PREPARATION OF

COMPLIANCE MONITORING
REPORT AND SELF-
MONITORING REPORT

Luisa Magboo-Garcia
21 May 2021
 Types of reportorial requirements:

1. Compliance Evaluation Report (CER) – EMB (yearly)

2. Compliance Monitoring and Validation Report
(CMVR) – MMT (semi-annual)
3. Self Monitoring Report (SMR) - Project
Proponent/PCO (quarterly)
4. Compliance Monitoring Report (CMR) – Project
Proponent/PCO (semi-annual)
 Things to consider in the preparation of SMR and CMR

PCO Files/Folder
 ECC conditions – status of compliance
 Status of project’s EMP and EMoP implementation
 Results of laboratory Analysis
 SDP Implementation
 Permits from EMB and other concerned agencies
 Water bills; electric bills
 Ledger of solid wastes/hazardous wastes generated, stored,
disposed
 Any other alterations in the original operational plan
 Commitments in the last monitoring
 Other necessary documents/data
 SMR Preparation
SECTION INFORMATION
1. General Information About the project
Sheet
2. Module 1- General Contains updated information not contained in general
Information information sheet;
Permits and clearances secured by the project; date of issue and
expiry date, operation hours; operation capacity
3. Module 2 – RA6969 • CCO report for importers; distributors; producers (stock
inventory, waste chemical generated and manner of
handling)
• HW Generator Data (Hazardous waste generation, storage,
treatment and disposal,on-site self inspection of storage
area)
• Hazardous Waste Treater/Recycler(HW Stored; HW
Treated/recycled; residual wastes generated for treatment
and/or recycling operation)
 SMR Preparation
SECTION INFORMATION
4. Module 3: R.A • Water Pollution Data (domestic wastewater
9275 (Water generated/day; cooling water/day; wash water-
Pollution) equipment; process wastewater; wash water-floor)
• Record of cost of treatment
• WTP Discharge Location (receiving water body)
• Detailed Report of Wastewater characteristics for
conventional pollutant
5. Module 4: RA8749 • Summary of APSE/APCF (process equipment; operating
(Air Pollution) hours; fuel burning equipment; fuel used; quantity of
fuel consumed; no. of hours in operation; pollution
control facility; cost of treatment such as salary, water
consumption, total cost of chemicals, cost of operating
laboratory, improvement or modification, and cost of
improvement)
• Detailed Report of Air Emission Characteristics (CO,
NOx,PM)
 SMR Preparation
SECTION INFORMATION
6. Module 5: PD • Ambient Air Quality Monitoring (if required as part of
1586 ECC conditions)
• Ambient Water Quality Monitoring (if part of ECC
conditions)
• Other ECC Conditions (status of compliance with all ECC
conditions; CMR may be attached)
• EMP (status of implementation)
• Solid Waste Characterization ( quantity
generated/month/quarter, average quality of solid
wastes collected/month/quarter, entity in charge)
7. Module 6: • Accidents and emergency records
OTHERS • Personnel/Staff Training
 Compliance Monitoring Report Preparation
I. BASIC PROJECT INFORMATION AND UPDATES
II. EXECUTIVE SUMMARY
Condition/Requirement/ Compliance Status & Summary of Actions Recommendation/Commitment for the Next
Commitment Taken Reporting

Compliance with ECC

Compliance with EMP
Implementation of appropriate and
effective environmental impact
remedial actions in case of
exceedances

Complaints management
Realistic and sufficient budget for
conducting the environmental
monitoring and audit activities

Accountability – qualified personnel

are charged with the routine
monitoring of the project activities in
terms of education, training,
knowledge and experience of the
environmental team

Others……
 Compliance Monitoring Report Preparation
III. RESULTS AND DISCUSSIONS
A. Compliance Monitoring
 The status of compliance to the ECC conditionalities and the attainment of EMP
commitments should be elaborated in this section.
 Reasons for noncompliance or unmet commitment should be explained and
solutions and measures to attain full compliance of ECC terms and conditions as
well as satisfactory attainment of EMP commitments should be discussed as
renewed efforts for the next monitoring period. Table 1 may be used to summarize
the status of compliance.
 Table 1. Summary Status of ECC & EMP Compliance

ECC/EMP Condition/Requirement Categorization Relevant ECC Conditions Status of

Compliance Remarks
# Requirement/ (√ if complying)
Description

1 Project Coverage/ Limits

2 Components
3 Other sectoral requirements mandated by other agencies to
be complied with

4 EMP and updates as deemed required

5 Conduct of baseline, compliance and impact self-monitoring

6 Multi-sectoral monitoring (as may be required)

7 Regular reporting
8 Institutional arrangements necessary for implementation of
environmental management measures

9 Standard DENR requirements on transfer of ownership

10 Standard DENR requirements on abandonment

11 Impact Mitigation Plan or Construction/

Contractor’s Environmental Program

12 Social Development Plan

13 IEC Plan
14 Contingency/ Emergency Response Plan or equivalent Risk
Management Plan

15 Abandonment Plan (when applicable)

16 Environmental Monitoring Plan (EMoP)
17 Others…………
B. Impact Monitoring
 This section shall contain relevant graphical presentation of quantitative and
semi-quantitative impact monitoring results showing trends, comparing past
monitoring results with the current. Relevant monitoring results in the other
SMR modules shall be referred to. The latest monitoring findings and
conclusion should be discussed in text form.
 Qualitative impact monitoring results may be presented in text form or in terms
of pictorial coverage, if applicable. Examples of qualitative impacts are those
relating to quality of life, degree of happiness, and sense of environmental
cleanliness.
i. Summary of Previous Monitoring
 The key findings, recommendations, and action plan from the previous
monitoring and outstanding issues from earlier monitoring periods (if
applicable) should be highlighted in this section.
ii. Current Monitoring Results and Findings

