PROCEDURAL MANUAL FOR DAO 2003–30

FOREWORD

This Procedural Manual for DAO 2003-30 is intended to clarify provisions of DAO
2003-30, PD 1586 and other applicable laws. Therefore, in cases of conflict, the
provision of DAO 2003-30, PD 1586 and other applicable laws shall prevail.
It should be noted that this Manual contains the general guidelines and procedures
for the implementation of the Philippine EIS System, and should be treated as a
procedural guide for the general public including the proponent, EIA consultants and
other concerned entities. For technical reference, there are other (reference)
materials that deal mainly with the technical aspects of the EIA study such as: EIA
Technical Manual produced by the USAID-funded Industrial Environmental
Management Project for DENR, the textbook on Environmental Impact Assessment
by Larry W. Canter, and the numerous technical publications (e.g., handbooks,
manuals, guides) of the US Environmental Protection Agency, World Bank, Asian
Development Bank, various UN agencies and many others.
This Manual is essentially divided into 11 sections or chapters. Additional details
(e.g., formats) are provided in the various annexes.
 Section 1 – contains the introduction and a brief discussion of the basic
framework of the Philippine EIS System.
 Section 2 – discusses the scope of the Philippine EIS System. It provides the
technical definitions and numerical parameters needed or used in the
determination of coverage.
 Section 3 – discusses the documentary requirements for the respective
categories of covered projects.
 Section 4 – deals with the various procedures of the Philippine EIS System from
scoping to the review of the submissions.
 Section 5 – deals with the concept of public participation including the
identification of stakeholders. It provides proponents and preparers with the
framework wherein public participation can be used to promote social
acceptability. It also contains the guidelines for the conduct of public consultation
and public hearing.
 Section 6 – discusses the parameters and frameworks by which DENR will
determine the social acceptability of a proposed project.
 Section 7 – contains the guidelines and procedures for monitoring activities
ranging from monitoring by proponent (or self-monitoring) to MMT as well as
compliance monitoring by DENR. The section also contains the guidelines for the
establishment and implementation of EGF.
 Section 8 – discusses the various administrative procedures such as complaint
management and the appeal procedures among others.
 Section 9 – discusses the various parameters and criteria for decision making by
DENR-EMB including the requisite decision documents.
 Section 10 – deals with the filing fees and the use of review fund
 Section 11 – deals with fines, penalties and sanctions

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TABLE OF CONTENT

1. Introduction ......................................................................................... 1
1.1 The Philippine Environmental Impact Statement (EIS)
System ............................................................................................... 1
1.3 Objectives .......................................................................................... 2
1.4 EIA and the Project Planning Cycle .................................................... 3
A. EIA as a Planning and Decision-Making Tool.......................... 3
B. The Environmental Impact Assessment Process .................... 4
1. Scoping .......................................................................... 5
2. Baseline Study ............................................................... 5
3. Impact Identification ....................................................... 5
4. Impact Prediction............................................................ 6
5. Impact Evaluation ........................................................... 6
6. Impact Mitigation and Preparation of
Environmental Management Plan ................................... 6
7. EIA Documentation ........................................................ 6
C. EIA within the Project Development Cycle .............................. 7
1. Benefits of Integrating EIA with Planning ........................ 7
2. The Project Cycle and the EIA Process .......................... 8
3. The Timing of EIA........................................................... 8
4. The Terms of Reference for EIA ..................................... 8
5. Selecting the EIA team ................................................... 9
1.5 Procedural Manual for DAO 2003–03 ................................................. 9

2. Scope of the Philippine EIS System ................................................ 11

2.1 Technical Definitions of Environmentally Critical
Projects ............................................................................................ 13
A. Heavy Industries ................................................................... 14
1. Non-Ferrous Metal Industries ....................................... 14
2. Iron and Steel Mills ....................................................... 14
3. Petroleum and Petrochemical Industries ...................... 14
4. Smelting Plants ............................................................ 14
B. Resource Extractive Industries.............................................. 15
1. Major Mining and Quarrying Projects............................ 15
2. Forestry Projects .......................................................... 16
3. Dikes for/and Fishpond Development
Projects ........................................................................ 16
C. Infrastructure Projects ........................................................... 17
1. Major Dams .................................................................. 17

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2. Major Power Plants ...................................................... 17

3. Major Reclamation Projects .......................................... 17
4. Major Roads and Bridges ............................................. 17
D. Golf Course Projects ............................................................. 17
2.2 Technical Definitions of Environmentally Critical Areas .................... 17
A. Areas declared by law as national parks,
watershed reserves, wildlife preserves, and
sanctuaries ........................................................................... 18
B. Areas set aside as aesthetic, potential tourist
spots ..................................................................................... 18
C. Areas which constitute the habitat for any
endangered or threatened species of
indigenous Philippine wildlife (flora and fauna) ...................... 18
D. Areas of unique historic, archeological,
geological, or scientific interests............................................ 18
E. Areas which are traditionally occupied by
cultural communities or tribes ............................................... 19
F. Areas frequently visited and or hard-hit by
natural calamities (geologic hazards, floods,
typhoons, volcanic activity, etc.) ............................................ 19
1. Areas frequently visited or hard-hit by
typhoons ...................................................................... 19
2. Areas frequently visited or hard-hit by
tsunamis....................................................................... 19
3. Areas frequently visited or hard hit by
earthquakes ................................................................. 19
4. Storm surge-prone areas.............................................. 19
5. Flood-prone areas ........................................................ 19
6. Areas prone to volcanic activities ................................. 20
7. Areas located along fault lines or within
fault zones .................................................................... 20
8. Drought-prone areas .................................................... 20
G. Areas with critical slope ........................................................ 20
H. Areas classified as prime agricultural lands .......................... 20
I. Recharged areas of aquifers ................................................. 20
J. Waterbodies.......................................................................... 20
K. Mangrove Areas ................................................................... 20
L. Coral Reefs ........................................................................... 21
2.3 Procedures for Determining Project Categories ................................ 21
2.4 Technical Requirements ................................................................... 23

3. Documentary Requirements for Proponent ................................... 34

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3.1 Documentary Requirements for Category A Projects........................ 36

A. New Projects (Category A-1) ................................................ 36
1. Co-located Projects ...................................................... 36
2. Single Projects ............................................................. 36
B. Existing Projects for Expansion (Category A-2
and A-3) ................................................................................ 37
1. Co-located Projects ...................................................... 37
2. Single Projects ............................................................. 38
3.2 Documentary Requirements for Projects Located in
Environmentally Critical Area/s ......................................................... 38
A. New Projects (Category B-1) ................................................ 38
1. Initial Environmental Examination (IEE)
Report .......................................................................... 38
2. IEE Checklist Report .................................................... 39
B. Existing Projects for Expansion (Category B-2
and B-3) ................................................................................ 41
1. Co-located Projects ...................................................... 41
2. Single Projects ............................................................. 41
3.3 Documentary Requirements for Category C and
Category D Projects ......................................................................... 42

4. EIS System Procedures .................................................................... 43

4.1 Technical Requirements ................................................................... 43
A. Scoping................................................................................. 43
1. Pre-Scoping Requirements .......................................... 45
2. Selection of Members of the EIARC ............................. 46
3. Conduct of Site Scoping ............................................... 47
4. Post-Scoping Activities ................................................. 49
B. Environmental Risk Assessment ........................................... 50
1. Levels of Coverage and Requirements ......................... 51
2. System Procedures and Review Criteria ...................... 51
C. Environmental Health Impact Assessment ............................ 52
4.2 Technical Procedures for the EIS Review Process ........................... 53
A. Procedural Screening ........................................................... 54
B. Substantive Review .............................................................. 55
1. Convening the Members of the EIARC ......................... 56
2. EIARC Meetings ........................................................... 56
3. Field Visits or Site Inspections ...................................... 58
4. Public Hearing .............................................................. 58

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5. EIARC Report .............................................................. 59

6. Review Process Report ................................................ 59
7. Recommendation/s and Decision/s .............................. 60
4.3 Technical Procedures for the PEIS Review Process......................... 60
4.4 Technical Procedures for the PEPRMP and EPRMP
Review Process................................................................................ 61
4.5 Technical Procedures for the IEE Review Process ........................... 62
A. Procedural Screening ........................................................... 63
B. Substantive Review .............................................................. 64
1. Review Procedures ...................................................... 65
2. Review Process Report ................................................ 66
3. Recommendation/s and Decision/s .............................. 67
4.6 Technical Procedures for the IEE Checklist Report
Review Process................................................................................ 67
4.7 Technical Procedures for the CNC Application ................................. 68
4.8 Transmittal of EIS/IEE Records and ECCs ....................................... 69
4.9 Technical Procedures for the ECC Amendments .............................. 70
A. Categories of ECC Amendments .......................................... 70
B. Procedural Guidelines for ECC Amendments ....................... 71
4.10 Technical Procedures on Matters covered by the
Automatic Approval Provision of DAO 2003-30 ................................ 71

5. Public Participation .......................................................................... 73

5.1 Identification of Stakeholders............................................................ 73
A. Direct Impact Area/Zone ....................................................... 73
B. Secondary or Indirect Impact Area/Zone ............................... 74
5.2 Public Participation: A Conceptual Framework ................................ 74
A. Values and Benefits of Public Participation? ......................... 74
B. Essential Elements of Public Participation ............................ 75
C. Social Preparation Process ................................................... 75
1. Identification and Profiling of Stakeholders ................... 75
2. Conduct of Information, Education and
Communication (IEC) ................................................... 76
3. Documentation of Social Preparation ........................... 76
D. Public Participation in the EIA Process ................................. 77
1. Public Participation in Scoping ..................................... 78
2. Public Participation in Baseline Data
Gathering ..................................................................... 78
3. Public Participation in Impact
Identification, Prediction and Evaluation ....................... 79

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4. Public Participation in the Environmental

Planning Process of the EIS ......................................... 79
5. Walk-Through............................................................... 79
6. Extent of Public Participation in the EIA
Process ........................................................................ 80
5.3 Public Consultation ........................................................................... 80
A. Aims of Public Consultations................................................. 80
B. Procedures for Public Consultation ....................................... 80
1. Pre-consultation ........................................................... 80
2. Public Consultation Proper ........................................... 81
5.4 Public Hearing .................................................................................. 81
A. Decision Criteria for Requiring the Conduct of a
Public Hearing ...................................................................... 81
B. Conduct of a Public Hearing ................................................. 82
1. Technical Requirements ............................................... 82
2. Pre-Public Hearing ....................................................... 83
3. Public Hearing Proper .................................................. 84
4. Post-Public Hearing...................................................... 86
C. Public Hearing Report ........................................................... 86

6. Social Acceptability .......................................................................... 87

6.1 Criteria of Social Acceptability .......................................................... 88
6.2 Determination of Social Acceptability................................................ 88
A. Ecological and environmental soundness of the
proposed project. .................................................................. 88
B. Effective implementation of the public
participation process. ............................................................ 89
C. Resolution of conflicts ........................................................... 89
D. Promotion of social and intergenerational equity
and poverty alleviation .......................................................... 90
6.3 Process Documentation Report ........................................................ 91

7. Monitoring Protocols ........................................................................ 92

7.1 Objectives of Monitoring ................................................................... 92
7.2 Scope/Coverage of Monitoring under the Philippine EIS
System ............................................................................................. 92
7.3 Monitoring Protocol .......................................................................... 93
A. Compliance Monitoring by EMB ............................................ 93
B. Self-Monitoring by Establishments ........................................ 93
C. Monitoring by Third Party Auditors ........................................ 94
D. Monitoring by MMT ............................................................... 95

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1. Functions of the MMT ................................................... 95

2. Steps in Establishing the MMT ..................................... 96
3. Composition of the MMT .............................................. 97
4. Criteria for MMT Selection ............................................ 98
5. Roles, Duties, and Responsibilities .............................. 98
6. Operationalizing the MMT .......................................... 100
7. Reporting ................................................................... 102
8. Terminating the MMT ................................................. 102
7.4 Streamlining of MMTs..................................................................... 102
7.5 EMF Administration and Management ............................................ 103
A. Management and Administration of EMF ............................ 104
B. Guidelines for the Disbursement of EMF ............................. 104
C. Allowable Expenses under the EMF ................................... 104
1. Cost of Transportation ................................................ 105
2. Board and Lodging ..................................................... 105
3. Monitoring Costs ........................................................ 105
4. Allowances ................................................................. 105
5. Other Costs ................................................................ 106
7.6 Environmental Guarantee Fund (EGF) Administration
and Management ........................................................................... 106
A. Presumption of Public Risk ................................................. 106
B. Purpose of the EGF ............................................................ 107
C. Determination of the Amount to be Set-up for
the EGF .............................................................................. 107
D. Procedure for the Establishment of EGF ............................. 108
E. Functions of the EGF Committee ........................................ 109
F. Fund Management .............................................................. 109
1. Claims/Withdrawals to the EGF .................................. 109
2. Withdrawals by the Proponent from the
EGF............................................................................ 110
3. Processing of Claims .................................................. 110

8. Administrative Procedures ............................................................ 112

8.1 Administrative Procedures for Complaint Management
by EMB........................................................................................... 112
A. Discovery of Violation ......................................................... 112
B. Administrative Procedures for Investigation ........................ 112
1. Discovery of Violation through monitoring,
inspection or MMT activities ....................................... 112

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2. Discovery of Violation through Desk

Review ....................................................................... 113
3. Discovery of Violation through Complaints
and Other Sources ..................................................... 113
C. Issuance of Cease-and-Desist Order .................................. 114
D. Conduct of Technical Conference or Hearing...................... 114
1. Technical Hearing or Conference ............................... 115
2. Request for Additional Justification ............................. 115
3. Preparation of the Technical Hearing
Report ........................................................................ 115
E. Case Decision Document.................................................... 115
F. Follow-up Inspection and Payment of Fines ........................ 116
8.2 Appeal Procedures ......................................................................... 116
A. Level of Appeals ................................................................. 116
1. Filing a Motion for Reconsideration ............................ 117
2. Decision on the Motion for
Reconsideration ......................................................... 117
3. Transfer of Authority to Resolve ................................. 117
4. Process for Appeal ..................................................... 117
5. Issuance of the Final Decision Document ................... 117
B. Grounds for Appeal ............................................................. 118
C. Who May Appeal ................................................................ 118
8.3 Other Administrative Procedures .................................................... 118
A. Relief from ECC Commitments ........................................... 118
B. Determination of Jurisdiction over Projects
Located in ECA ................................................................... 119
C. Records and Documents Management ............................... 120

9. Decision Making.............................................................................. 121

9.1 Decision Documents....................................................................... 121
A. Scoping Decision Document ............................................... 121
B. Procedural Review Decision Document .............................. 121
C. EIARC Report ..................................................................... 121
D. Review Process Reports ..................................................... 122
E. Environmental Compliance Certificate (ECC)...................... 122
1. Time Validity............................................................... 122
2. ECC Control Number ................................................. 123
9.2 Issuance of Environmental Compliance Certificate ......................... 123
A. Environmental and Socio-economic Criteria........................ 123

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B. Primacy of Jurisdiction ........................................................ 124

C. Decision-Making ................................................................. 125

10. EIA Filing Fees and Review Fund .................................................. 126

10.1 Schedule of Fees ........................................................................... 126
10.2 EIA Review Cost ............................................................................ 127
A. Work and Financial Plan ..................................................... 127
B. The Fund Manager ............................................................. 127
C. Process of Selecting Fund Manager ................................... 127
D. Cost Components of the EIS Review Support
Fund ................................................................................... 128

11. Fines, Penalties and Sanctions ..................................................... 130

11.1 Scope of Violations ......................................................................... 130
A. Projects which are Established and/or Operating
without an ECC ................................................................... 130
B. Projects Violating ECC Conditions, EMP, Rules
and Regulations .................................................................. 130
C. Misrepresentation in the IEE/EIS or any Other
Documents ......................................................................... 131
11.2 Computation of Fines ..................................................................... 131

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ANNEXES

ANNEX A Detailed Listing of Category D Projects .......................................... 132

ANNEX B Recommended Format for an EIS .................................................. 134
ANNEX C Recommended Format for a PEPRMP .......................................... 137
ANNEX D Recommended Format for an EPRMP ........................................... 140
ANNEX E Recommended Format for an IEE .................................................. 143
ANNEX F Recommended Format for a Project Description ............................ 145
ANNEX G Scoping Report .............................................................................. 146
ANNEX H Scoping Checklist .......................................................................... 147
ANNEX I Recommended Format for an EIARC Report 169
ANNEx J Recommended Format for a Review Process Report 170
ANNEX K Guideline for the Conduct of Environmental Risk Assessment 171
ANNEX L Conflict Resolution Process 180
A. Procedures in a Conflict Resolution Process ....................... 180
B. Results of a Conflict Resolution Process ............................. 182
C. Responsibility for the Conduct of the Conflict
Resolution Process ............................................................. 182
D. Qualifications of a Conflict Mediator ................................... 182
E. Roles and Responsibilities of the Conflict Mediator or
Facilitator............................................................................. 183
ANNEX M Compliance Monitoring and Verification Report Outline .................. 184

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1. Introduction
The 1987 Philippine Constitution lays down the basic framework for our policy on the
environment. Section 16, Article II states that “The State shall protect and advance the right
of the people to a balanced and healthful ecology in accord with the rhythm and harmony of
nature.” Section 15 of the same Article also mandates the State “to protect and promote the
people‟s right to health.”
To implement this policy, Executive Order No. 192 designated the Department of
Environment and Natural Resources (DENR) as the “primary government agency
responsible for the conservation, management, development and proper use of the country‟s
environment and natural resources.” Its Environmental Management Bureau (EMB) is
specifically tasked “to recommend rules and regulations for environmental impact
assessments and provide technical assistance for their implementation and monitoring.”

