. EcoParks in place of sanitary landfills are also allowable.

For this indicator, simply identify the type of disposal facility that services the city or municipality by

ticking on the spaces provided before each entry.

Figure 7


Photos of the disposal facility with date and location (only an SLF and alternative technologies are considered compliant)

If the city or municipality is adopting an EcoPark as an option to Sanitary Landfill, the Resolution No. and date enabling the LGU to have an EcoPark must be indicated

If the LGU is serviced by an SLF cluster, there must be a Memorandum of Agreement or Contract duly

signed by both parties


8. NO LITTERING RULE AND OTHER ORDINANCES . The city or municipality is also going to be audited if

they have no-littering ordinances and if these are being implemented.

First, determine if the city or municipality has a signed ordinance

Figure 8

If the answer is “yes”, observe is there are no litters and garbage dumps in the area of the LGU. There

must also be segregated waste receptacles in the area.

Figure 9


Signed Ordinance with date of effectivity Photos of the area to show whether ordinance is implemented List of persons penalized for violation of the ordinance, if any


1. What type of disposal facility services the LGU?

1.Open or Controlled Dumpsite 2.Sanitary Landfill 3.Alternative Technology, please identify

1. Does the LGU have a No-Littering ordinance?

Yes No

1. Does the LGU have a No-Littering ordinance?

Yes No

2. If “Yes”, is the ordinance being implemented? (absence of litter in the LGU, no garbage dumps, presence of segregated waste receptacles, etc.)

Yes No

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9. LEGAL CONSEQUENCES, REMARKS and NEXT STEPS . Upon the conduct of the audit, the assessor must

also discuss the legal consequences the mayor, other responsible officials and even individuals face for

non-compliance with the law. These legal consequences are already predetermined in the last portion of

the DCF.

After such discussion, ask the mayor or the officials present for their commitments, particularly in areas

where they appear to have failed or have poor compliance.

Table 3

10. SIGNATORIES. The assessor must be the one to accomplish the DCF, therefore, s/he must affix here

signature on the last page. The mayor must also affix his/her signature to certify that the data inputted in

the DCF are true and correct.

ACCOMPLISHING ECA FORM 2

1. GENERAL INFORMATION. Provide the reporting quarter and year, the name of the barangay,

city/municipal location, provincial location, regional location, total population and number of

households (Figure 10).

KEY LEGAL PROVISION

LEGAL CONSEQUENCES REMARKS AND NEXT STEPS

1. Local Solid Waste Management Board and Plan

Administrative sanctions pursuant to RA 7160 for LG Officials (Sec. 50, RA 9003)

2. Mandatory Segregation of Wastes at Source


3. No-Segregation/ No-Collection Rule

Administrative sanctions and fine of up to P 500,000 or imprisonment of up to 6 months (Sec. 49 par. c & d, RA 9003)

4. Functional Materials Recovery Facility


5. Disposal Facility Fine up to 1M and/or imprisonment of up to 6 years (Sec. 49 par. (e) and (f), RA 9003)

6. No Littering Rule Fine up to 1,000 and/or community service of up to 15 days in LGU where violation was made (Sec. 49 par. (a), RA 9003)

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Figure 10

2. INSTRUCTIONS. The general directions in accomplishing the form and other instructions are in this

field.

3. MANDATORY OF WASTES AT SOURCE . The Barangay will be rated on its compliance to the

mandatory segregation of wastes at source. This indicator must be accomplished first to be able to

answer the same indicator in ECA Form 1.


Total number of target Households

Total number of compliant target Households


Once all the necessary data are identified, the average rating may already be computed using the

following formula:

Equation 2

The Barangays audited here must reach a rating of 70% to be considered compliant and qualify as one

of the compliant target Barangays in ECA Form 1.


Photos showing waste segregation at source with date and location (Presence of separate receptacles for biodegradable and non-biodegradable wastes)


4. FUNCTIONAL MATERIALS RECOVERY FACILITY . The Barangay will be rated on its compliance to

being serviced or having a functional materials recovery facility. This indicator must be accomplished

first to be able to answer the same indicator in ECA Form 1.