 The data collected and related expenses from the various sampling and measurement events
done under the Environmental Monitoring Plan (EMoP) or a Sampling and Measurement Plan
(SAMP) for the current monitoring period shall be summarized in a tabular form, preferably
using the prescribed format in Tables 2 and 3 below and discussed under this section.
 Only processed and summarized data must be presented here.
 The current monitoring results must be related to the historical trend for each parameter.
 Any deviation from this trend must be explained. More, importantly, the discussion must focus
on point-by-point comparison of the gathered values with Environmental Quality Performance
Levels (EQPLs), if EQPLs have been committed by the Proponent or established with the
Multi-partite Monitoring Team. The monitoring results could also be used to determine the
action and limit levels for the specific project. These should all be presented here in detail and
summarized in the conclusions and recommendations section.
 Compliances, non-compliances and exceedances must all be thoroughly explained.
 In cases of compliances, success factors must be cited.
 For non-compliances and exceedances, the proponent’s response should be explained.
 Moreover, causative factors must be identified and additional solutions and mitigation
measures proposed, if needed.
 It should also cite the weather conditions and other factors which may affect the results of the
sampling activities.
 The status of compliance to recommendations from previous monitoring and measures
included in the action plan should be described and any unmet commitment must be
rationalized and alternative, if needed, presented.
Table 2. Summary Status of Environmental Impact Management and Monitoring Plan
Implementation

Sampling & Measurement Standard/ Envt’l Mgt. Remarks

Monitoring Environmental Environmental Monitoring EIS Prediction Measures (EQPL
Objective Aspect Impact Parameter commitment,
Results if any)
Stn/ Previous Current
Loc
Table 3. Report on Status of Environmental Budget Allocations and Expenses

Budget Actual Expenses

Expense Item*
Direct from Budget for MMT Direct Company MMT Expenses
Company Expense

A. Implementation of Management Plans & Programs

1) Environmental Impact Mitigation Plan

2) Social Development Plan

3) IEC Plan

4) Enhancement Programs (if any)

B. implementation of Monitoring Plans

1) Self-Monitoring

2) Environmental Monitoring Fund (with MMT)

3) Environmental Guarantee Fund

TOTALS

*For mining projects, equivalent cost items shall be adopted, e.g. SDMP in lieu of SDP.
IV. CONCLUSIONS AND RECOMMENDATIONS
 This section should present the conclusions and recommendations of the
current SMR based on the results and discussion of the previous sections.
 It should also explain if the previous monitoring recommendations should
continue (if implemented).
 On the other hand, if warranted, the recommendation may be the cessation of
specific or all monitoring activities.
 The conclusions and recommendations should preferably be in a bulleted
format and as much as possible grouped according to coherent themes, such
as the following headings.
A. Compliance Status
 Only the key conclusions about the status of compliance to ECC and EMP are
included in this section. The status of non-compliances should be particularly
tracked throughout all SMRs even if compliance has been already attained.
Recommended additional measures or amendments to the EMP should be
presented here.
B. Environmental Quality Status (applicable only if EQPLs have been set by
the Proponent as its commitment or if opted to be mutually agreed upon by
Proponent with the EMB and other members of the MMT)
 Only the key conclusions on meeting the set EQPLs are included in this
section.

C. Environmental Management Plan Status

 Only the key conclusions about the status of EMP implementation and
recommended additional measures or amendments should be presented
here.
D. ENVIRONMENTAL RISK CATEGORIZATION

 The proponent should fill-out or update the project’s

environmental risk categorization questionnaire
(presented in Annex 2-7d of the Revised Procedural
Manual of DAO 2003-30) – applicable on the Second
Semi-annual ECC Compliance Monitoring Report.
E. WORK PLAN FOR NEXT MONITORING PERIOD
 The specific actions for the next monitoring period, including carry-
overs from previous monitoring periods, should be detailed in this
section.

V. ATTACHMENTS
Please have the following documents attached:
a) Laboratory Results of Analysis from DENR-EMB recognized laboratory;
b) Approved Impact Mitigation Plan in the EIS/other EIS Update
Documents; and
c) Approved Environmental Monitoring Plan in the EIS/other EIS Update
Documents
Food for thought:

“Our environment, the world in

which we live and work, is a
mirror of our attitudes and
expectations”
 Republic of the Philippines
Department of Environment and Natural
Resources
CALABARZON Region
OFFICE OF THE PEMU
Brgy. Alangila, Batangas City
Telefax (043) 300-5079