1.1 The Philippine Environmental Impact Statement (EIS) System

Presidential Decree (PD) No. 1151, otherwise known as the “Philippine Environmental
Policy,” is the first policy issuance on Environmental Impact Statement (EIS) System in the
Philippines. Effective since 1977, section 4 thereof explicitly requires “all agencies and
instrumentalities of the national government, including government-owned and controlled
corporations, as well as private corporations, firms and entities to prepare an environmental
impact statement (EIS) for every action, project or undertaking which significantly affects the
quality of the environment.”
The Philippine EIS System was formally established in 1978 by virtue of PD No. 1586.
Reiterating the policy statement under PD 1151, it declared environmentally critical projects
(ECPs) and projects within environmentally critical areas (ECAs) as projects which require
the submission of an EIS. Section 4 thereof provides that “no person, partnership or
corporation shall undertake or operate any in part such declared ECP or project within an
ECA without first securing an Environmental Compliance Certificate (ECC).” PD 1586 also
identified the lead agency for the implementation of the EIS System and provided sanctions
for its violation.
The major categories of ECPs and ECAs were identified through Presidential Proclamation
No. 2146, series of 1981. The categories were given technical definitions by EMB‟s
predecessor agency, the National Environmental Protection Council (NEPC), through NEPC
Office Circular No. 3, series of 1983.
PD 1586 was implemented through the issuance of a number of administrative regulations
and guidelines. The first of such administrative issuance is the implementing rules and
regulations passed by NEPC in 1979, and amended in 1984.
Since then, the EIS system has undergone several refinements to make it a more effective
planning, management, and regulatory tool in addressing environmental problems in the
country. The DENR has consistently endeavored to strengthen and tighten the system, by
continuously introducing new features and requirements in response to changing economic
realities and the growing environmental consciousness of the Philippine populace.
The DENR, when it assumed the powers and responsibilities of the NEPC, issued
Department Administrative Order (DAO) No. 21 in 1992, further amending the NEPC-issued
rules. On 2 December 1996, the DENR issued DAO No. 96-37 to further strengthen the EIS
System. On 2 November 2002, the Office of the President issued Administrative Order No.
42 (A.O. 42) which intends to rationalize the implementation of the Philippine EIS System to
make it a more effective planning tool for sustainable development.

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This latest issuance is envisioned to address deficiencies in the system that hinders its
effectiveness as a tool for proper environmental management and to institutionalize the
incorporation of environmental concerns in the country‟s effort to hasten national
development in the most efficient manner so that neither the environment nor national
development would be compromised. It is consistent with the current thrust of the State to
achieve optimum economic development and at the same time ensuring that present
generation meets its needs without compromising the ability of future generations to meet
their own needs.
To implement such objectives, DAO No. 03 series of 2003 or DAO 2003-30, was issued to
further streamline the EIS system and to strengthen the processes for its implementation.

1.2 Basic Policy and Operating Principles

The basic DENR policy governing the implementation of the Philippine EIS system is
articulated in Section 1.0, Article I of DAO 2003-30: “Consistent with the principles of
sustainable development, it is the policy of the DENR to implement a system-oriented and
integrated approach to the EIS system to ensure a rational balance between socio-economic
development and environmental protection for the benefit of present and future generations.”
The following are the key operating principles in the implementation of the Philippine EIS
System:
a. The EIS System is concerned primarily with assessing the direct and indirect impacts
of a project on the biophysical and human environment and ensuring that these
impacts are addressed by appropriate environmental protection and enhancement
measures.
b. The EIS System aids proponents incorporating environmental considerations in
planning their projects as well as in determining the environment‟s impact on their
project.
c. Project proponents are responsible for determining and disclosing all relevant
information necessary for a methodical assessment of the environmental impacts of
their projects.
d. The review of the EIS by EMB shall be guided by three general criteria: (1) that
environmental considerations are integrated into the overall project planning, (2) that
the assessment is technically sound and proposed environmental mitigation
measures are effective, and (3) that social acceptability is based on informed public
participation.
e. Effective regulatory review of the EIS depends largely on timely, full, and accurate
disclosure of relevant information by project proponents and other stakeholders in the
environmental impact assessment (EIA) process;
f. Social preparation shall be conducted by the proponent for the project is a result of
meaningful public participation, which shall be assessed as part of the ECC
application, based on concerns related to the project‟s environmental impacts;
g. The timelines prescribed by DAO 2003-30 in which an ECC must be issued or
denied, apply only to processes and actions within the EMB‟s control and do not
include actions or activities that are the responsibility of the proponent.

1.3 Objectives

The objective of this Procedural Manual is to rationalize and streamline the EIS System in
order to make it more effective as a planning and management tool by:

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a. Making the System more responsive to the demands and needs of the project
proponents and the various stakeholders;
b. Clarifying the coverage of the System, and updating it taking into consideration
industrial and technological innovations and trends;
c. Standardizing requirements to ensure focus on critical environmental parameters;
d. Simplifying procedures for processing ECC applications, and establishing measures
to ensure adherence to ECC conditions by project proponents, and
e. Assuring that critical environmental concerns are addressed during project
development and implementation.

1.4 EIA and the Project Planning Cycle

Aware of the possible negative effects of the implementation of industrial and other activities,
government had instituted measures to encourage the use of EIA as a planning and decision
making tool. The concept is premised on developing a process that will provide useful
information to decision maker (both on the proponent and government side) at the
appropriate time in the project cycle.
Environmental impact can be defined as any change in the environment that is caused by an
activity or a factor (Ward, 1978). The change may occur in air (e.g. increase in sulfur oxide
concentration), water, land, and people or society. The process of identifying, predicting and
evaluating the changes or impacts as a consequence of operational procedures, projects,
programs, policies and legislative proposals is commonly known as environmental impact
assessment or EIA. Moreover, EIA interprets and communicates the information about
those impacts and proposes measures for their management (CEARC, 1988).
EIA offers an integrated approach for preventing environmental problems and, therefore, is
an effective instrument in environmental management. It contributes to the acceptance of
integrated environmental management by providing the decision-maker with an integrated
picture of the environmental consequences of a proposed activity and its alternatives (United
Nations Economic Commission for Europe, Seminar Report, 1987).

A. EIA as a Planning and Decision-Making Tool

Proponents should adopt procedures to integrate EIA with the planning process, not just to
comply with regulatory requirements, but more importantly so that projects or programs are
better sited and better designed for environmental sustainability.
As a basic principle, EIA should be used to enhance planning and to guide decision-making.
In this context, decision-making refers to DENR‟s issuance of an ECC so that the proposed
project can proceed to implementation. The other aspect of decision-making refers to the
incremental, technical decision-making that occurs throughout the planning process (e.g.,
identification and selection of alternatives). Indeed, the real value of the EIA process is in
the reduction of adverse environmental impacts as a result of incremental decision-making
before a proposed action reaches final decision-making on whether it should be allowed to
proceed or not.
EIA is designed to assist planning and decision-making and not to justify decisions that have
already been made. A decision to adopt a particular project or program alternative should
be based in the EIA report and other planning documents (e.g., feasibility study report).
Preferably, the EIS should show a record of decisions made throughout the planning
process. As such, the EIS should identify the alternatives considered during decision-
making; discuss preferences among alternatives with respect to relevant environmental,
technical, and economic considerations; and describe conformity with environmental laws

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and regulations. The EIS should also include monitoring and enforcement plans for the
proposed mitigation measures.
EIA, if properly utilized, has real effects on projects or undertakings. It should enhance and
complement the project planning process. Its significance is determined if it actually
influence decision-making in project planning. If so, it would have fulfilled its role as an
instrument to protect environment and ensure sustainable development.

B. The Environmental Impact Assessment Process

A distinction should be made between the EIA process and the EIA study. The EIA process
is a set of steps, one of which is the EIA study. As such, the process of EIA is the larger
context in which the EIA study is undertaken. The EIA process involves steps that start from
the announcement of a development proposal up to the monitoring of activities once the
development is in operation. This overall process is shown in Figure 1-1.

Detailed
assessment,
identification of
mitigation needs,
inputs to CBA

Feasibility Pre- Site selection, env

Detailed design of feasibility screening, initial
mitigation assessment,
measures scoping

Design and Project

Engineering Concept

Implementation of
mitigation
measures Monitoring &
Implementation Evaluation

Monitoring and Audit

Figure 1-1. EIA and the Project Cycle

The EIA study is just one step in the overall EIA process. The latter consists of screening,
preliminary assessment, scoping, EIA study, review, decision-making, and monitoring. One
may further group the steps into a pre-study phase (i.e., screening, preliminary assessment
and scoping), the EIA study proper, and the post-study stage (review, decision-making, and
monitoring). Pre-study work is important in focusing the EIA study to address the most
relevant and important issues, in particular those issues that are of primary concern to
affected or interested parties. The scoping during pre-study is part of the regulatory process.
It involves deciding which types of programs or projects need to undergo an EIA and what
type of EIA documentation is required. Follow-on work (e.g., compliance monitoring) during
the post-study phase is important in ensuring that the EIA findings influence project
decisions and that mitigation measures are actually adopted during implementation.
The EIA study proper, which is the central part of the EIA process, consists of various sub-
steps: impact identification, impact prediction, impact evaluation, impact mitigation, and
impact assessment documentation. The EIA study is more effective as a planning tool when

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undertaken systematically within the overall EIA process described above, than when the
EIA study is done in isolation. The EIA process in turn needs to be in tandem with the
overall program or project development process.

1. Scoping
Before conducting the EIA study, scoping is done to define the range of actions,
alternatives, and impacts that are to be examined. Scoping is also a formal step
governed by guidelines and requiring documentation of outcome under the regulatory
system for EIA. Scoping provides an early link between the DENR and the
proponent so as to ensure that the EIA addresses relevant issues and presents
results in a form consistent with the regulatory review requirements.
A key purpose of scoping is also to allow interested parties (e.g., the stakeholders) to
make their concerns known, and the step helps ensure that the EIA study proper
actually addresses issues and potential impacts of concern to all parties. Through a
formal scoping within the regulatory EIA system, an agreement is made at the outset
of the EIA study to identify what issues and alternatives would be examined, and to
define the responsibilities of the various parties or stakeholders. However, this does
not prevent adding to or revising the scope of the EIA as the study progresses in light
of new information or issues, as long as the new issues raised are deemed valid by
parties concerned. Also, under the regulatory system, the scoping exercise will
address the issue of whether an environmental risk assessment is required, and to
determine and agree on the process of dealing with issues relating to social
acceptability. In summary, the approved Scoping Report will serve as the basis for
the preparation or conduct of the EIS, and the review of the submitted EIS.
There are a variety of techniques available for involving the public during scoping and
throughout the EIA process. However, each public involvement strategy must be
tailored to the circumstances of the proposed activity, as well as the community in
which the public involvement process is to occur.

2. Baseline Study
The term baseline means a description of the existing ecosystem situation before
development against which potential impacts of the proposed project may be
identified and subsequent actual changes detected through monitoring. Baseline
study is the data gathering phase of the EIA study. It should focus on gathering data
relevant to the issues and concerns raised during the scoping. Depending on the
adequacy of the available secondary data to address the issues raised, primary data
should be generated to supplement available data in order to build a sufficient picture
of the project area and the impact zones. Baseline data normally should consist of
statistically adequate descriptions of ecosystem components and processes prior to
the onset of planned action.

3. Impact Identification
Using the data collected in the baseline study and the information that may be
generated by the engineering design group, potential impacts of the project can be
identified. The step basically answers the question: “What will happen as a result of
the project? This step is a bridge or link between baseline studies and impact
prediction. Impact identification usually involves meetings between the EIA team and
the engineering team. It is heavily dependent on the experience of the teams. There
are no hard and fast rules that spell out the steps or procedures in impact
identification. It is necessary that the members of the EIA team possess adequate

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knowledge and sufficient experiences to comprehensively identify the potential

impacts.

4. Impact Prediction
Identified potential impacts should be studied further to estimate the magnitude of
change. It answers the question: "What would be the extent of the impact?" In
predicting impact, one really formulates a hypothesis on the cause-and-effect
interaction between project activities, which are represented as independent
variables and the valued ecosystem components and processes as the dependent
variables. In making impact predictions, it is useful to include the estimates of the
probability of occurrence and the associated risks, timing and direction of impacts.

5. Impact Evaluation
The evaluation is basically a question of "How important is the predicted impact?"
Impact evaluation boils down to knowing or selecting the significant impacts since not
all identified impacts are significant. Only important adverse environmental impacts
will have to be mitigated. Hence, it is necessary to know which impacts are
important.

6. Impact Mitigation and Preparation of Environmental Management Plan

If the results of the evaluation show that some impacts are likely to be significant,
then the project team has to consider what to do about them. In this step of the EIA
study, a wide range of measures may be proposed to prevent, reduce, remedy or
compensate for each of the adverse impacts assessed as being significant. Possible
mitigation measures generally include:
 Changing project sites, routes, processes, raw materials, operating methods,
disposal sites, phasing of project activities, or engineering designs,
 Introducing pollution controls, waste treatment, monitoring, landscaping,
personnel training, special social services, or public education, or
 Offering as compensation the restoration of damaged resources, including
providing compensation money to affected persons, concessions on other issues,
or off-site programs to enhance some other aspect of the environment or quality
of life for the affected community
These various measures are then compared and trade-offs among alternatives
weighed. The EIA study team is expected to propose an environmental management
plan that optimally combines the recommended measures. The plan may include
technical control measures, a management scheme for coordinating various project
implementation activities, monitoring of impacts, provision for unexpected impacts,
and suggested items for inclusion into the detailed planning or engineering
specifications of the project.
The study team should analyze the implications of adopting different mitigation
options, so that the most practical choices can be made. An important implication
that should be addressed is the cost to be incurred in implementing the mitigation
measures. A minimum requirement is that the environmental management plan
should include a budget.

7. EIA Documentation
EIA documentation, in its broad sense, refers to the preparation of both the formal
and informal reports and records of the proceedings, findings, analysis, and results of

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the EIA processes. It includes such documents as Project Profile, Scoping Report,
IEE or EIS documents, process documentations, proofs of social acceptability,
proposal for EGF, ERA and other documents. The purpose of EIA documentation is
to present and communicate to decision makers and other affected parties the data
and information gathered during various stages of the EIA process; the methods by
which they were gathered; the results of the EIA study; and the ways in which
adverse impacts will be prevented, reduced, mitigated and monitored.
On the regulatory side, the decision to grant or deny an ECC for a proposed project
depends on the quality of the EIA documentation, which in turn reflects the quality of
the EIA performed. The formal decision documents under the Philippine EIS system
mainly consist of the IEE or the EIS.

C. EIA within the Project Development Cycle

EIA, as a management tool, must provide adequate information to ensure that environmental
considerations are anticipated and addressed by decision-maker. The integration of EIA
within the project cycle can start as early as the pre-feasibility stage. At this point, the EIA
process can influence decision on site selection and identification of significant issues.
Some of the tools that may be used are environmental screening, initial assessment or
scoping. At the feasibility study stage, the EIA can contribute detailed assessment of
potential significant impacts, identification of mitigating measures, and the corresponding
inputs to the cost-benefit analysis. Inputs on detailed design or parameters for the mitigation
measures may be done at the design and engineering stage. The EIA insure that the
mitigation measures and environmental management plan are implemented during the
implementation stage of the project development cycle. Likewise, at the monitoring and
evaluation stage, it collects data through monitoring and auditing activities, providing lessons
for future projects.

1. Benefits of Integrating EIA with Planning

The basic premise here is that the use of EIA enhances the quality of planning. An
EIA identifies problems, conflicts, and natural resources constraints that could affect
the overall viability of a program or project. It also examines how a proposed activity
might cause harm to people, their property or their livelihoods, or to nearby
developments. After predicting potential problems, the EIA identifies measures to
minimize the problems and recommends ways to improve the project‟s sustainability.
Thus, EIA is a management tool for proponents and regulatory agencies who make
important decisions about major development proposals. In this sense, EIA is similar
to other conventional planning tools, such as economic analysis and engineering
feasibility study. Most decision makers are already familiar with economic and
engineering studies. These tools provide basis for designing technically and
economically viable projects. EIA is now seen as an equally important tool in
designing viable programs or projects. It forms one component of the total
information – including technical and economic – which decision-makers can draw
upon to guide their decisions.
In the past, many major development activities encountered problems because of
insufficient attention paid to the relationship of the proposed activities with their
surrounding environment. Some became unsustainable because the resources on
which they were based were rapidly depleted or degraded. Others had to be
abandoned because of public opposition, or were financially encumbered by
unforeseen costs arising from environmental remediation requirements or liability for
environmental damages that could have been foreseen and avoided during planning.
EIA helps identify, predict and assess potential environmental impacts that could

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cause such problems, so that project design may be improved by incorporating

measures to avoid environmental problems into plans at an early stage.

2. The Project Cycle and the EIA Process

At the project level, EIA should be undertaken so that it feeds into all key stages of
the project development process. This integration ensures that environmental
mitigation measures, including alternatives to the project, have an opportunity to be
considered early and during the time of the actual planning itself.
EIA undertaken after key planning decisions have been made (e.g., siting, technical
specifications) are generally less effective, in that it is more costly and time-
consuming to alter the project design after many key, incremental decisions have
already been made.

3. The Timing of EIA

EIA must be integrated with planning at the earliest possible time so that the EIA
documentation will be completed and ready to be included in every report or
documents submitted to the decision maker. A "proposal" originates when a
proponent has a development objective and is in the process of making a decision on
one or more means of accomplishing it.
EIA documents should not be prepared until prospective proposals are more
concrete than mere concept. The initiation of EIA should coincide with the feasibility
analysis stage of projects and the EIA documentation should be available before the
project or program has reached a stage of investment or commitment to
implementation.
In fact, DAO 96-37 reiterated this perspective by stating in Section 1 Article III:
"Scoping shall be initiated by the proponent at the earliest possible stage of project
development to define the range of actions, alternatives and impacts to be
examined." EIA must not be conducted or undertaken until scoping has been
completed. For IEE, DAO 96-37 only recommends scoping as an option for the
proponent to undertake or not.