To accomplish this portion, determine first the compliance rate of the barangay on having a functional MRF by

answering the following questions:

Is there an existing MRF servicing the Barangay, whether individual, cluster or municipal?

Does the existing MRF include a solid waste transfer station or sorting station, drop-off center, a

composting facility, and a recycling facility?

If the answer is “no”, the second question need not be answered anymore. If the answer to the first question is

“yes”, the Barangay automatically gets 50% and must answer the second question. If the MRF servicing the

Barangay suffices those indicated in the second question, it gets the other 50% f or a total rating of 100%.

Therefore, Barangays may only have three ratings: 0%, 50% or 100%.

BARANGAY DATA CAPTURE FORM _____ Quarter, 20___

GENERAL INFORMATION Name of Barangay: ________________________________ City/Mun Location: _______________ Provincial Location: ______________________________________ Regional Location: ________________ Total Population: ______________________________ No. of Households: ________________

_No. of Complying Households_ Total No. of Households

X 100

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The Barangays audited here must reach a rating of 100% to be considered compliant and qualify as one

of the compliant target Barangays in ECA Form 1.


Photos showing MRF with date and location (Barangays may have their own MRF, be included in a

cluster MRF, or use the Municipal MRF)


5. NO LITTERING RULE AND OTHER RELATED ORDINANCES . The barangay is also going to be audited

if they have no-littering ordinances and if these are being implemented.

Determine if the barangay has a signed ordinance and if the onsite validation confirms that the Ordinance is

strictly implemented.

Figure 11


Signed Ordinance with date of effectivity Photos of the area to show whether ordinance is implemented List of persons penalized for violation of the ordinance, if any


6. LEGAL CONSEQUENCES, REMARKS and NEXT STEPS . Upon the conduct of the audit, the assessor

must also discuss the legal consequences the barangay chairperson, other responsible officials and

even individuals face for non-compliance with the law. These legal consequences are already

predetermined in the last portion of the DCF.

After such discussion, ask the barangay chairperson or the officials present for their commitments,

particularly in areas where they appear to have failed or have poor compliance.

Table 4

1. Is there an ordinance on the no-littering mandate of law?

Yes No

2. Does the onsite validation confirm that the Ordinance is strictly implemented?

Yes No

KEY LEGAL PROVISION

LEGAL CONSEQUENCES REMARKS AND NEXT STEPS

1. Mandatory Segregation of Wastes at Source


2. Functional Materials Recovery Facility


3. No Littering Rule Fine up to 1,000 and/or community service of up to 15 days in LGU where violation was made (Sec. 49 par. (a), RA 9003)

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7. SIGNATORIES. The assessor must be the one to accomplish the DCF, therefore, s/he must affix here

signature on the last page. The barangay chairperson must also affix his/her signature to certify that

the data inputted in the DCF are true and correct.

ACCOMPLISHING ECA FORM 2.1

In order to easily identify the Barangays audited, ECA Form 2.1 shall be accomplished by the

assessor. This form is a simple table where the following data should be inputted:

Name of Barangay

Name Barangay Chairperson

Compliance Rating to KLPs 1, 2 and 3

Total No. of Compliant Barangays

Total No. of Non-Compliant Barangays

Table 5

This form shall be attached in the MOV Package.

MOV PACKAGE TEMPLATE

The MOV Package must be submitted as an attachment to the DCFs. The MOVs must be submitted in

e-copy only. Printed copies will NOT be recognized as proper submission.

Your submission must contain ECA Form 1 and the MOV Package folder, as shown in the illustration

below:

Figure 12

NAME OF BARANGAY NAME OF BARANGAY CHAIRPERSON COMPLIANCE RATING

KLP 1 KLP 2 KLP 3

1. 2.

3. 4. 5. 6. 7. 8. 9.