4. The Terms of Reference for EIA

As stated, the EIA study should determine the environmental impacts of the project
and provide appropriate inputs at various stages of the project cycle. At the pre-
feasibility stage, impact studies shall include environmental screening and
assessment to determine whether the project is covered by the Philippine EIS
System or not, project site selection, and scoping of key issues and concerns. EIA
inputs in the feasibility studies shall include assessment of significant impacts,
identification of mitigation needs, and cost/benefit analysis. In the design and
engineering stage, the impact studies shall provide inputs in the form of detailed
mitigating measures. Impact studies shall also incorporate environmental monitoring
program in the project benefit monitoring and evaluation component.
DAO 96-37 mandated that the Scoping Report "shall serve as a basis for the EIA and
the review of the EIS." It is important therefore, for the proponent to consider the
conduct of an EIA as management tool that will at the same time satisfy regulatory
requirements of the EIS System.

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5. Selecting the EIA team

The type and scale of a project dictates the required composition of the
interdisciplinary team who will conduct the assessment activities. The EIA team is
normally composed of an ecologist, environmental engineer, economist and a
sociologist. Depending on the magnitude and characteristics of the project, other
specialists (e.g., geologist, hydrogeologist, risk assessment, anthropologist, etc.) may
be included. All team members should be experienced in the practice of
environmental impacts prediction and evaluation.

1.5 Procedural Manual for DAO 2003–03

This Procedural Manual is designed to serve as the primary reference material for DENR
staff or personnel, project proponents, EIA preparers and practitioners, environmental units
of government agencies, local government officials, non-governmental or people‟s
organization, and other stakeholders involved in the implementation of the Philippine EIS
system. It is designed to clarify the steps and procedures required to implement the various
provisions of DAO 2003-30. The Manual focuses on the processes rather than the technical
aspects of the EIA.
The responsibility of the project proponent starts with the preparation of an EIS to the
issuance of the ECC and even further in initiating project compliance and monitoring
activities. Also, it should be noted that the issuance of an ECC does not exempt a project
proponent from securing related permits (such as sanitary, conversion, water, and building
permits) from concerned government agencies under other existing laws, rules and
regulations.

The Procedural Manual is intended to clarify provisions of DAO 2003-30, PD

1586 and other applicable laws. Therefore, in cases of conflict, the provision
of DAO 2003-30, PD 1586 and other applicable laws shall prevail.

The main features of DAO 2003-30 discussed in the Procedural Manual are the following:
 Clarifications on the Scope of the Philippine EIS System. The Manual provides a
more detailed listing of projects that are within and outside the scope of the EIS system
based on project type and size. It follows the provisions under A.O. 42 that limits the
requirement to secure ECC to only those projects with significant negative environmental
impacts. Projects, upon being proven to be purely environmental enhancing, are
exempted from securing ECCs.
 Simplification of Requirements for Securing ECC. Requirements for securing ECCs
are customized based on the nature of the project and its status. Consistent with the
provisions of A.O. 42, this Manual provides details on the different types of requirements
that focus on the critical environmental impacts of specific project categories. For certain
projects, for example, pro-forma IEE checklists have been developed to make it easier
for small businesses to comply with the requirements of the system. Also, for
environmentally critical projects with intention to expand their operation, an
Environmental Performance Report and Management Plan is required instead of an EIS.
 Streamlining of Procedures. One of the main features of A. O. 42 is the
decentralization of ECC application approving authority. The Procedural Manual
contains details on the types of projects whose ECC application can be processed and
decided at the various levels of authority. It also details the application processing time
limits for different projects and provisions on the automatic approval for projects where
the maximum allowable processing time has been exceeded. Moreover, through the

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programmatic compliance policy, projects that are co-located in regional industrial

centers may obtain programmatic ECC – thus, removing the need to secure individual
ECCs.
 Strengthening the Implementation of the Philippine EIS System. Another main
feature recognized in the presidential directive is the strengthening of the EIS System
implementation through coordination or partnership with other government agencies and
organizations, information systems improvements and the creation of the EIA Division.

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2. Scope of the Philippine EIS System

The Philippine EIS system covers projects and undertakings categorized as Environmentally
Critical Projects (ECPs) and projects located in Environmentally Critical Areas (ECAs).
These projects cannot proceed unless DENR issue an Environmental Compliance Certificate
(ECC).
To ensure that only projects or undertakings with significant negative environmental impacts
are covered by the System, the following factors were considered in determining the scope
or coverage of the EIS System:
a. The nature of the project and its potential to cause significant negative environmental
impacts, and
b. The sensitivity or vulnerability of environmental resources in the project area.
The operationalization of these parameters utilizes three sets of specific criteria in order to
determine if projects or undertakings are covered by the EIS System. Essentially, DENR
uses a two-level screening process to determine the level of coverage of projects or
undertakings:

LEVEL 1. The criteria on “Characteristics of the Project or Undertaking” is used to

determine if a project or undertaking is “COVERED” or “NOT COVERED”.
The criteria (Set A) to determine coverage are as follows:
 Size of the project
 Cumulative nature of impacts vis-à-vis other projects
 Use of natural resources
 Generation of wastes and environmental-related nuisance
 Environment-related hazards and risk of accidents

Activities

CHARACTERISTICS:
• Size of project
• Cumulative nature of impacts Characteristics
• Use of natural resources
• Generation of wastes & nuisances Ca
• Hazards and risks of accidents teg
or
yD

Covered Not Covered

LEVEL 1

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LEVEL 2. After a project is deemed to be covered, it is then classified using the criteria
in Set B and Set C as “CATEGORY A”, “CATEGORY B” or “CATEGORY C”.
In terms of location of the Project, the criteria (Set B) are:
 Vulnerability of the project area to disturbances due to its ecological
importance, endangered or protected status
 Conformity of the proposed project to existing or approved land use
 Relative abundance, quality and regenerative capacity of natural
resources in the area, including the impact absorptive capacity of the
environment
And for the nature of the potential impact/s, the criteria (Set C) are:
 Geographic extent of the impact and size of affected population
 Magnitude and complexity of the impact
 Likelihood, duration, frequency and reversibility of the project

Activities

Characteristics
Cate
gory
D

Covered Not Covered

LEVEL 1

CRITERIA:
Ca
• Location of the project teg
• Nature of potential impacts or
y C

Category A Category B Not Covered

LEVEL 2

Based on these operational criteria and procedures, DENR classifies projects or

undertakings into the following categories:
a. Category A. Environmentally Critical Projects (ECPs) with significant potential to
cause negative environmental impacts.
b. Category B. Projects that are not environmentally critical in nature, but which may
cause negative environmental impacts because they are located in environmentally
critical areas (ECAs)
c. Category C. Projects intended to directly enhance environmental quality or address
existing environmental problems

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d. Category D. Projects not falling under other categories OR unlikely to cause

adverse environmental impacts
Proponents of co-located or single projects that fall under Category A or Category B are
required to secure ECC. For co-located projects or projects in economic zones, the
proponent has the option to secure a programmatic ECC. Otherwise, each locator-
proponent shall be required to secure individual (project-specific) ECCs.
In general, ECC applications for projects under Category A or Category B shall be based
on an EIS or IEE Report, respectively. However, in cases where the IEE Report fails to
address all environmental issues or concerns, the application may be upgraded to an EIS
Report. While proponents for projects classified as Category C are required to submit
Project Description for issuance of Certificate of Non-Coverage.
A Category D is considered as outside the purview of the Philippine EIS System, and shall
be issued Certificate of Non-Coverage or CNC upon request by the proponent. However,
DENR-EMB may require such projects or undertakings provide additional environmental
safeguards as it may deem necessary.

Projects or undertakings introducing new technologies or processes

(including but not limited to construction techniques) that have indeterminate
environmental impacts will be required to submit a Project Description. The
submission shall then be used by DENR-EMB as basis for screening and the
determination of its category.

Table 2-1 provides a summary of the categorization of various projects or undertakings.

DENR-EMB will continually update the list to include other industry groups, undertakings,
activities and project not included in the list. Such updating will be in coordination and
consultation with the DTI, DOST, other pertinent government agencies and stakeholders.

2.1 Technical Definitions of Environmentally Critical Projects

In accordance with Presidential Proclamation No. 2146, series of 1981 and Proclamation No.
803 (Series of 1996), the four (4) main categories of ECPs are (1) heavy industries; (2)
resource extractive industries; (3) infrastructure projects and (4) golf course projects.
Classified as Category A under DAO 2003-30, projects under this category are required to
secure an ECC prior to implementation.
Under each category, there are sub-categories of ECPs. These sub-categories are,
however, not exclusive and may be further re-defined by the DENR-EMB from time to time.
Rapid technological advancement makes it impossible to name all potential projects that
may have significant negative impact on the environment. In exercising its sound judgment
and discretion, the DENR shall apply a liberal interpretation of the law on coverage.

The numerical thresholds or criteria for the determination of

category are contained in Table 2.1 at the end of this section.

Taking into consideration the rationale of the EIS System, it shall use the “significant impacts
on the quality of the environment” test as stated in PD 1152 and PD 1586. In order to guide
project proponents, the following sub-category of projects and undertakings shall be
considered as an ECP:

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A. Heavy Industries

1. Non-Ferrous Metal Industries

“Non-ferrous metal industries” shall refer to the organized and coordinated
arrangement of manufacturing processes designed to prepare, smelt, process or
recycle non-ferrous metals into marketable products.
This classification shall include projects characterized by any of the following
specifications:
 Classified as large-scale industrial plants under the implementing rules and
regulations of LOI no. 950;
 Having a designated annual rated capacity equal to or exceeding 3 ,000 metric
tons product; and
 Will process toxic non-ferrous metals such as cadmium, chromium, and lead.

2. Iron and Steel Mills

“Iron and steel mill projects” shall refer to the organized and coordinated
arrangement of manufacturing processes designed to prepare or smelt or process
iron ores, steel scraps or primary iron and steel mill products into marketable
products except when process involves reheating or resizing only.
The following projects or undertaking falls under this category:
 Classified as a large-scale industrial plants under the implementing rules and
regulations of LOI no. 950; and
 Having a designated annual rated capacity equal to or exceeding 30,000 metric
tons products.

3. Petroleum and Petrochemical Industries

“Petroleum and Petrochemical Industries” shall refer to the organized and
coordinated arrangement of manufacturing processes designed to physically and/or
chemically transform petroleum and its derivatives into marketable products.
The following projects or undertaking falls under this category:
 Classified as large-scale industrial plants under the implementing rules and
regulations of LOI no. 950;
 Refineries with designated capacities equal to or exceeding 30,000 barrels of
petroleum per year; and
 Petrochemical industry projects with designated annual rated capacities of
30,000 tons.

4. Smelting Plants
“Smelting plant projects” shall refer to the organized and coordinated arrangement of
manufacturing processes designed to smelt metals or alloys and cast the same into
some special form.
 Classified as large-scale industrial plants under the implementing rules and
regulations of LOI no. 950;

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 Having a designated annual rated capacity equal to or exceeding 15 ,000 metric

tons raw materials; and
 Will process toxic non-ferrous metals such as cadmium, chromium, and lead.

B. Resource Extractive Industries

1. Major Mining and Quarrying Projects

Major mining and quarrying projects shall refer to projects involving the extraction
and processing of metals, metalliferous ores, fuel, precious stones, clays, fertilizers
and other earth-based materials on a commercial scale and are characterized by any
or a combination of the following:
 Ore-processing by cyanidization, flotation, mechanized grinding and/or crushing,
magnetic separation and or mechanized gravity concentration. This also included
mineral processing involving the establishment of a manufacturing plant (e.g.
cement, other cement products, clinker, limestone and other non-metallic
minerals processing plant);
 Utilization of the open-pit ,method with mechanical operations and/or blasting;
 Underground mining using blasting and/or mechanized extraction;;
 Marine or off-shore mining (including extraction of coal, deuterium, oil and gas);
and
 Extraction of oil and gas (on-shore).
Without prejudice to the supplemental guidelines that may be issued by the DENR
Secretary, it is noted that the New Mining Act of 1995 (Republic Act No. 7942) and
DENR Administrative Order 96-40 implementing the New Mining Law specifically
provides for projects or project phases that require the issuance of an ECC.
Section 70 of Republic Act No. 7942 (RA 7942) clearly states that, “Except during the
exploratory period of a mineral agreement, or Financial or Technical Assistance
Agreement, or exploratory permit, an Environmental Compliance Certificate is
required based on the EIA system and the Local Government Code.”
The Implementing Rules and Regulations of the New Mining Act (DAO 96-40) further
clarified that an ECC is no longer required during the exploratory phase of major
mining projects. In lieu thereof, mining proponents are required to submit before the
Mines and Geo-Sciences Bureau (MGB) an Environmental Work Program (EWP).
Furthermore, coal exploration is not covered by this provision of DAO 96-40.
In all other phases and prior to the development, construction and utilization of
resources covered by applications for mineral agreements and financial or technical
assistance agreements (FTAA), the issuance of an ECC is required. The ECC shall
be the basis for the consequent preparation of the project‟s Environmental Protection
and Enhancement Program (EPEP) under DAO 96-40.
An ECC is similarly required before any quarrying activity, or any extraction, removal
and disposition of sand and gravel, or guano and gemstone resources may be
undertaken by its proponent/s.
Proponents of projects that require the use of sand (e.g., beach sand, white sand,
coral sand, etc.) such as golf courses, theme parks, malls are required to show proof
that the suppliers of such sand have the necessary ECCs to cover their operations.
Furthermore, proponents must also certify that the sources of sand are duly
designated areas for sand quarrying.

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2. Forestry Projects
Current guidelines for major forestry projects, such as those involving applications for
Industrial Forestry Management Agreements (IFMAs), Socialized Industrial Forestry
Management Agreements (SIFMAs), and other community-based forestry projects
expressly require the issuance of an ECC prior to commencement of these projects.
Logging Projects
Logging projects shall refer to the cutting and commercial scales.
Major Wood Processing Projects
Major Wood Processing shall refer to the processing of logs and other forest raw
materials into finished or semi-finished products.

This classification shall include, among others:

i.) Sawmills;
ii.) Wood manufacturing/processing plants producing veneer, plywood, wall
board, blockboard, crates, etc.;
iii.) Pulp and paper mills

Introduction of Flora and Fauna in Public/Private Forests

This shall refer to the introduction of exotic species of flora and fauna to private or
public forests.

Forests Occupancy
This shall refer to the occupancy of people residing within public forests for livelihood
purposes and associated management projects.

Extraction of Mangrove Products

This shall refer to the cutting and gathering of mangrove timber and its products.

Grazing Projects
This shall refer to the management of forest range resources for forage productivity
needed to support livestock production.
Grazing projects shall be considered critical if such will exceed the natural grazing
capacities of the areas involved (1 head/hectare), as specified by MNR A.O. No. 50
(1982).

3. Dikes for/and Fishpond Development Projects

This refers to natural or artificial water impoundment involving construction of dikes,
establishment of fishcages and similar undertakings for aquaculture purposes or salt
production.
Fishpond development projects shall be considered critical if such will involve
utilization of areas equal to or greater than 25 hectares for inland-based (e.g. lakes,

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rivers, bays, etc.) or utilization of areas equal to or greater than 100 hectares for
projects in water bodies (coastal areas)

C. Infrastructure Projects

1. Major Dams
This shall refer to all impoundment structures and appurtenances with storage
volumes equal to or exceeding 20 million cubic meters.

2. Major Power Plants

This refers to power generating plants, transmission and distribution systems
(substations) utilizing, or run by, fossil fuels, geothermal resources, natural river
discharge, pondage or pump storage.

3. Major Reclamation Projects

This refers to projects which involve the filling or draining of areas (foreshore,
marshes, swamps, lakes, rivers, etc.) equal to or exceeding 50 hectares.

4. Major Roads and Bridges

This refers to the construction, significant extension, expansion, widening or
improvement of all national roads and bridges and any significant extension or
improvement thereof which will:
i.) Traverse any highly developed urban area(s);
ii.) Affect the hydrology of the traversed area(s); and
iii.) Substantially increase or impede traffic flow.

D. Golf Course Projects

This refers to all golf course projects, whether established as a single component or
as part of a recreation or other facilities. It should be noted that projects or portions
thereof, although with separate EIS submissions, will be evaluated as an integrated
project for the purpose of determining or categorizing as ECP. For example, a hotel
complex with an 18-hole golf course shall be treated as “one” ECP.

2.2 Technical Definitions of Environmentally Critical Areas

In accordance with Presidential Proclamation No. 2146, series of 1981, there are twelve (12)
main categories of ECAs. Projects located in ECAs are classified as Category B under
DAO 2003-30, and are required to secure an ECC prior to implementation. As in the case of
ECPs, the DENR is also expected to exercise its sound judgment and sound discretion in
determining which projects are located within ECAs. In exercising such function, the DENR
shall apply a liberal interpretation of the law on coverage, taking into consideration the
rationale of the EIS system, and shall use the “significant impacts on the quality of the
environment” test under PD 1152 and PD 1586.
An area is environmentally critical under Section 1.0 (b), Article II of DAO 96-37 if it exhibits
any of the following characteristics:

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A. Areas declared by law as national parks, watershed reserves, wildlife preserves, and
sanctuaries

The laws referred to by this provision are Pres. Decree No. 705, as amended,
otherwise called as the “Revised Forestry Code”, Republic Act No. 7586 or the
National Integrated Protected Areas System (NIPAS) Act, and other issuances
including international commitments and declarations.
A “national park” is defined under Section 4(c) of the NIPAS Act as “a forest
reservation essentially of natural wilderness character which has been withdrawn
from settlement, occupancy or any form of exploitation except in conformity with
approved management plan and set aside as such exclusively to conserve the area
or preserve the scenery, the natural and historic objects, wild animals and plants
therein and to provide enjoyment of these features in such area.”
A “wildlife sanctuary” is defined under Section 4(m) of the NIPAS Act as “an area
which assures the natural conditions necessary to protect nationally significant
species, groups of species, biotic communities or physical features of the
environment where these may require specific human manipulations for their
perpetuation.”
All other protected areas covered by NIPAS shall likewise be included in this
category.

B. Areas set aside as aesthetic, potential tourist spots

Aesthetic potential tourist spots shall refer to areas declared and reserved by the
Department of Tourism or other appropriate authorities for tourism development.

C. Areas which constitute the habitat for any endangered or threatened species of
indigenous Philippine wildlife (flora and fauna)

This refers to wilderness areas and areas such as Mt. Bako, Mt. Apo, etc., which are
natural habitats of endangered or threatened, rare and indeterminate species of flora
and fauna.
1. Indeterminate species shall refer to plant or animal species which are apparently
endangered but where data currently available are insufficient for a reliable
assessment.
2. Threatened species shall refer to any plant or animal species which is likely to
become endangered species within the foreseeable future throughout all or just a
significant portion of its range.
3. Rare species shall refer to plant or animal species which are not under immediate
threat of extinction but occurs in small numbers.
4. Endangered species shall refer to plant or animal species which are actively
threatened with extinction and whose survival are unlikely without protective
measures.

D. Areas of unique historic, archeological, geological, or scientific interests

Areas of unique historic, archeological, or scientific interest refer to military and non-
military shrines which are of cultural, historical, and scientific significance to the
nation.

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This classification includes national historical landmarks, geological monuments, and

paleontological and anthropological reservations as may be designated or
determined by the National Historical Institute, National Museum, National
Commission for Culture and the Arts, National Commission on Geological Sciences,
and other appropriate authorities.

E. Areas which are traditionally occupied by cultural communities or tribes

This refers to all ancestral lands of National Cultural Communities identified in Sec. 1
of P.D. No. 410 and settlements designed, implemented and maintained by the
PANAMIN for national minorities (non-Muslim hill tribes referred to in P.D. No. 719)
as may be amended by Republic Act No. 8371 the Indigenous Peoples Rights Act of
1997 (IPRA) and its IRR.
This also refers to all areas that are occupied or claimed as ancestral lands or
ancestral domains by indigenous communities, or certified as such (CADC/CALC)
pursuant to DENR Admin. Order No. 2, series of 1993 regarding identification and
delineation of ancestral land or domain claims.

F. Areas frequently visited and or hard-hit by natural calamities (geologic hazards,

floods, typhoons, volcanic activity, etc.)

The area shall be so characterized if any of the following conditions exist:

1. Areas frequently visited or hard-hit by typhoons

This shall refer to all areas where typhoon signal no. 3 was hoisted for at least
twice a year during the last five (5) years prior to the year of reckoning. For
example, a determination made in July 1997 will consider the weather records
from 1992 to 1996.

2. Areas frequently visited or hard-hit by tsunamis

This shall refer to all coastal zones and offshore areas subjected to an
earthquake of at least intensity VII in the Rossi-Forel scale and hit by
tsunamis during the period 1638 until year of reckoning. For example, a
determination made in December 1997 will consider records from 1638 to
1997.

3. Areas frequently visited or hard hit by earthquakes

This shall refer to all areas subjected to earthquakes of at least intensity VII in
the Rossi-Forel scale during the period 1949 until the year of reckoning.

4. Storm surge-prone areas

This refers to all areas identified as such by the Philippine Atmospheric,
Geophysical and Astronomical Services Administration (PAGASA).

5. Flood-prone areas
This shall refer to low-lying areas usually adjacent to large active water
bodies experiencing regular or seasonal inundation as a result of changes in
mean water level of these water bodies.

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6. Areas prone to volcanic activities

This refers to all areas identified as such by Philippine Institute of Volcanology
and Seismology (PHIVOLCS).

7. Areas located along fault lines or within fault zones

This refers to all areas identified as such by Philippine Institute of Volcanology
and Seismology (PHIVOLCS).

8. Drought-prone areas
This refers to all areas identified as such by the Philippine Atmospheric,
Geophysical and Astronomical Services Administration (PAGASA).

For purposes of accuracy, the areas referred to in (F) shall be

identified and/or declared as such by appropriate national
government agencies such as PAGASA, PHIVOLCS, etc.

G. Areas with critical slope

This shall refer to all lands with slope of 50% or more not classified in this listing as
environmentally critical.
This classification shall also cover alienable and disposable forest lands and
unclassified forests.

H. Areas classified as prime agricultural lands

Prime agricultural lands shall refer to all irrigated and irrigable areas and other areas
mapped under the Network of Protected Areas for Agriculture (NPAA) of the Bureau
of Soils and Water Management (BSWM). The NPAA Guide covers all regions of the
country and available in a 1:50,000 scale at the Agricultural Land Management and
Evaluation Division (ALMED), BSWM.

I. Recharged areas of aquifers

Recharged areas of aquifers shall refer to sources of water replenishment where

rainwater or seepage actually enters the aquifers.
Areas under this classification shall be limited to all local or non-national watersheds
and geothermal reservations.

J. Waterbodies

Waterbodies shall refer to waters that are tapped for domestic purposes, within the
controlled or protected areas declared by the appropriate authorities or which support
wildlife and fishery activities.

K. Mangrove Areas

Mangrove areas are tidal areas covered by salt-tolerant, intertidal tree species.

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This classification shall refer to areas declared as mangrove swamp forest reserves
by Proclamation No. 2152 and mangrove forests declared as wilderness areas by
Proclamation No. 2151.

L. Coral Reefs

Coral reefs shall refer to areas characterized by the assemblage of different types of
marine plants and organisms.
This classification shall include all areas identified by local sources such as the UP-
Marine Sciences Institute, DENR-Coastal Environment Program, etc. to be rich in
corals.

2.3 Procedures for Determining Project Categories

As stated, under Presidential Proclamation No. 2146, series of 1981 and Proclamation No.
803 (Series of 1996), there are four (4) main categories of ECPs, which are classified as
Category A under DAO 2003-30. In addition, there are twelve (12) main categories of
ECAs. Projects located in ECAs are classified as Category B under DAO 2003-30. All
projects classified under these categories are required to secure an ECC prior to
implementation.
For purposes of determining project categories, the following procedures shall apply:
 Project proponent may consult the EMB Central Office or the concerned Regional Office
to determine the category of a proposed project or undertaking.
 In cases where the DENR PENRO and/or CENRO have prepared an ECA map or ECA
maps, a certificate may be obtained from the applicable office for purposes of
determining whether the project site is an ECA or not. It should be noted that PENRO or
CENRO units that have not prepared ECA map/s shall not issue any certification related
to the determination of ECA coverage.
 In case the project proponent does not agree with the determination of DENR-EMB that
the project is located in an ECA, the responsibility to disprove such determination is with
the project proponent. As such, the project proponent must obtain ALL the required
certifications from the concerned government agencies that the project site does not fall
in any of the 12 ECA categories under the Philippine EIS System.
 Certification/s related to the determination of ECA coverage must come from the
competent government agencies. For example, certification/s related to volcanic or
earthquake activities from be obtained from PHILVOCS, while certification/s related to
typhoons or tsunamis must be obtained from PAGASA.
Projects categorized as Category C are intended to directly enhance environmental quality
or provide direct mitigation measures to address existing environmental problems, while
Category D projects are unlikely to cause adverse environmental impacts and shall not be
covered by the EIS System. In addition, projects not classified as ECPs nor located in ECAs
are also included in Category D.
As a general rule, projects that are considered as environmental enhancing or are direct
mitigation measures must satisfy any of the following criteria:
 Projects or undertakings that lead to Improvement of environmental quality without the
corresponding significant negative environmental impact/s.
 Pollution control devices or similar facilities that are intended to prevent emissions and/or
discharges beyond allowable limits (for compliance with Clean Air Act or Clean Water
Code). Also included are devices or facilities required under the ECC condition/s of the

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“main” project. For example, a cement plant is required under its ECC to put up an EP,
the construction of the EP would not require a separate ECC.
It should be noted that independent or “stand-alone” facilities such as WTP that are
intended to cater to the needs of several establishments or locators are not considered
as Category C. As such, proponents of such facilities need to procure an ECC prior to
implementation.
 Preventive or proactive measures against potential natural hazards (such as shore
protection, river embankment, etc.)
The indicative list of projects classified under Category C includes the following projects or
undertakings:
 Seawalls
 Reforestation projects – the inclusion of reforestation project/s in Category C shall be
based on the recommendation/s and endorsement of FMB and/or PAWB on a case-to-
case basis.
 Artificial Reefs
 Embankment
 Riverbanks Stabilization
For Category D, the following sub-categories provide the listing and description of projects
under this category:
 Projects that were operational prior to 1982. The following guidelines shall be
applicable:
 The existing process or operation prior to 1982 was not expanded in terms of
production capacity (volume of output; number of product lines) or area (the area of
expansion is located in an environmentally critical area). For example, an old sugar
mill deciding to put up a sugar refinery plant or an alcohol distillery plant as part of its
expansion program shall no longer be considered as not covered by the EIS System.
 The project had not stopped operation for a continuous period of at least two (2)
years since 1982. For example, a fruit processing plant that started operations prior
to 1982 but closed in 2002, its resumption of services or operations in 2005 shall be
covered by the EIS System.
 The technology/production method or manufacturing process/operation used prior to
1982 was not modified. For example, a gold mining company deciding to change its
mining method from underground mining to the block caving method shall now be
covered by the EIS system.
 The existing project facilities or structures prior to 1982 were not changed or added
to. It must be noted, however, that the addition or change in facilities or structures will
not have significant adverse impact on the environment.
Project previously not covered by the Philippine EIS System under DAO 21 or DAO 96-
37 that were subsequently by a new issuance shall be deemed not covered if
implemented prior to the date of the appropriate issuance. For example, gasoline
stations constructed before 1998 (issuance of MC 01 Series of 1998 dated 11 June
1998) are not covered.
Correspondingly, projects that are previously covered by the Philippine EIS System, but
are categorized currently as Category D shall be considered as not covered.

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 Facilities for service industries that does not emit pollutants except for domestic wastes
and occupying a space equal to or less than 2,500 m2 in urban areas OR one hectare in
rural areas.
Service industry is defined as the sector of economy that supplies the needs of
consumers but produces no tangible goods. Examples include information technology
services, vehicle emission testing centers, consultancy services, brokerage, trucking,
banks, lending institutions, telecommunications and broadcasting towers, trading (of
securities, stocks, etc.) business and similar activities.
Structural integrity of telecommunication and broadcasting towers, including similar
structures, is deemed to be under the jurisdiction of the LGUs (in line with the building
code requirements). And, radiation concerns are deemed to be under the jurisdiction of
DOH.
 Facilities for the Barangay Micro-Business Enterprises (BMBE) Projects as defined by
R.A. 9178 including similarly-scaled projects with less than PhP 3.0 million capitalization
involving only assembly of components, molding, sculpturing, cutting, sewing, knitting,
weaving, briquetting and carpentry works. Also included in this category are cottage
industries such as manufacture of stuffed toys, handicraft, souvenir items, decorative
accessories, paper boxes, rope, twines, throw pillow, etc. However, projects or activities
that generate toxic or hazardous materials and/or strong/highly pollutive wastes are
covered by the Philippine EIS System.
 Transportation facilities including garage or terminals that do not include service facilities
and occupying an area equal to or less than 5,000 m2.
 Importation or purchase of equipment
 Commercial establishments that sells only non-perishable goods and/or showrooms for
motor vehicles and similar products without canteen or food stalls
 Cut-flower industry/projects
 Environmental enhancement/improvement projects such as tree planting in forests or
sloping areas (regardless of size)
Annex A contains a more detailed listing of Category D projects.

2.4 Technical Requirements

Proponent/s who wish to undertake a project that is considered as an ECP (or categorized
as Category A), regardless of location, must prepare an Environmental Impact Statement
(EIS). The EIS is submitted to the EMB as the primary basis for the review and eventual
issuance or denial of an ECC by the DENR Secretary. In general, it is the EMB that is
responsible for implementing the EIS system for ECPs.
On the other hand, proponents whose projects are located within ECAs (or categorized as
Category B) are generally required to submit an Initial Environmental Examination (IEE) to
the Environmental Impact Assessment Division (EIAD) of the DENR-EMB Regional Office
where the ECA and the project are proposed to be situated.
The submission of an IEE, however, does not preclude the DENR-EMB Regional Director
(RD) from further requiring the proponent to submit an EIS if necessary. The RD may
eventually order the proponent to submit an EIS if the proposed project has high potential to
cause significant negative environmental impact/s or is of such scale and magnitude that an
EIS becomes a more appropriate document to submit.
Further, proponents of projects within ECAs, for the same reasons as above, may
immediately opt to prepare and submit an EIS in lieu of an IEE. In both cases, the IEE or

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EIS, as the case may be, will be the primary basis for the review and issuance or denial of
ECC by the Regional Director.
The following criteria, among others, shall guide proponents and the DENR-EMB RO in
determining whether a project in an ECA will be required to submit an EIS instead of an IEE:
 significant environmental impacts have not been adequately addressed by proposed
mitigation and enhancement measures;
 strong public opposition or low social acceptability;
 high risk to public safety, welfare, and health;
 use of significant amount of highly pollutive substances
 production of toxic or hazardous wastes; or
 significant socio-cultural impacts.
The following indicative list provides examples of projects or activities whose proponents are
required to submit an EIS instead of IEE:
 Textile, Wood, Rubber, Pulp and Paper Industries – “Textile, Wood, Rubber, Pulp and
Paper Industry” shall refer to the organized and coordinated arrangement of
manufacturing processes designed to produce marketable products and secondary raw
materials from fibers, woods, rubber, paper and similar materials.
 Food and Related Industries – “Food and Related Industry” shall refer to the organized
and coordinated arrangement of manufacturing processes designed to produce food,
food by-products and beverages from various raw materials sources into marketable
goods. The following projects or undertaking falls under this category: sugar mills,
distillation and fermentation plants, fruit and vegetable processing, processing of dairy
products, Animal products processing (fish/meat processing, canning, slaughterhouses,
etc.), food preservation (e.g., drying, freezing) and other methods aside from canning,
Leather tanning and related industries, Gelatin, adhesives and other food by-products
processing plants, coconut processing plants, and other types of food processing
industries.
 Packaging Materials Industries – “Packaging Material Industry” shall refer to the
organized and coordinated arrangement of manufacturing processes designed to
produce paper, plastics, glass and metal-based packaging materials from various raw
materials sources using molding, heating and other mechanical processes only.
On the other hand, non-coverage under the Philippine EIS System means that proponents of
projects cited under the foregoing provision are no longer expected to secure an ECC.
Those projects that are not covered by the EIS system may be issued a CNC by the EMB or
the EMB Regional Office, as the case may be, upon request made by a proponent.
For the listing and the limits to identify the Category of projects, please refer to Table 2-1.
While the procedures for securing an ECC or CNC can be found in Section 4.

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Category
Projects or Undertakings
A B1 D – CNC

A. Heavy Industries

1. Non-Ferrous Metal Industries

Classified as large-scale industrial plants under the implementing rules
and regulations of LOI no. 950; =< 1.0 MT annual rated capacity of
=> 3,000 MT tons annual rated <3,000 MT product annual rated
product but not to exceed 200 MT of
capacity of product capacity of product
product annual rated capacity
Use of toxic chemicals (e.g.,
Will process toxic non-ferrous metals such as cadmium, chromium, and => 3,000 MT tons annual rated <3,000 MT product annual rated
Cyanide, cadmium, mercury)
lead. capacity of product capacity of product
=<1 kg/month
2. Iron and Steel Mills
Organized and coordinated arrangement of manufacturing processes
designed to prepare or smelt or process iron ores, steel scraps or primary
iron and steel mill products into marketable products except when process =< 1.0 MT product rated capacity but
involves reheating or resizing only; and => 3,000 MT product rated capacity < 3,000 MT product rated capacity not to exceed 200 MT of product
annual rated capacity
Classified as a large-scale industrial plants under the implementing rules
and regulations of LOI no. 950
3. Petroleum and Petrochemical Industries
=< 1.0 barrels annual but not to
>= 30,000 barrels annual production < 30,000 barrels annual production
Refineries exceed
capacity capacity
200 barrels per year
=< 1.0 tons daily production capacity
=> 30,000 tons annual production < 30,000 tons annual production
Petrochemical industry projects but not to exceed
capacity capacity
200.0 tons per year
EIS: >= 5,000 MT capacity
Storage of petroleum, petrochemical or related products < 20,000 L capacity
IEE: < 5,000 MT capacity
EIS: Processing => 10 MT per day =< 1.0 MT daily processing capacity
Recycling of oil and other petroleum-based chemicals but not to exceed
IEE: Processing < 10 MT per day
200.0 MT per year
=> 15,000 MT annual rated capacity < 15,000 MT annual rated capacity
of raw materials of raw materials =< 1.0 MT daily production capacity
4. Smelting Plants OR OR but not to exceed
Use of toxic chemicals >10.0 Use of toxic chemicals < 10.0 200.0 MT per year
kg/month kg/month

1
Category B projects are projects or undertakings that satisfy these threshold/criteria AND are located in ECA.

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Category
Projects or Undertakings
A B1 D – CNC

5. Chemical Industries
EIS: Use of toxic/hazardous
materials >= 1.0 MT per month
Manufacturing, processing and/or storage of hazardous and/or toxic Use of toxic/hazardous materials >=
materials IEE: Use of toxic/hazardous 1.0 Kg per month
materials < 1.0 MT per month
EIS: => 30,000 MT annual production
capacity =< 1.0 MT daily production capacity
Surface coating industries (paints, pigments, varnishes, lacquers, anti-
but not to exceed
fouling coating, printing inks) IEE: < 30,000 MT annual production
200.0 MT per year
capacity

EIS: => 30,000 MT annual production

capacity =< 1.0 MT daily production capacity
Manufacture of agrichemicals but not to exceed
IEE:< 30, 000 MT annual production
200.0 MT per year
capacity
EIS: >= 50,000 MT annual production
capacity =< 1.0 MT daily production capacity
Pharmaceutical industries and manufacture of soap and detergents,
but not to exceed
health and beauty products, and other consumer products. IEE: < 50,000 MT annual production
200.0 MT per year
capacity
EIS: >= 5 MT daily production
capacity =< 100.0 Kg daily production
Manufacture of explosives, propellants and toxic chemical agents. capacity but not to exceed
IEE: >= 100.0 Kg but < 5 MT daily
2.0 MT per month
production capacity