10.

No. of Compliant Brgys.

No. of Non-Compliant Brgys.

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The ECA MOVs folder must contain sub-folders for the MOVs for ECA Form 1 and ECA Form 2.

Figure 13

The sub-folder MOVs for ECA Form 1 must contain six (6) sub-sub-folders named after the KLPs for

the City/Municipal level.

Figure 14

Each of these sub-sub-folders must contain their respective MOVs.

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Figure 15.1 (Local SWM Board and Plan)

Figure 15.2 (Segregation at Source)

Figure 15.3 (Segregated Collection)

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Figure 15.4 (Functional MRF)

Figure 15.5 (Disposal Facility)

Figure 15.6 (No-Littering and Related Ordinances)

The sub-folder MOVs for ECA Form 2 must contain four (4) sub-sub-folders. The first three (3) must

be named after the KLPs for the Barangay level, that fourth folder must be named Barangays Audited. In this

folder, ECA Form 2.1 must be placed.

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Figure 16

Each of these sub-sub-folders must contain their respective MOVs.

Figure 17.1 (Segregation at Source)

Figure 17.2 (Functional MRF)

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Figure 17.3 (No-Littering and Related Ordinances)

Figure 17.4 (Barangays Audited)

Once all MOVs are prepared together with ECA Form 1, it is now ready for submission to the

respective Regional Offices for consolidation. Remember that these documents must be submitted in e-copy

only.

***For purposes of field testing, an evaluation form is required to be filled out, place that file in the

main folder of your submission.

SUBMISSION

For the field test:

All documents—DCFs and MOVs—must be:

in .pdf format only;

contained in a single zipped folder entitled, “FT ECA - <name of LGU>, <Region>”. For

example, “ECA – Zumarraga, Samar, Region VIII”; and

e-mailed to [email protected] with the following subject: “FT ECA - <name of

LGU>, <Region>”.

All submissions must be sent only through e-mail. Printed copies will NOT be honoured as proper

submission.

The field test submissions must be e-mailed before but not later than June 21, 2013.

For the actual rollout:

All documents—DCFs and MOVs—must be:

in .pdf format only;

mailto:[email protected]

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contained in a single zipped folder entitled, “ECA - <name of LGU>”. For example, “ECA –

Zumarraga, Samar”; and

e-mailed to the respective Regional Offices for consolidation with the following subject: “FT

ECA - <name of LGU>”.

The Regional Offices must consolidate all submissions from their respective field offices. The

consolidated reports must be emailed to [email protected] with the following subject: “<Region>

ECA Report for ___Quarter of 20__>”. For example, “Region VIII ECA Report for 3rd Quarter of 2013”.

All submissions must be sent only through e-mail. Printed copies will NOT be honoured as proper

submission.

The submissions must be e-mailed before but not later than 5:00 pm of the 10th day of the month

succeeding the reporting quarter. Therefore, submissions must be sent on:

April 10 for Quarter 1;

July 10 for Quarter 2;

October 10 for Quarter 3; and

January 10 of the succeeding year for Quarter 4.

If the above-listed dates fell on a Saturday or a Sunday, report must be submitted the Monday

following the weekend. If it fell on a holiday, it must be submitted the date after the holiday.

The submission may not be honoured if it deviated from any of the above-mentioned rules.

GLOSSARY OF IMPORTANT TERMINOLOGIES

Collection. the act of removing solid waste from the source or from a communal storage point

Composting. the controlled decomposition of organic matter by micro-organisms, mainly bacteria and fungi,

into a humus-like product

Controlled dump. a disposal site at which solid waste is deposited in accordance with the minimum

prescribed standards of site operation

Disposal. the discharge, deposit, dumping, spilling, leaking or placing of any solid waste into or in an land

Disposal site. a site where solid waste is finally discharged and deposited

Ecological solid waste management . the systematic administration of activities which provide for segregation at source, segregated transportation, storage, transfer, processing, treatment, and disposal of solid waste and all other waste management activities which do not harm the environment