B. Resource Extractive Industries

1. Major Mining and Quarrying Projects

=< 1.0 MT daily processing capacity
>= 70,000 MT annual processing < 70,000 MT annual processing
Mineral or ore-processing (inputs) but not to exceed 200.0 MT
capacity (inputs) capacity (inputs)
per year
=< 1.0 MT daily production capacity
Cement, other cement products, clinker, limestone and other non-metallic >= 50,000 MT annual production < 50,000 MT annual production
but not to exceed
minerals processing plant. capacity capacity
200.0 MT per year
Ceramic industries, manufacture of glass and glass products, =< 1.0 MT daily production capacity
>= 70,000 MT annual production < 70,000 MT annual production
manufacture and processing of calcium and other metallic minerals (e.g., but not to exceed
capacity capacity
copper, lead, zinc, sulfur, silver, magnesium and manganese) 200.0 MT per year
Extraction of ores (on shore)

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Category
Projects or Undertakings
A B1 D – CNC
 Open pit method with mechanical operations, blasting or
Regardless of capacity or area
combinations thereof
>= 150,000 MT per annum <150,000 MT per annum =< 1.0 MT daily production capacity
 Other methods OR AND but not to exceed
Mining area >= 25 hectares Mining area < 25 hectares 200.0 MT per year
>= 75,000 MT per annum <75,000 MT per annum
Limestone quarry and extraction of sand, stone and gravel and other non-
OR AND
metallic Minerals
Quarry area >= 20 hectares Quarry area < 20 hectares
Off-shore mining (including extraction of deuterium, oil and gas) Regardless of capacity or area

Coal mining Regardless of capacity or area

Extraction of Oil and Gas (on- shore)

>= 4,000 barrels (or equivalent) per < 4,000 barrels (or equivalent) per
 Extraction of oil
day extraction rate day extraction rate
>= 250,000 cubic meters per day < 250,000 cubic meters per day
 Extraction of gas
extraction/production rate extraction/production rate
2. Forestry Projects
Cutting of trees equivalent to Cutting of trees equivalent to Cutting of < 20 trees in an area
Logging Projects
>= 5,000 cubic meters < 5,000 cubic meters < 5 hectares outside critical slopes
Less than on equal to 1,000 cubic
>4,000 cubic meters (equivalent) of >1,000 – 4,000 cubic meters
Major Wood Processing Projects meters (equivalent) of product per
product per year (equivalent) of product per year
year
=> 50,000 MT annual production < 50,000 MT annual production
Pulp and Paper Industries
capacity capacity
Introduction of Exotic Flora or Fauna Regardless of number or area

3. Dikes for/and Fishpond Development Projects

Fishery/Aquaculture Projects (inland-based, e.g., lakes, rivers, bays, etc.) >= 25 hectares >= 1 hectare but < 25 hectares < 1 hectare

Fishery/Aquaculture Projects in water bodies (coastal areas) >= 100 hectares >= 1 hectare but < 100 hectares < 1 hectare

C. Infrastructure Industries
Reservoir (flooded area) >= 25 Reservoir (flooded area) < 25
1. Major Dams hectares OR hectares AND
>= 20 million cubic meters capacity < 20 million cubic meters capacity
2. Major Power Plants

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Category
Projects or Undertakings
A B1 D – CNC
>= 10.0 MW but < 50.0 MW rated
Gas-fired thermal power plants >= 50.0 MW rated capacity < 10.0 MW rated capacity
capacity
>= 5.0 MW but < 30.0 MW rated
Other thermal power plants (e.g., diesel, bunker, coal, etc.) >= 30.0 MW rated capacity < 5.0 MW rated capacity
capacity
Waste-to-energy projects including biogas projects >= 50.0 MW rated capacity < 50.0 MW rated capacity
>= 1.0 MW but less than 50.0 MW < 1 MW generating capacity
Geothermal facilities >= 50.0 MW generating capacity
generating capacity
Impounding >= 20 million cubic
Hydropower facilities Impounding < 20 million cubic meters Run-of-river system
meters
EIS: >= 100 MW rated capacity
Renewable energy projects such as ocean, solar, wind, tidal power and
IEE: >= 5 MW but < 100 MW rated < 5 MW rated capacity
fuel cell (for biogas and waste-to-energy projects refer to above)
capacity
3. Major Reclamation Projects >= 50 hectares < 50 hectares

4. Major Roads and Bridges

Bridges and viaducts, new construction >= 10.0 Km >= 80 m but < 10.0 Km < 80 m
>= 50% increase in capacity (or in < 50% increase in capacity (or in
Bridges and viaducts, rehabilitation/Improvement
terms of length/width) terms of length/width)
>= 20.0 Km (no critical slope) < 20.0 Km (no critical slope)
Roads, new construction Farm-to-market roads of < 2 Km
>= 10.0 Km (with critical slope) < 10.0 Km (with critical slope)
>= 50% increase in capacity (or in < 50% increase in capacity (or in
Roads, rehabilitation/Improvement
terms of length/width) terms of length/width)
Elevated roads, flyover/cloverleaf/interchanges Regardless of size

Tunnels and sub-grade roads and railways >= 1.0 Km < 1.0 Km

Pedestrian passages Underpass Overpass

On-grade railway system New railways Rehabilitation of railways

5. Major Ports and Harbors

EIS: New projects OR major
improvements (>= 50%
extension/widening of runway)
Repair and rehabilitration of existing
Airports IEE: Minor improvements (< 50%
facilities (no expansion)
extension/widening of runway)
OR
Private airstrip

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Category
Projects or Undertakings
A B1 D – CNC

EIS: >= 15.0 hectares reclamation

OR
>= 25.0 hectares (w/o reclamation)

Causeways, Ports and harbors, new

IEE: < 15.0 hectares reclamation
OR
< 25.0 hectares (w/o reclamation)

EIS: >= 5.0 hectares reclamation

OR
>= 10.0 hectares (w/o reclamation)

Causeways, Ports and harbors, expansion or improvements IEE: < 5.0 hectares reclamation < 1.0 hectares (w/o reclamation)
OR
>= 1.0 hectares but < 10.0 hectares
(w/o reclamation)
[for Ro-Ro Projects: proponent can
use the prescribed IEE Checklist]

6. Irrigation, Water Supply or Flood Control Projects

EIS: more than six production wells
and other systems (e.g., infiltration
gallery, etc.)
Water Supply Systems
IEE: six or less production wells

Water Supply System (Distribution only) Level III Level II and Level I

EIS: >= 1,000 hectares service area

Irrigation System (distribution system only) < 300 hectares service area
IEE: < 1,000 hectares service area

EIS: Reservoir (flooded area) >= 25

hectares
Impounding System or Flood Control Project
IEE: Reservoir (flooded area) < 25
hectares

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Category
Projects or Undertakings
A B1 D – CNC

7. Pipelines
EIS: Length >= 25 kilometers
Fuel pipelines
IEE: Length < 25 kilometers
EIS: Length >= 50 kilometers
Other pipelines
IEE: Length < 50 kilometers

8. Waste Management Projects

EIS: >= 1,000 MT daily capacity
Sanitary landfill for domestic wastes only
IEE: < 1,000 MT daily capacity

EIS: Multi-users
Landfill for industrial and other wastes
IEE: Single-user
with composting facilities (see
Materials Recovery Facilities Segregation only
category of composting below))
EIS: >= 10.0 MT per year capacity
Hazardous waste treatment, recycling, and/or disposal facilities
(for recycling of lead, see details in Heavy Industries) IEE: < 10.0 MT per year capacity

EIS: >- 50.0 cubic meters per day

Industrial and hospital waste (non-hazardous) materials treatment
facilities IEE: < 50.0 cubic meters per day
EIS: >= 5,000 cubic meters daily
capacity
Domestic wastewater treatment facility < 30 cubic meters daily capacity
IEE: < 5,000 cubic meters daily
capacity
EIS: >= 300,000 MT per annum to be
treated
involve manual or mechanical
Receiving facilities, paper and plastic recycling IEE: < 300,000 MT per annum to be
processes only
treated OR
involve use of chemicals

>= 15 MT daily capacity or 5,475 MT < 15 MT daily capacity or 5,475 MT

Compost/fertilizer making
annual capacity annual capacity
D. Golf Course Projects

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Category
Projects or Undertakings
A B1 D – CNC

Golf course projects/complex >= 9 hole golf course < 9 hole golf course

E. Other Projects

1. Buildings and other structures

Family dwellings/apartment type Regardless of area

EIS: >= 25,000 square meters
(gross/total floor area including < 10,000 square meters (gross/total
Motels, Hotels, Condominium/Apartelles (residential)
parking and other areas) floor area including parking and other
IEE: >= 10,000 square meters but < areas)
Commercial, [Business centers with residential units (mixed use), malls,
25,000 square meters (gross/total OR
supermarkets]
floor area including parking and other Kiosk-type or mobile fastfoods
areas)
EIS: >= 50,000 square meters
(gross/total floor area including
Commercial, [office spaces only]
parking and other areas) < 15,000 square meters (gross/total
IEE: >= 15,000 square meters floor area including parking and other
Institutional and other related facilities: religious, government, and
(gross/total floor area) but < 50,000 areas)
educational
square meters (gross/total floor area
including parking and other areas)
Institutional and other structures with laboratory facilities Regardless of size or area
EIS: Tertiary hospitals or medical
Clinics (out-patient, health centers,
facilities
Institutional and other related facilities: medical facilities dental clinics) including rural health
IEE: Secondary or primary hospitals
units
or medical facilities
< 10,000.0 square meters (gross/total
>= 10,000.0 square meters
Storage facilities, non-toxic/hazardous materials floor area including parking and other
(gross/total floor area)
areas)
EIS: >= 1,000 MT capacity
Storage facilities, toxic or hazardous materials < 100 Kg capacity
IEE: < 1,000 MT capacity
Subdivision and housing projects, resettlement projects and other similar IEE: >= 10 hectares
(horizontal) land development projects IEE Checklist: < 10 hectares
< 5.0 hectares,
OR
Cemetery, crematorium, etc. >= 5.0 hectares
funeral parlors, crematorium,
columbarium
2. Agricultural Projects

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Category
Projects or Undertakings
A B1 D – CNC
EIS: >= 100,000 heads poultry/birds
OR
Livestock projects
>= 1,000 heads pigs/goats < 10,000 heads poultry/birds
(Note: Only Contract growing is covered by the Philippine EIS System.
IEE: >= 10,000 heads but < 100,000 OR
Other livestock projects are deemed to be under the jurisdiction of the
heads poultry/birds OR < 100 heads pigs/goats
concerned LGU/s)
>= 100 heads but < 1,000 heads
pigs/goats
EIS: >= 1,000 hectares
Agricultural plantation IEE: >= 100 hectares but < 100 hectares
< 1,000 hectares
EIS: => 50,000 MT annual
production capacity < 5,000 MT annual production
Agricultural processing facilities
IEE: => 5,000 MT but < 50,000 MT capacity
annual production capacity
EIS: => 50,000 MT annual
production capacity
3. Textile, Wood, Rubber
IEE: < 50,000 MT annual production
capacity
4. Food and Related Industries
EIS: => 50,000 MT annual
production capacity
Sugar Mills
IEE: < 50,000 MT annual production
capacity

EIS: => 50,000 MT annual

production capacity
Distillation and Fermentation Plants
IEE: < 50,000 MT annual production
capacity
EIS: >= 500 Kg daily processing
capacity
Fruit and vegetable processing
IEE: < 500 Kg daily processing
capacity
EIS: >= 100,000 L (liquid) OR
>= 100,000 Kg (solid) monthly
production capacity
Processing of dairy products
IEE: < 100,000 L (liquid) OR <
100,000 Kg (solid) monthly
production capacity

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Category
Projects or Undertakings
A B1 D – CNC

EIS: >= 25,000 MT per month

production capacity
Coconut processing plants
IEE: < 25,000 MT per month
production capacity
EIS: >= 10,000 Kg daily production
Animal products processing (fish/meat processing, canning, capacity
< 500 Kg daily production capacity
slaughterhouses, etc.) IEE: >= 500 Kg but < 10,000 Kg
daily production capacity
Regardless of capacity (please see
Food preservation (e.g., drying, freezing) and other methods aside from
coverage under building and other
canning
structures)
EIS: >= 50,000 MT annual
Other types of food (and other food by-products, additives, etc.) production capacity (finished product)
processing industries IEE: < 50,000 MT annual production
capacity (finished product)
>= 1 MT raw hides per day (or 25 MT < 1.0 MT per day (or 25 MT per
Leather and related industries per month) month)

5. Packaging Materials Industries

>= 15,000 MT annual production < 15,000 MT annual production
Paper and plastic based products
capacity capacity
Glass-based products >= 60 MT daily production capacity < 60 MT daily production capacity

Metal-based products >= 30 MT daily production capacity < 30 MT daily production capacity

6. Tourism Projects
EIS: >= 25 hectares 10 rooms/units
Resorts and other tourism/leisure projects IEE: < 25 hectares OR
IEE Checklist: < 5 hectare 1,000 square meters in land area
Establishments or facilities for wildlife
7. Wildlife Farming or any related projects (as defined by PAWB)
farming

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3. Documentary Requirements for Proponent

Proponent/s who wish to undertake a project that is considered as an ECP (or categorized
as Category A), regardless of location, must prepare an Environmental Impact Statement
(EIS). The EIS is submitted to EMB as the primary basis for the review and eventual
issuance or denial of an ECC by the DENR Secretary. In general, it is the EMB-Central that
is responsible for implementing the EIS system for ECPs.
On the other hand, proponents whose projects are located within ECAs (or categorized as
Category B) are generally required to submit an Initial Environmental Examination (IEE) to
the Environmental Impact Assessment Division (EIAD) of the DENR-EMB Regional Office
where the ECA and the project are proposed to be situated.
Non-coverage under the Philippine EIS System means that proponents of projects
categorized as Category C or Category D are no longer expected to secure an ECC.
These projects may be issued a Certificate of Non-Coverage (CNC) by the EMB-Central or
the DENR-EMB RO, as the case may be, upon request made by a proponent.
Table 3-1 summarizes the documentary requirements of proponents based on the type of
project. The documents that have to be submitted vary depending on the project category.
The technical definitions, as contained in DAO 2003-30, of the various documentary
requirement/format are as follows:
 Programmatic Environmental Impact Statement (PEIS) – a documentation of
comprehensive studies on environmental baseline conditions of a contiguous area. It
also includes an assessment of the carrying capacity of the area to absorb impacts from
co-located projects such as those in industrial estates or economic zones (ecozones).
 Environmental Impact Statement (EIS) - the document of studies on the environmental
impacts of a project including the discussions on direct and indirect consequences upon
human welfare and ecological and environmental integrity. The EIS may vary from
project to project but shall contain in every case all relevant information and details about
the proposed project or undertaking, including the appropriate mitigating and
enhancement measures to address the identified environmental impacts.
 Initial Environmental Examination (IEE) - the document required of proponents
describing the environmental impact of, and mitigation and enhancement measures for,
non critical projects or undertakings located in an ECA. The IEE replaces the Project
Description required under DAO 21, series of 1992.
 Initial Environmental Examination (IEE) Checklist - a short and simplified checklist
version of an IEE prescribed by the DENR and required to be filled up by proponents for
describing the project's environmental impact and corresponding mitigation and
enhancement measures for non-critical projects located in an ECA. The DENR
prescribes appropriate corresponding IEE Checklists for different projects with minimal
and manageable impacts.
 Programmatic Environmental Performance Report and Management Plan (PEPRMP) –
documentation of actual cumulative environmental impacts of co-located projects with
proposals for expansions. The PEPRMP should also describe the effectiveness of
current environmental mitigation measures and plans for performance improvement.

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Table 3-1. Documentary Requirements under DAO 2003-30

DOCUMENTS REQUIRED
CATEGORY APPLIED TO FOR ECC/CNC
APPLICATION
Co-located
Programmatic EIS
projects
A-1: New
Single Project EIS

A-2: Existing and to Co-located

Programmatic EPRMP
be expanded projects
(including
A: Environmentally undertakings that
Critical Projects have stopped
operations for more
than 5 years and
plan to re-start, with Single Project EPRMP
or without
expansion)

A-3: Operating
without ECC
IEE or IEE Checklist (if
B-1:New Single Project
available)
B-2: Existing and to EPRMP (based on a
Single Project
be expanded checklist if available)
(including
B: Non-Environmentally undertakings that
Critical But located in an have stopped
operations for more
ECA
than 5 years and
Co-located
plan to re-start, with PEPRMP
Project
or without
expansion)

B-3: Operating
without ECC
C: Environmental Co-located or
Enhancement or Direct Single Project Description
Mitigation Projects
Project Description or Proof
of Project Implementation
D: Not Covered
prior to 1982
(if applying for CNC)

 Environmental Performance Report and Management Plan (EPRMP) – documentation of

the actual cumulative environmental impacts and effectiveness of current measures for
single projects that are already operating.
 Project Description (PD) – document, which may also be a chapter in an EIS, that
describes the nature, configuration, use of raw materials and natural resources,
production system, waste or pollution generation and control and the activities of a
proposed project. It includes a description of the use of human resources as well as
activity timelines, during the pre-construction, construction, operation and abandonment
phases. It is to be used for reviewing co-located and single projects under Category C
as well as for Category D projects.

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3.1 Documentary Requirements for Category A Projects

Under DAO 2003-30, there are two major groups of projects under Category A or
Environmentally Critical Projects: New Projects and Existing Projects. The documentary
requirements for these categorizations are as follows:

A. New Projects (Category A-1)

1. Co-located Projects
Co-located projects/undertakings is defined under DAO 2003-30 as projects, or
series of similar projects or a project subdivided to several phases and/or stages by
the same proponent, located in contiguous areas.
The document required is a Programmatic EIS based on an eco-profile and focused
on the most critical environmental parameters. The Programmatic EIS should be
submitted to the EMB Central Office and reviewed by an EIA Review Committee
(EIARC) and endorsed by the EMB Director. The approving authority will be the
DENR Secretary. The maximum processing time in deciding to grant or deny an
ECC is 180 working days after the PEIS had been accepted by DENR-EMB.
At the minimum, the PEIS shall contain the following:
 Executive Summary;
 Summary matrix of scoping agreements as validated by EMB;
 Project Description
 Eco-profiling of air, land, water, and relevant people aspects;
 Environmental carrying capacity analysis;
 Environmental Risk Assessment (if found necessary during scoping);
 Environmental Management Plan to include allocation scheme for discharge of
pollutants; criteria for acceptance of locators, environmental management
guidebook for locators, and environmental liability scheme;
 Duties of the Environmental Management Unit to be created;
 Proposals for Environmental Monitoring & Guarantee Funds and terms of
reference for the Multi-partite Monitoring Team, and
 Accountability Statements of the preparer and the proponent.
For more details on the requirements in the preparation of the PEIS, please refer to
the Administrative and Technical Procedural Guidebook for Programmatic EIS
Compliance.

2. Single Projects
The document required is an Environmental Impact Statement (EIS). The EIS
should be submitted to the EMB Central Office, to be reviewed by an EIA Review
Committee (EIARC), and endorsed by the EMB Director to the approving authority
(DENR Secretary). The maximum processing time in deciding to grant or deny an
ECC is 120 working days after the EIS had been accepted by DENR-EMB.
At the minimum, the EIS shall contain the following:
 EIS Executive Summary;

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 Scoping report identifying critical issues and concerns, as validated by the EMB;
 Project Description;
 Baseline environmental conditions focusing on the sectors (and resources) most
significantly affected by the proposed action;
 Impact assessment focused on significant environmental impacts (in relation to
project construction/commissioning, operation and decommissioning), taking into
account cumulative impacts;
 Environmental Risk Assessment (if determined by EMB as necessary during
scoping);
 Environmental Management Program/Plan;
 Supporting documents, including technical/socio-economic data used/generated;
certificate of zoning viability and municipal land use plan; and proof of
consultation with stakeholders;
 Proposals for Environmental Monitoring and Guarantee Funds including
justification of amount, when required;
 Accountability statement of EIA consultants / preparers and the project
proponent; and
 Other clearances and documents that may be determined and agreed upon
during scoping.
The details of the recommended format for an EIS are presented in Annex B.

B. Existing Projects for Expansion (Category A-2 and A-3)

This sub-category, A-2 and A-3, covers all projects that are currently existing and
operating with plans for expansion. Also included in the sub-category are projects or
undertakings that have stopped operations for more than 5 years and plan to re-start,
with or without plans for expansion. Under sub-category A-3 are facilities that are
operating without ECC – who may apply for ECC without prejudice to
sanctions/penalties that may be imposed by DENR.

1. Co-located Projects
Co-located projects/undertakings is defined under DAO 2003-30 as projects, or
series of similar projects or a project subdivided to several phases and/or stages by
the same proponent, located in contiguous areas.
The document required is a Programmatic Environmental Performance Report
and Management Plan (PEPRMP). Similar to the PEIS, the PEPRMP should be
submitted to the EMB Central Office and reviewed by an EIA Review Committee
(EIARC) and endorsed by the EMB Director to the approving authority (DENR
Secretary). The maximum processing time in deciding to grant or deny an ECC is
120 working days after the PEPRMP had been accepted by DENR-EMB.
At the minimum, the PEPRMP shall contain the following:
 Project description of the co-located projects;
 Documentation of the actual environmental performance based on current/past
environmental management measures implemented, and
 An EMP based on an environmental management system framework and
standard set by EMB.

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The PEPRMP should present the actual cumulative environmental impacts of co-
located projects with the proposed expansions. The PEPRMP should also describe
the effectiveness of current environmental mitigation measures and plans for
performance improvement. Annex C presents the suggested outline, format and
contents of a PEPRMP.

2. Single Projects
The document required is an Environmental Performance Report and
Management Plan (EPRMP). Similar to the EIS, the EPRMP should be submitted to
the EMB Central Office and reviewed by an EIA Review Committee (EIARC) and
endorsed by the EIA Division Chief to the approving authority (EMB Director). The
maximum processing time in deciding to grant or deny an ECC is 90 working days
after the EPRMP had been accepted by DENR-EMB.
At the minimum, the EPRMP shall contain the following:
 Project description;
 Baseline conditions for critical environmental parameters;
 Documentation of the actual environmental performance based on current/past
environmental management measures implemented;
 Detailed comparative description of the proposed project expansion and/or
process modification with corresponding material and energy balances in the
case of process industries; and
 An EMP based on an environmental management system framework and
standard set by EMB.
Annex D presents the suggested outline, format and contents of an EPRMP. It
should be noted that the proponent may submit an EMS-based EMP in lieu of an
EPRMP as provided for in DAO 2003-30.

3.2 Documentary Requirements for Projects Located in Environmentally

Critical Area/s

This section covers projects that are not classified as Category A but are located in
environmentally critical area/s. Under DAO 2003-30, there are two major groups of projects
under Category B: New Projects and Existing Projects. The documentary requirements for
these categorizations are discussed in the succeeding sections.

A. New Projects (Category B-1)

1. Initial Environmental Examination (IEE) Report

The document required is an Initial Environmental Examination (IEE) Report. The
IEE Report should be submitted to the EMB Regional Office where the proposed
project is to be located. The review shall be undertaken by the EIA Division and
endorsed by the EIA Division Chief. The approving authority will be the DENR-EMB
Regional Director. The maximum processing time in deciding to grant or deny an
ECC is 60 working days after the IEE Report had been accepted by DENR-EMB.
The submission of an IEE, however, does not preclude the DENR-EMB Regional
Director (RD) from further requiring the proponent to submit an EIS if necessary. The
RD may eventually order the proponent to submit an EIS if the proposed project has

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high potential to cause significant negative environmental impact/s or is of such scale

and magnitude that an EIS becomes a more appropriate document to submit.
Further, proponents of projects within ECAs, for the same reasons as above, may
immediately opt to prepare and submit an EIS in lieu of an IEE.
At the minimum, the IEE Report shall contain the following:
 Project description;
 A brief of the environmental setting and receiving environment, including the
primary and secondary impact areas;
 A brief description of the project or undertaking and its process of operation;
 A brief description of the environmental impact of the project or undertaking,
including its socio-economic impact;
 A matrix of mitigation and enhancement measures;
 A documentation of the consultative process undertaken, when appropriate;
 Other clearances and documents that may be determined and agreed upon
during scoping.
 Accountability Statements of the preparer and the proponent.
The recommended format for an IEE Report are presented in Annex E.

2. IEE Checklist Report

In line with the objective of streamlining the Philippine EIS System, the DENR-EMB
had developed a number of IEE Checklist Reports. The IEE Checklist Report is a
simplified form designed to assist proponent/s of small project/s in complying with the
EIS System. The Report, to be accomplished and submitted before undertaking a
project, consists of a series of questions that deals with issues and concerns under
the EIS system. The questions will also provide the proponents with information on
environmental impacts, both positive and negative, which will be caused by the
proposed project. As a continuing effort in streamlining the Philippine EIS System,
the DENR-EMB shall continue to develop more IEE checklists, including the update
of existing ones, with the cooperation of relevant government agencies and/or the
private sectors.
The use of an IEE Checklist Report which has been duly adopted by the DENR-EMB
shall not require the service or signature of a preparer/s. The proponent‟s signature
in the Report shall be sufficient. The proponent may seek the help of any person to
assist in the completion of the Report. DENR personnel may also extend technical
assistance by clarifying questions in the IEE Checklist Report. However, the use of
an IEE Checklist Report does not, in any way, preclude the DENR-EMB Regional
Director from further requiring the proponent to submit a full IEE report or an EIS.
Currently, DENR-EMB has the following available IEE Checklist Reports for the use
of proponent:
 Batching Plant
 Community Based Forest Resources Utilization with area of less than 500
hectares
 Gasoline stations

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 Housing and land development such as resettlement project, economic and

socialized housing project, open market housing, and projects under the
Community Mortgage Program with area of 10 hectares and below
 Inland fishery project with water spread area from 1.0 to 10.0 hectares
 Irrigation system (distribution network only) with service area greater than 300
hectares but less than 700 hectares
 LPG storage and refilling (facilities with 5,000 tons or more capacity shall be
required to conduct an environmental risk assessment, please see ERA section
for more details)
 Marble slab processing plant
 Mini-hydropower project with rated capacity of 5 to 30 MW and water
impoundment of less than 20 million cubic meters
 Organic fertilizer (composting) facilities with an annual production capacity
exceeding 15 MT/day (or 5,475 MT annual capacity)
 Piggery farm with more than 100 heads but less than 500 heads (capacity) of
pigs or sows
 Plastic recycling
 Poultry with space/capacity for 10,001 to 50,000 birds
 Power barge with capacity of more than 1 but less than 10.0 MW
 Power transmission lines carrying a voltage of between 138 KV to 230 KV and
less than 20 Km in length.
 Private land timber utilization (PLTU) for cutting of more than 20 trees with
corresponding volume equivalent between 200 to 1,000 cubic meters in privately
titled land of less than 5.0 hectares
 Public market with gross floor area of 10,000 to 20,000 m 2
 Rice mill with more than 1 ton/hr production capacity (without multiple pass)
 Roads construction involving a total length of 2.0 to 10.0 km (if traversing areas
with no critical slopes) or 2.0 to 5.0 km (if traversing areas with critical slopes);
OR bridges with a total length of 80 m to 5.0 km.
 Sand and gravel quarrying in areas of not more than 5.0 hectares
 Sewage collection, transport, treatment and disposal
 Slaugtherhouse with greater than 500 kg./day production
 Small-scale lime extraction project limited to an area of less than 5.0 hectare or
use beehive for cooking and simple processing (e.g., classifier)
 (DBP) Sustainable Logistics Development Program‟s components of cold chain
(stationary facilities for storing agricultural products), grain highway, Ro-Ro
Facilities (with access road of 2.0 to 5.0 km. if traversing areas with critical slope
or 2.0 to 10.0 km if not in critical slope) OR rehabilitation of small port facilities.
 Small water impounding project (SWIP) with not more than 20 million cubic meter
of impounded water
 Tourism projects (resorts, theme parks or similar establishments) with total land
area of 1,000 m2 to 5.0 hectares (for hotel and inns, please refer to Building and
Other Structures in Table 2-1).

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 Transportation terminal (for buses, jeepneys and other modes of transportation)

with total gross floor area of 10,000 m2 to 20,000 m2

B. Existing Projects for Expansion (Category B-2 and B-3)

This sub-category, B-2 and B-3, covers all projects (non-ECPs but located in ECA/s)
that are currently existing and operating with plans for expansion. Also included in
the sub-category are projects or undertakings that have stopped operations for more
than 5 years and plan to re-start, with or without plans for expansion. Under sub-
category B-3 are facilities that are operating without ECC – who may apply for ECC
without prejudice to sanctions/penalties that may be imposed by DENR.

1. Co-located Projects
Co-located projects/undertakings is defined under DAO 2003-30 as projects, or
series of similar projects or a project subdivided to several phases and/or stages by
the same proponent, located in contiguous areas.
The document required is a Programmatic Environmental Performance Report
and Management Plan (PEPRMP). The PEPRMP should be submitted to the
DENR-EMB RO where the projects are located, reviewed by an EIA Review
Committee (EIARC) and endorsed by the EIA Division Chief. The approving
authority will be the DENR-EMB Regional Director. The maximum processing time in
deciding to grant or deny an ECC is 60 working days after the PEPRMP had been
accepted by DENR-EMB RO concerned.
At the minimum, the PEPRMP shall contain the following:
 Project description of the co-located projects;
 Documentation of the actual environmental performance based on current/past
environmental management measures implemented, and
 An EMP based on an environmental management system framework and
standard set by EMB.
The PEPRMP should present the actual cumulative environmental impacts of co-
located projects with the proposed expansions. The PEPRMP should also describe
the effectiveness of current environmental mitigation measures and plans for
performance improvement. Annex C presents the suggested outline, format and
contents of a PEPRMP.

2. Single Projects
The document required is an Environmental Performance Report and
Management Plan (EPRMP). Similar to the IEE Report, the EPRMP should be
submitted to the DENR-EMB RO concerned, reviewed by the EIA Division and and
endorsed by the EIA Division Chief. The approving authority will be the DENR-EMB
Regional Director. The maximum processing time in deciding to grant or deny an
ECC is 30 working days after the EPRMP had been accepted by DENR-EMB RO
concerned.
At the minimum, the EPRMP shall contain the following:
 Project description;
 Baseline conditions for critical environmental parameters;

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 Documentation of the actual environmental performance based on current/past

environmental management measures implemented;
 Detailed comparative description of the proposed project expansion and/or
process modification with corresponding material and energy balances in the
case of process industries; and
 An EMP based on an environmental management system framework and
standard set by EMB.
Annex D presents the suggested outline, format and contents of an EPRMP.
It should be noted that under Section 5.2.7 of DAO 2003-30, an EMS-based EMP is
an option that proponent may undertake in lieu of the EPRMP single projects
applying for ECC under category A-3 and B-3.

3.3 Documentary Requirements for Category C and Category D Projects

This section covers projects that are classified as Category C (or environmentally
enhancement or direct mitigation projects) and Category D (or projects not categorized as
A, B or C).
The document required is a Project Description (PD). The PD should be submitted to the
DENR-EMB RO where the projects are located. The issuing authority is the DENR-EMB
Regional Director. The maximum processing time for the issuance of the CNC is 15 working
days after the PD had been accepted by DENR-EMB RO concerned.
For projects that were classified as Category D on the grounds that the facilities was in
operation prior to 1982 (subject to limitations stated in Section 2), the required document is
any proof/s that project implementation/operation was prior to 1982.
It should be noted that the issuance of CNC for projects contained in the indicative listing in
the previous section is ministerial on the part of the DENR-EMB Director or Regional
Director. For projects that are not in the indicative listing, the PD shall serve as the basis for
screening by DENR-EMB to determine the category of the project.
The PD is a document that describes the nature, configuration, use of raw materials and
natural resources, production system, waste or pollution generation and control and the
activities of a proposed project. It includes a description of the use of human resources as
well as activity timelines, during the pre-construction, construction, operation and
abandonment phases. The PD shall contain the following:
 Description of the project;
 Location and area covered;
 Capitalization and manpower requirement;
 For process industries, a listing of raw materials to be used, description of the process or
manufacturing technology, type and volume of products and discharges:
 For Category C projects, a detailed description on how environmental efficiency and
overall performance improvement will be attained, or how an existing environmental
problem will be effectively solved or mitigated by the project, and
 Timelines for construction and commissioning
Annex F presents the suggested outline, format and contents of a PD.

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4. EIS System Procedures

This Section discusses the procedures while undergoing the processes of the Philippine EIS
System. It shall guide proponents of the steps to be undertaken and the requirements of the
system. Likewise, it shall guide implementers on the process and systems of evaluation and
assessment. At a higher level, this section will ensure that environmental considerations are
incorporated in all phases of project development for projects and programs within the scope
of the EIS System through effective use of EIA principles and efficient implementation of the
EIS System without being a hindrance to the government‟s efforts to accelerate economic
development.
It should be noted that the Procedural Manual for DAO 2003-30 contains only the general
guidelines and procedures for the implementation of the Philippine EIS System, and should
only be treated as a procedural guide by the general public including the proponent, EIA
consultants and other concerned entities. In particular, this section deals only with the
system procedures focusing on the requirements and the EIS review process. The general
framework for the actual conduct of the EIA is discussed briefly in Section 1. For more
details, there are reference materials that deal mainly with the technical aspects of the EIA
study such as: EIA Technical Manual produced by the USAID-funded Industrial
Environmental Management Project for DENR, the textbook on Environmental Impact
Assessment by Larry W. Canter, and the numerous technical publications (e.g., handbooks,
manuals, guides) of the US Environmental Protection Agency, World Bank, Asian
Development Bank, various UN agencies and many others.

4.1 Technical Requirements

This section deals with the technical requirements of the Philippine EIS system that are
required for certain projects depending on their characteristics and/or magnitudes. The
discussions cover such areas as: scoping, conduct of environmental risk assessment, and
the conduct of environmental health impact assessment.

A. Scoping

Scoping is the first critical step in the EIS process where most of the key issues and
concerns are IDENTIFIED, DISCUSSED, CLARIFIED and AGREED UPON by the
key actors (like the proponent, preparer, EMB, DENR Regional Office, PENRO,
CENRO, LGUs, other national government agencies [NGAs], EIARC and
stakeholders) in the EIS system. Scoping is part of the process of assessing social
acceptability of the project. It helps the proponent in handling social acceptability,
which is a critical requirement in the ECC application. Likewise, it provides a focus for
the review process through the agreed scope.
Scoping sets the tone of the EIA process. With scoping, a proponent can

It should be noted that scoping is only mandatory for projects that are
required to submit EIS or PEIS. Projects requiring IEE Reports are not
required to undergo the scoping process.
However, it is to the advantage of the proponent (for projects requiring IEE
Reports only) to initiate a technical scoping meeting with DENR-EMB RO to
guide him in establishing the range of actions to be undertaken, and
alternatives and impacts to be examined.

determine whether the project will encounter any difficulty in getting the approval or
support of the local community. It determines the coverage, focus, depth and extent
of environmental assessment to be undertaken and the basis of review. It is initiated

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by the proponent at the earliest stage of project development in order to define and
agree on the range of actions and alternatives to be undertaken and impacts to be
examined by the various stakeholders.
The scoping process shall be undertaken to:
 provide an early link between the DENR and the proponent to ensure that the EIA
addresses relevant issues and presents results in a form consistent with the EIA
review requirements;
 allow stakeholders to make their concerns known to ensure that the EIA
adequately addresses the relevant issues;
 establish an agreement at the outset of the EIA between the proponent, the
DENR and the stakeholders on the issues and alternatives to be examined;
 address issues on carrying or assimilative capacity of the environment and
identify possible legal constraints or requirements regarding the project proposal;
 determine whether the project or undertaking requires the conduct of
environmental risk assessment; and
 determine and agree on the process of dealing with issues relating to social
acceptability.
Scoping provides the project proponent an idea of prioritizing and coordinating data
sourcing in order to avoid work and data overlaps. It seeks to minimize the need for
additional information (AIs) during the review process as the requirements are
already determined consistent with the procedural review criteria. Annex G contains
the required format of the Scoping Report.
The general procedures in the conduct of scoping are as follows:
 The proponent initiates the scoping by preparing and submitting a letter-request
for scoping to the EMB office concerned.
 Based on the information submitted by the proponent, EMB shall select
prospective members of the EIARC. Upon selection, a project briefing shall be
conducted to orient or brief EMB personnel involved and the EIARC members.
The meeting shall also be utilized to discuss technical issues such as the
schedule/venue of and participants to be invited to the site scoping among
others.
 A site scoping is conducted with key stakeholders in attendance.
 Submission by the proponent of the Scoping Report, which is essentially a
process documentation of the site scoping.
 After the receipt of the Scoping Report, a scoping checklist shall be prepared by
the proponent and validated by EMB and members of the EIARC.
 After validation, the signed scoping checklist (see Annex I) shall serve as the
scope of the EIA study.
The schematic flow is presented in the figure below, while the detailed procedures
are discussed in the succeeding sections.