Environmentally acceptable. the quality of being re-usable, biodegradable or compostable, recyclable and not toxic or hazardous to the environment

Generation. the act or process of producing solid waste

Materials recovery facility. includes a solid waste transfer station or sorting station, drop-off center, a composting facility, and a recycling facility

Open dump. a disposal area wherein the solid wastes are indiscriminately thrown or disposed of without due planning and consideration for environmental and Health standards

Receptacles. individual containers used for the source separation and the collection of recyclable materials

Recyclable material. any waste material retrieved from the waste stream and free from contamination that can still be converted into suitable beneficial use or for other purposes, including, but not limited to, newspaper, ferrous scrap metal, non-ferrous scrap metal, used oil, corrugated cardboard, aluminum, glass, office paper, tin cans and other materials

mailto:[email protected]

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Recycled material. post-consumer material that has been recycled and returned to the economy

Recycling. the treating of used or waste materials through a process of making them suitable for beneficial use and for other purposes, and includes any process by which solid waste materials are transformed into new products in such a manner that the original product may lose their identity, and which maybe used as raw materials for the production of other goods or services

Re-use. the process of recovering materials intended for the same or different purpose without the alteration of physical and chemical characteristics

Sanitary landfill. a waste disposal site designed, constructed, operated and maintained in a manner that exerts engineering control over significant potential environment impacts arising from the development and operation of the facility

Segregation. a solid waste management practice of separating different materials found in solid waste in order to promote recycling and re-use of resources and to reduce the volume of waste for collection and disposal

Segregation at source. a solid waste management practice of separating, at the point of origin, different materials found in solid waste in order to promote recycling and re-use of resources and to reduce the volume of waste for collection and disposal

Solid waste. all discarded household, commercial waste, non-hazardous institutional and industrial waste, street sweepings, construction debris, agricultural waste, and other non-hazardous/non-toxic solid waste

Solid waste management. the discipline associated with the control of generation, storage, collection, transfer and transport, processing, and disposal of solid wastes in a manner that is in accord with the best principles of public health, economics, engineering, conservation, aesthetics, and other environmental considerations, and that is also responsive to public attitudes

Solid waste management facility. any resource recovery system or component thereof; any system, program, or facility for resource conservation; any facility for the collection, source separation, storage, transportation, transfer, processing, treatment, or disposal of solid waste

Status of 10-Year Solid Waste Management Plan . the status of the 10-Year SWM Plans may only be classified as: none, draft, with pending approval of the NSWMC, resubmitted to the NSWMC or approved by the NSWMC. “Draft” means that the LGU has a plan yet to be submitted or resubmitted to the NSWMC. “With pending approval of the NSWMC” means that the draft plan has already been submitted to the NSWMC awaiting approval. “Resubmitted to the NSWMC” means that the plan submitted to the NSWMC was returned to the LGU for further revisions and in return, was resubmitted by the LGU back to the NSWMC. “Approved by the NSWMC” means that the plan was already approved by the NSWMC.

Storage. the interim containment of solid wastes after generation and prior to collection for ultimate recovery or disposal

Transfer stations. those facilities utilized to receive solid wastes, temporarily store, separate, convert, or otherwise process the materials in the solid wastes, or to transfer the solid wastes directly from smaller to larger vehicles for transport

Waste diversion. activities which reduce or eliminate the amount of solid waste from waste disposal facilities

FOCAL PERSONS

Atty. Maria Rhodora R. Flores or Mr. Charles Anthony C. Vega

Bureau of Local Government Supervision Telephone Nos : (02) 928-9181 or 925-0373 E-mail Address : [email protected]

--END--

Documents

ENVIRONMENTAL COMPLIANCE AUDITdownloads.caraga.dilg.gov.ph/mancom 6.14/Mancom - June 14 2013/8... · segregation-at-source, in order to accomplish this indicator, ECA Form 2 must