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Pre-Scoping
Selection of
EIARC members
Proponent give
notice to Site Scoping
DENR-EMB
Project
Briefing

Final Scoping Technical Submit

Checklist Scoping Scoping Report

Determine:
ERA/EHIA requirements
Post-Scoping

1. Pre-Scoping Requirements
The proponent/EIS preparers initiate the conduct of scoping by giving notice
to the DENR-EMB or the DENR-EMB Regional Office about a scoping
session for the proposed project. At this point, it is strongly recommended
that the proponent meets with DENR-EMB for a briefing on the project.
This is done by preparing and submitting a letter-request for scoping
accompanied by the following documents:
 Brief project description
 Vicinity/location map
 List of stakeholders to be invited for the site/formal scoping
The proponent/EIS preparers shall submit a minimum of five (5) sets/copies
of the documents to DENR-EMB.
DENR-EMB evaluates the submitted documents and validates the
completeness of the stakeholder listing. If necessary, DENR-EMB shall
request for additional information or copies. The evaluation and assessment
shall be completed within five (5) working days. DENR-EMB shall also
identify the prospective EIARC members within the same period. At the
discretion of DENR-EMB, the assistance of prospective EIARC members may
be solicited in validating the list of stakeholders.
If the submitted documents are deemed adequate, EMB shall coordinate with
the proponent/EIS preparers and prospective EIARC members to set the
schedule of the site/formal scoping session.
It should be noted that the entire scoping is proponent-driven, i.e., it is
the proponent who is essentially responsible for the conduct of the scoping
process. The role of DENR-EMB shall be to invite the prospective EIARC
members through letter/s signed by the Chief of the EIA Division. The
proponent/EIS preparers shall be responsible for inviting the stakeholders,
and for all the preparations and arrangements of the site/formal scoping. All
expenses in connection with the site/formal scoping shall likewise be borne by
the proponent/EIS preparers.

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The proponent is strongly urged to undertake social preparation to

inform concerned stakeholders about the project. The social
preparation process may be started by the proponent even before the
formal notice to EMB or DENR RO about its intention to initiate the
scoping process.
Also, it is to the proponent‟s advantage that a broad segment of the
stakeholders be represented in the scoping session to capture at this
early stage the diversity of local concerns and socio-political
dynamics. More so, the affected communities should be involved in
scoping because it is their right to be informed of proposed changes
that will affect them and to participate in decisions that will affect their
lives.

The proponent/EIS Preparers distributes the invitation/public notices,

prepares the materials to be presented during the session including project
description, site development plan, map of the project area and impact zones
and a matrix of possible issues and concerns of the project based on the
applicable scoping guidelines.

Ideally, there should only be one (1) formal scoping session in the
project site, where all identified participants can effectively interact
and share their views, concerns and knowledge on the project.
However, in cases where the project area is large, stakeholders are
widely dispersed, or if conflict in schedules and cost considerations
make the conduct of only one (1) formal scoping session difficult, the
proponent has the flexibility to decide and organize several formal
scoping sessions to ensure broader participation of concerned
stakeholders.

2. Selection of Members of the EIARC

Since the scoping and review processes are crucial points in the EIA process,
they require the participation of qualified individuals with proven probity to
conduct the review objectively and professionally. The EIARC shall be
responsible for undertaking the substantive review of the EIS submitted by
the proponent. Below are the general criteria in selecting the resource
persons of the EIARC.
 The person shall be a qualified reviewer or has been recommended by an
institution with proven expertise/s in the concerned area/field such as the
academe, Department of Science and Technology or the Development
Academy of the Philippines.
 The person is not a part of the EIA team or firm that prepared the EIS
under review, or is not involved, in any way, in the preparation of the
study.
 The person‟s field of expertise is relevant to the project being reviewed.
 The person is not a staff or employee of the concerned national
government agency that prepared the EIA document. For example, a
person from the Department of Energy should not review an energy

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project. The person, however, may be invited as a resource person of the

Review Committee.
 The person is neither a present nor previous employee/consultant of the
proponent of the project. In the case of previous employee, the person
must not have been connected with the company of the proponent for the
past year or more.
The selection of EIARC members, including the resource person/s, may be
initiated as early as this stage (technical scoping). This will allow the
receiving office ample time to convene the EIARC.

3. Conduct of Site Scoping

During the site scoping, the proponent/EIS preparers shall be responsible for
all the arrangements and requirements during the scoping session. The
proponent/EIS preparers shall facilitate the scoping session and
records/transcribes the proceedings using photos and attendance sheets,
among others. The DENR-EMB representatives and EIARC members shall
only be present to serve as witness and to observe the proceedings.
As a guide, the Scoping Session may have the following format or programs
of activities:

Registration
National Anthem/Invocation
Welcome/Opening Remarks
Introduction of Participants
Leveling of Expectations
 Objectives of the Session
 Mechanics of the Session
Brief Presentation of the Proposed Project
Conduct of Scoping
 Scoping guidelines
 Matrix 1 (Environmental Parameters to be Considered)
 Matrix 2 (Issues/Impacts/Mitigation Measures)
Plenary/Open Forum/Workshop
Presentation of Workshop Outputs
Synthesis and Integration
Closing Remarks

The entire program may last for two to three hours depending on the
discussions during Plenary/Open Forum and Workshop.
The procedures for managing a scoping session may be summarized as
follow:
 Open the session with the singing of the national anthem/invocation and
introduction of participants.
 Set the proper atmosphere for the session and conduct a leveling of
expectations of the participants as to what the scoping aims to achieve
from their own perspective. The Facilitator should handle the leveling
activity and summarize all expectations raised by the various
stakeholders.
 The Facilitator will then discuss the EIA process in general and the
objectives of the scoping session in relation to the EIA process.

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 The Facilitator will explain the rules and procedures to be observed during
the scoping. This will include, among others, the following:
 all participants can comment, make clarification or raise questions,
issues and concerns pertinent to the project
 comments, issues or concerns should be relevant to the project being
scoped
 there should be no interruptions during the presentation of the project
description, except to clarify information which is not clear
 comments, issues or concerns should be raised at appropriate time.
 the participant raising an issue or concern should properly identify the
sector he is representing
 a friendly atmosphere and orderly discussion should be maintained
during the entire session (ex. no cat calls)
 The first part of the scoping would be the presentation of the project
description. The presentation should:
 Provide sufficient details to allow the participants to visualize the
project and identify possible impacts.
 Involve the use of maps and other appropriate presentation materials
for better understanding and appreciation of the project.
 After the presentation of the project description, a representative from the
EIA preparer will present the map/s showing the various impact zones of
the project and the minimum scope of the EIA based on the scoping
guidelines for such project.
 For orderly discussion, the Facilitator together with the representative
from the EIA preparer, will tackle the major environmental components to
be impacted as follows:
 physical environment (e.g. geology, soils, topography, water, air, etc.)
 biological environment (terrestrial flora/fauna; aquatic ecology, etc.)
 socio-economic environment (health, culture, employment, livelihood,
displacement, etc.)
 The second part of the scoping would be the discussions on questions,
issues/concerns and perceived impacts of the project. All issues/concerns
and questions raised will be recorded.
 The Facilitator will then summarize the issues and concerns raised and
assess their validity.
 The proponent and the EIA preparers will be asked to comment on the
issues or concerns raised and
 The body will agree on the significant issues or concerns to be
included by the EIA study.
 Based on the agreed upon issues or concerns, the Facilitator will direct
the discussion to the scope and methodology of the various studies to be
undertaken to address the issues/concerns raised. The EIA preparer will
be asked to present their plan subject to validation, comments, refinement
and affirmation by the body.

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 In the area of public participation, the group should already discuss and
agree on the manner and mechanics by which the various stakeholders
will participate in the EIA process. There are no set rules or procedures
for this. It can vary per project depending on several factors, such as the
level of commitment and interest of the stakeholders and others.
 The results of the agreed upon scope of the EIA will be summarized by
the Facilitator for presentation to the stakeholders.

4. Post-Scoping Activities
Upon conclusion of the site or formal scoping session, the proponent and/or
preparers shall submit a Scoping Report (1 printed copy + electronic file/copy)
to DENR-EMB. The EMB may require the proponent to submit additional
copies as necessary. As discussed, the Scoping Report (see Annex G for
the format of the Scoping Report) shall contain the agreed upon Scoping
Matrix and Screening Form as attachments.
As part of the documentation process, the scoping report should contain the
Scoping Matrices (see Annex G for the format of the matrices) signed by the
stakeholder, EIARC members and the DENR-EMB representative/s who
attended the site scoping.
Within five (5) working days of the receipt of the scoping report, the DENR-
EMB shall set a schedule for a technical scoping meeting to be attended by
the prospective EIARC members.
During the technical scoping, the scope of the EIA study shall be finalized by
the proponent, preparer/s, prospective EIARC members and the case
officer/handler. The agreement shall be in the form of the scoping checklist
(Annex I) to be signed by all parties. The scope shall be considered
approved if signed by the EIA Division Chief. A copy of the approved scope
shall be attached to the EIS to be submitted for screening.
In the finalization of the scope, the parties shall be guided by the following
categorization of information:
 Critical information – critical information must be included in the EIS to
serve as basis for decision in the granting or denial of ECC
 Essential information – essential information will allow reviewer to
formulate ECC conditions
 Added-value information – added-value information, while not critical nor
essential in the ECC decision, are nonetheless indicators of the
seriousness and commitment of the proponent with regard to
environmental issues.
The scoping checklist, upon approval, shall constitute the formal conclusion of
the entire scoping exercise.

In case of EIS review at the Regional Office level, the agreed scope
of the EIA shall include the decision on whether a public hearing is
required or not.

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B. Environmental Risk Assessment

One of the major decision points during the Scoping Process is the determination of
the need by the project to undertake an Environmental Risk Assessment (ERA) or
not.
As defined by DAO 2003-30, ERA is the use of universally accepted and scientific
methods to assess the risks associated with a project. It focuses on determining the
and probability of occurrence of accidents and their magnitude (e.g., failure of
containment or exposure to hazardous materials or situations.)
An ERA is not an entirely separate assessment but deals with the further analysis of
hazards identified in the EIA. It builds upon the EIA such that risks are impacts where
the likelihood of occurrence and magnitude of consequences are uncertain.

The decision of whether to include an ERA in the EIS should be

discussed and agreed upon during the scoping activity (i.e., technical
scoping). A sound basis for arriving at a resolution would be to refer
to experiences elsewhere that have similar materials, processes and
conditions.

It should be noted that the ERA, within the context of Philippine EIS System, is
concerned primarily with safety risks (characterized by low probability, high
consequence, accidental nature and acute effects [human safety focus]). In contrast,
geological risks are covered by the EGGAR requirement. While, health risks
(characterized by high probability, low consequence, ongoing or continuing exposure
and chronic effects [human health focus]) are assessed in the environmental health
impact assessment.
This section deals only with system procedures of the ERA requirements. Technical
guidelines and other reference materials on ERA may be found in the following
materials:
 Guidance on the Control of Major Accident Hazards Regulations 1999. Health
and Safety Executives, UK
 Guidelines for Chemical Process Quantitative Risk Analysis. Center for Chemical
Process Safety, American Institute of Chemical Engineers
 Loss Prevention in the Process Industry. Frank P. Lees

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1. Levels of Coverage and Requirements

The requirement for the conduct of ERA shall be defined at three (3) levels:
 Level 2 – for facilities that will use, manufacture, process or store hazardous
materials in excess of Level 2 threshold inventory shall be required to conduct a
Quantitative Risk Assessment (QRA) and prepare an Emergency/Contingency
Plan based on the results of the QRA.
 Level 1 – for facilities that will use, manufacture, process or store hazardous
materials in excess of Level 1 threshold inventory shall be required to prepare an
Emergency/Contingency Plan based on the worst case scenario. The Plan shall
be based on a Hazard Analysis study.
 Risk screening level – specific facilities or the use of certain processes shall
require the conduct of a risk screening study even if the projected or estimated
inventory does not reach the threshold levels.
Please see Annex K for more details – especially on technical definitions and
required formats.

2. System Procedures and Review Criteria

As stated, projects or undertakings categorized as Level 2 shall be required to
conduct a Quantitative Risk Assessment (QRA) and prepare an
Emergency/Contingency Plan based on the results of the QRA. While projects or
undertakings categorized as Level 1 shall be required to prepare an
Emergency/Contingency Plan based on the worst case scenario (as a result of a
Hazard Analysis study.)

Scoping

Material inventory Prepare

yes
exceeds LEVEL Quantitative Risk
2 threshold? Assessment
no

Material inventory yes

Prepare
exceeds LEVEL Emergency Plan based
1 threshold? on Hazard Analysis
no

Is activity listed in
covered project yes Prepare
for risk Risk Sreening
screening?

no

Does risk screening

Project not no
warrant preparation yes
covered by ERA of emergency plan?

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Projects or undertakings that are not categorized as Level 1 or Level 2, but is

contained in the list for risk screening, shall be require to conduct a risk screening
study even if the projected or estimated inventory does not reach the threshold
levels. The submission of a risk screening study does not preclude DENR-EMB from
further requiring the proponent to submit a hazard analysis or QRA if necessary.
DENR-EMB may order the proponent to submit a hazard analysis or QRA if the
proposed project has high potential to cause significant public (safety) risks.
Furthermore, it should be noted that the ERA coverage levels is independent (i.e.,
not linked) to the EIS documentary requirements. It is possible that a project or
undertaking submitting an IEE Report will be required to submit a QRA. In the same
analogy, a project or undertaking required to submit a full EIS may only be required
to submit a risk screening study.

Review Procedures
As a general rule, the ERA shall be reviewed independently of the EIS. In the case
of risk screening and hazard analysis, DENR-EMB shall invite a risk assessment
specialist to evaluate and/or validate the study as a resource person. The evaluation
and/or validation may be conducted independently of the EIS review process.
In the case of QRA, DENR-EMB shall convene a separate ERA Review Committee
(ERARC) to evaluate and/or validate the study. The ERARC, consisting of at least
three (3) members, shall be composed of risk assessment specialists.
The review of the ERA studies shall be based on risk criteria discussed in the
succeeding section/s (also see Annex K for more details)

Individual Risk Criteria

Without prejudice to the supplemental guidelines that may be issued by the DENR
Secretary, the acceptable individual risk criterion is set at 10 -6 fatalities per year.
Safety and/or mitigation measures should be incorporated such that hazard zones
and the 10-6 individual risk per year contour DO NOT encroach into residential (i.e.,
non-industrial/non-commercial) areas.

Societal Risk Criteria

Without prejudice to the supplemental guidelines that may be issued by the DENR
Secretary, the acceptable societal risk criterion is an FN curve with slope = –1 and
with intercept at N = 1 of 10 –3. In cases of co-located projects, the criterion may be
adjusted by DENR-EMB by one order of magnitude higher.

C. Environmental Health Impact Assessment

All projects or undertakings covered by the EIS System and classified by the
Department of Health (DOH) as health sensitive projects or located in health
sensitive areas shall include a separate chapter on Environmental Health Impact
Assessment (EHIA). The EHIA shall contain, among others, the following
information:
 Health and sanitation information of the affected community
 Environmental health impact analysis/assessment
 Proposed control and mitigating measures for the environmental health impacts
identified.
A more detailed discussion on the EHIA can be found in the Philippine National
Framework and Guidelines for Environmental Health Impact Assessment published

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by the Environmental Health Service of the Department of Health in 1997. The

material provides detailed guides on how to conduct the EHIA and the suggested
format/s.
In accordance with the MOA of DENR-EMB and DOH, the EHIA shall be reviewed
independently of the EIS. However, in applicable case, a DOH representative may
be invited to join the EIARC as a resource person. It should be noted that the
absence of endorsement from DOH with regard to the EHIA shall not, in any way,
hamper or hinder the EIS review process within DENR-EMB.
In order to streamline the review process, a DOH representative shall be included in
the EIARC as a resource person. As such, DENR-EMB shall send a letter-invitation
to DOH as early as the scoping process (if applicable). The absence or non-
attendance of the DOH representative/s implies that the project is not covered by the
EHIA requirement.

4.2 Technical Procedures for the EIS Review Process

This section discusses technical procedures in the review of EIS in accordance with Article I
Section 2 of DAO 2003-30 which tasks EMB with “standardizing requirements to ensure
focus on critical environmental parameters‟ and „simplifying procedures for processing ECC
applications…‟

Submit 1 set of
EIS + checklist

Procedural (A total of 120 working days if EIS Review Process

Review no processed at the Central Office, or
Complete
(3 working and clear? 60 working days if processed at the
days) Regional Office
yes

ECC Denial

Submit 10 sets +
Pay Fee/s
electronic copy

Recommendation
Convene EIARC by endorsing
authority

EIARC meetings Substantive Review

• Clarity • Additional Submit
• Balance Information (AI) EIARC Report
Field visits or • Accuracy & Precision limited to 2 requests
site inspection • Consistency • 3 EIARC meeting
• Responsiveness (60 working days for
Central office, or Review Process
Public hearing Report
(if necessary) 40 working days for RO)

The EIS review is generally a two-stage process. The first stage is a procedural review by
the receiving staff of DENR-EMB. The second stage is substantive review by the EIARC (in
the case of EIS) or the EIA Division (in the case of IEE).

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A. Procedural Screening

At the conclusion of the EIA Study, the proponent/EIS Preparer shall prepare one (1)
set of the Environmental Impact Statement (EIS) based on the agreed scope and
submit the same to the EMB or EMB-RO. A copy of the procedural screening
checklist shall be included in the submission.
The primary purpose of procedural screening is to screen for 1) completeness of
information based on the scoping agreements and recent developments in the
project area and 2) clarity of maps and figures in the EIS submitted before being
subjected to substantive review.
The EIA case officer or handler shall screen the completeness of the submitted EIS
and its conformance with the scoping agreements by validating the procedural
screening checklist accomplished by the proponent/EIS preparer. To facilitate the
screening process, the proponent/EIS preparer should indicate the chapters and
page numbers where the required items in the EIS can be found. Results of the
screening shall be transmitted to the proponent/EIS preparer within three (3) working
days from receipt of the EIS. In the absence of any communication from DENR-
EMB, the submitted draft is considered approved for submission and for substantive
review. The date of submission can only be counted as Day 1 when the EIS
document is officially received before 12:00 noon.
At this stage, full compliance with minimum requirements shall be imposed before the
EIA document can be reviewed substantially. EIS review will focus on critical
environmental parameters. As such, no EIA document shall pass the Procedural
Review if critical information had not been completed.
If incomplete, the EIS documents shall be immediately returned to the proponent/EIS
preparer for revision or submission of the missing requirement. The reason for non-
acceptance shall be stated in writing at the appropriate place in the screening form.

The EIS submission shall not be considered as complete unless it

includes one complete, working set of electronic copy in a compact
disc (CD). The electronic copy shall be in the format that is easily
readable format such as program document file (pdf) format or
©
formats used in the Microsoft office suite.
If the EIS document is complete, it will be formally accepted. The proponent will be
notified of the acceptance by furnishing him a copy of the accomplished procedural
screening checklist duly signed by the concerned EIA Technical Staff. The proponent
shall then submit within two (2) working days seven (7) sets of the EIS documents to
EMB or EMB-RO concerned. In the case of PEIS, ten (10) sets of the PEIS
documents shall be submitted. The EMB may require the proponent to submit
additional copies as necessary.

In the case of EIS review at the DENR-EMB Regional level, the

schedules of EIARC meetings and public hearing (if applicable) shall
be set during the procedural review. The submission shall not be
accepted for substantive review unless the necessary schedules
have been set.

In line with the mandate of DAO 2003-30 to streamline the EIS review process, EIS
submission shall only be received at DENR-EMB central office or regional office

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concerned. In no case shall the PENRO or CENRO be allowed or authorized to

receive EIS submission/s by the regional office/s.
Upon submission of the required number of copies of EIS to the Record Section of
EMB or EMB-RO, the proponent/EIS preparer shall pay the corresponding filing and
processing fees (see Section 10 for the amount of filing and processing fees) at the
Cashier. The EMB shall assign reference index code and include the project in its
database of ECC applications under review.

B. Substantive Review

The substantive review is premised on Section 1 of DAO 2003-30 Article 1 (Basic

Policy and Operating Principles) which provides that, “The review of EIS by EMB
shall be guided by three general criteria: (1) that environmental considerations are
integrated into the overall project planning, (2) that the assessment is technically
sound and proposed environmental mitigation measures are effective, and (3) social
acceptability is based on informed public participation” and “Effective regulatory
review of the EIS depends largely on timely, full and accurate disclosure of relevant
information by project proponents and other stakeholders in the review process”.
It is therefore the responsibility of the proponent and the preparer to ensure that the
quality of the EIS adheres to the following criteria:
 Clarity of presentation
 Balance in presentation and assessment
 Accuracy and precision of information and assessment
 Consistency
 Responsiveness
Clarity. The EIS document is intended to communicate the results of the EIA to a
wide range of stakeholders including the EIARC, regulators, decision makers,
affected communities, and the general public. It should therefore be written in such a
way that it is easily understood. The EIS should clearly describe the methods and
approach employed in the EIA process, especially the social preparation process,
which is aimed to ensure timely and informed stakeholder participation.
Balance. There are many ways by which balance can be gauged. An EIS document
is balanced if it is devoid of bias in the presentation and analysis of data. It is not
supposed to provide justifications for pre-conceived conclusions in favor of any
interest group. Moreover, the EIS document should demonstrate a balanced
treatment of descriptive and analytical discussion. Facts or data and their meaning or
interpretation should be presented in tandem; one without the other will not withstand
scientific scrutiny. Among others, the EIS documents should present the key
issues/concerns of the stakeholders and the proponent‟s corresponding response or
actions to address these.
Accuracy and Precision. These are universal criteria that need to be satisfied in
any form of scientific inquiry or investigation. All analytical data presented in the EIS
should satisfy the prescribed levels of accuracy and precision as derived from
established statistical tools and methods. Furthermore, all the baseline
characterization methods (such as sampling, survey and testing procedures), as well
as impact prediction tools and techniques (such modeling techniques, field tests and
laboratory experiments) used in the EIA study should be able to pass scrutiny not
only for statistical, but also for scientific soundness.

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Consistency. The EIS document should be consistent in terms of data/information

presented, findings and recommendations.
Responsiveness. The EIS should be responsive to the issues and concerns raised
by the stakeholders.
The assessment and subsequent recommendation to grant or deny the issuance of
an ECC is based on these general criteria. The EIARC, in the course of substantial
review, may employ any of the following methods:
 Public Hearing or Public Consultation
 Site visits or ocular inspections including walk-through
 Technical studies or special researches to be undertaken by research institutions
or academe.
 Other methods may be employed depending on the magnitude and complexity of
the project.
The EIARC should endeavor to complete the substantive review within sixty (60)
working days.

In the case of EIS review at the DENR-EMB Regional level, the

EIARC shall endeavor to complete the substantive review within forty
(40) working days.

In order to fulfill the intention of this section, the following recommended approaches
or mode of implementations shall be adopted whenever practical and appropriate:

1. Convening the Members of the EIARC

As a general rule, the EIARC shall be composed of the Chairman, and 2 – 4
members, depending on the magnitude of the project. The organization of an EIARC
with more than five (5) members shall require the prior approval of the DENR-EMB
Director or Regional Director.
In order to fulfill the intention of this Manual to streamline the review process, DENR-
EMB should ideally be able to complete the selection process and convene the
EIARC within ten (10) working days after the acceptance of the EIS submission for
substantive review. For review at the regional level, the entire process should be
completed within five (5) working days after the acceptance of the EIS submission for
substantive review. It should be noted that the actual selection of EIARC members
had been done during the scoping process (see previous section). At this stage, the
selection process shall essentially be done only to select replacements of EIARC
members who are unavailable for the substantive review.
In convening the EIARC, the memorandum (or Letter of Invitation) shall include the
schedules of the first and other EIARC meetings including the Public Hearing, if
possible. As a general rule, the EIS submissions should be distributed to the
resource persons and members of the EIARC seven (7) calendar days before the
schedule of the first EIARC meeting. The EIARC members shall evaluate the EIS
document based on its compliance with the review criteria enumerated above.

2. EIARC Meetings

First EIARC Meeting

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Ideally, the first EIARC meeting should be scheduled during the first few days of the
period allotted for substantive review. EIARC meetings should serve as a venue or
opportunity for discussing issues and findings on the EIS. This is why complete
attendance of the EIARC members is highly encouraged.
The first EIARC meeting may be divided into four parts as follows:
 The EIARC members, including the resource persons, meet to discuss protocols
and review parameters. During this part of the meeting, the proponent(s) and
preparer(s) are excluded from the meeting.

The EIARC Chair and the EMB Case Handler must be present in all
EIARC meetings. The EMB Case Handler shall be responsible for
documenting the entire review process. The meetings should be
recorded on tape to allow later transcription, if necessary.

 The second part of the meeting is a briefing on the EIA study by the preparer(s)
or proponent. The briefing shall concentrate on the highlights of the results of the
EIA study, in particular, on how the EIA study addressed environmental issues
and other concerns raised during the scoping and various public participation
activities. At the discretion of the EIARC, the proponent or preparer may be given
a time limit for their presentation. On the other hand, the proponent or preparer
should utilize this opportunity to anticipate the concerns of the EIARC and
minimize the need for additional information.
 The third part of the meeting, among the EIARC members and resource persons
only, will be devoted to discussion of preliminary findings. Among matters that
may be discussed are: timetables or schedules (of the next EIARC meeting(s)
and other activities), the need for additional information, the need and schedule
of public hearing and site inspection, and other additional inputs required for the
substantial review.
 The last part of the meeting will be with the proponent or preparer. They shall be
informed of any additional information requirements and other inputs (such as
requirement for Public Hearing, site inspections or visits, etc.). The opportunity
should be utilized to clarify the additional information requirements among others.

Additional Information Requirements

Additional information (AI) requirements are intended to provide elaboration or
clarification of some aspects of the EIA Study. AI must be rationalized or justified on
the basis of its linkage or necessity to the decision of issuance or non-issuance of
ECC. Normally, it should not require the conduct of new studies or collection of field
data that are outside the agreed upon scope. Should such additional activities be
necessary, the EIARC should first obtain the concurrence of the EMB Director or RD,
as the case may be.
AI requirements that are not critical to the decision for issuance or non-issuance of
ECC are not allowed. DAO 2003-30 (Section 5.2) limits DENR-EMB to a maximum
of two (2) requests for additional information, which should ideally be made within the
first 75 percent of the allotted time period for substantive review. As a general rule,
the EIARC should endeavor to only have one request for additional information.

Second EIARC Meeting

Ideally, the second EIARC meeting should be utilized to discuss and evaluate the
additional information submitted by the proponents, the findings during the public

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hearing or consultation(s), and other additional inputs. If possible, a decision may be

made on the recommendation to issue or deny the application for an ECC.
Should there be a need for clarification of the submitted additional information at this
stage, the 2nd EIARC Meeting should be held in such a way as to allow panel
discussion. The proponent/ preparer should present the AI, and if necessary, defend,
clarify, and elaborate on issues raised by the EIARC. Additional written submissions
may be made at a later date for documentation purposes. To provide adequate
safeguards, the proceedings may be recorded by videotape if necessary.

Third (Final) EIARC Meeting

The third EIARC meeting shall be the last meeting of the substantive review phase. A
decision by the EIARC on whether to recommend the issuance or non-issuance of
ECC must be reached at this point. However, under exceptional circumstances,
additional EIARC meetings may be scheduled with the written approval of the EMB
Director or EMB-RD. The EIARC should nonetheless endeavor to complete the
substantive review within the allotted time period (sixty working days for DENR-EMB
central office or 40 working days for DENR-EMB regional office).
At the end of the allocated period for substantive review by the EIARC, a decision or
recommendation for issuance or non-issuance of ECC shall be rendered by the
EIARC. The decision or recommendation shall be based on available or submitted
information. The non-submission of AI, especially if the allocated or agreed upon
time frame was not followed, should not serve as a reason for not making a decision
or recommendation.

3. Field Visits or Site Inspections

In order to minimize the number of EIARC meetings, field work including public
hearing, public consultations, site inspections or ocular visits may be scheduled
during the first EIARC meeting.
A visit to the project site may be conducted by the EIARC only under the following
conditions:
 when a particular concern or issue critical to the decision of issuance or non-
issuance of ECC can only be validated with a field visit/inspection; or
 when there is a need for a Public Hearing.

4. Public Hearing
A public hearing is a formal process that is initiated, planned and conducted by the
EMB. It is designed to promote dialogue or communication between and among the
project proponent, the EMB and the public for the purpose of exchanging information
and views. It provides a forum for the proponent and the EMB to understand
community values or needs and appropriately respond to them. Further, it serves as
a venue to test alternative options for resolution of issues or conflicts.

Criteria for Requiring the Conduct of a Public Hearing

The EMB, upon recommendation of the EIARC, shall hold public hearings for
projects requiring an EIS whenever:
 the magnitude of the project is such that a great number of people are affected;
 there is mounting public opposition against the proposed project; or

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 there is a written request (with valid grounds/basis) for the conduct of such public
hearing from any of the stakeholders.
It should be noted that the Public Hearing is not the appropriate venue to ensure that
the findings of the EIA study had been communicated to the stakeholders. The
communication by the preparers or proponents of the EIA study highlights should
have been completed before the submission of the EIS. The processes, methods
and proofs of the “feedback to the stakeholders” should be documented in the
Process Document. As such, the conduct of Public Hearing with the primary aim of
communicating the EIA results to the stakeholders is not a sufficient basis to require
a public hearing.

Conduct of a Public Hearing

The EMB shall conduct public hearing with the assistance of the proponent and
preparer. The Public Hearing shall be scheduled by the EMB and the proponent in
consultation with other key stakeholders, whenever practical or appropriate. All public
hearings shall be summary in nature and shall not strictly adhere to the technical
rules of evidence.
Public hearings shall be open to all interested groups with valid concerns about the
proposed project. Section 5 discusses the procedures for conducting a pubic
hearing including the required preparations and documentation needs.

When submissions on proofs of social acceptability are lacking or

inadequate, public hearing becomes mandatory. If no public hearing
is held despite such lack or inadequacy of proof of social
acceptability, the EIARC must strongly justify why no public hearing
was required.

5. EIARC Report
The EIARC Report (to be prepared by the EIA Review Committee) forms part of the
EIS review documentation. The EIARC Report (see Annex I for suggested format)
shall be prepared by the EIARC chair and signed by all the members.
The report shall contain the results of the review/evaluation and the EIARC's
recommendation/s on the issuance or non-issuance of an ECC including the
appropriate conditions. The EIARC Report shall be submitted to the endorsing office
not later than five (5) working days after the last EIARC meeting.
If an EIARC member dissents, he or she must submit a memorandum to the DENR-
EMB Director through the EIARC Chairman explaining or enumerating his or her
reasons for dissenting.

6. Review Process Report

The Review Process Report, to be prepared by the case handler, also forms part of
the EIS review documentation. The Review Process Report (see Annex J for
suggested format) shall be prepared by the case handler simultaneous or concurrent
to the preparation of the EIARC Report.
The Review Process Report serves to provide the procedural and administrative
record of the entire review process. It provides sufficient details to serve as archival
records for documentation purposes. The Report shall contains the details that may
not have been considered by the EIARC. In case the case handler disagrees with
the recommendations or findings of the EIARC, the Review Process Report shall

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detail the rationale and framework, including the basis or supporting factors, of such
reservation or disagreement.

7. Recommendation/s and Decision/s

Within fifteen (15) working days from the receipt of the EIARC Report, the endorsing
office shall prepare a recommendation report to the deciding authority for final
decision. The report may uphold or reverse the recommendations of the EIARC.
However, in case of reversal of the EIARC recommendations, the basis shall be
clearly stated in the report.
In the case of review at the DENR-EMB regional level, the time period is five (5)
working days from the receipt of the EIARC Report. In both cases, the allotted
timeframe includes the time necessary for the requisite staff work.
Within fifteen (15) working days from the receipt of the recommendation report from
the endorsing office, the deciding authority shall either grant or deny the issuance of
ECC. In granting or denying the issuance of the ECC, the deciding authority shall
take into account the social and environmental cost implications relative to the
judicious utilization, development, and conservation of the country‟s natural
resources. The 15-day time frame for the decision includes the time necessary for
the requisite staff work.
In the case of review at the regional level, the regional director has five (5) working
days in order to decide the granting or denial of the ECC application.
The Environmental Compliance Certificate (together with the official cover letter) or
the Denial Letter constitutes the decision document representing the final decision/s
of DENR on the ECC application of the proponent.

The decision to issue or deny an ECC must be completed within 120

working days for review conducted by the EMB Central Office or 60
working days for review conducted by the EMB RO. Otherwise, the
ECC application shall be considered approved.

4.3 Technical Procedures for the PEIS Review Process

The review process for the PEIS is similar to the EIS Review Process except for the
following elements:
 The proponent or preparer shall submit at least ten (10) sets of the PEIS documents and
a complete electronic file in compact disk (CD) to EMB Central Office. The EMB may
require the proponent to submit additional copies as necessary.
 The entire review process for PEIS shall be completed within 180 working days.
 The conduct of public hearing/s is mandatory.
 Additional EIARC members/resource persons and EIARC meetings may be employed as
deemed necessary for the substantive review of the PEIS.
 The programmatic ECC (PECC), constituting the decision documents, shall not
enumerate the prospective locators and their respective capacities. Instead, the

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programmatic ECC shall specify the scope of the PECC (in terms of industrial
categories) and the allowable discharge or emission allocations.
 The Secretary of the DENR shall be the deciding authority whether the submitted PEIS
will be granted an ECC or not.
For more details on the procedures of the programmatic review process, please refer to the
Administrative and Technical Procedural Guidebook for Programmatic EIS Compliance.

The decision to issue or deny an ECC based on a programmatic EIS must be

completed within 180 working days. Otherwise, the ECC application shall be
considered approved.

4.4 Technical Procedures for the PEPRMP and EPRMP Review Process

In order to streamline the process and facilitate the review process, it is strongly
recommended that the proponent shall undergo a technical scoping with the DENR-EMB
office concerned in order to identify the critical environmental conditions that need to be
included in the PEPRMP or EPRMP. It should be noted that the PEPRMP or EPRMP is
different from an EIS or IEE inasmuch as the project impacts are already known. As such,
the study shall only concentrate on the environmental receptors that are actually impacted
by the project.
The review process for both the PEPRMP and EPRMP is similar to the EIS Review Process
except for the following elements:
 The proponent or preparer shall submit five (5) sets of the PEPRMP or EPRMP
documents and a complete electronic file in compact disk (CD) to DENR-EMB. DENR-
EMB may require the proponent to submit additional copies as necessary.
 The entire review process for PEPRMP shall be completed within 120 working days if
processed at DENR-EMB central office and 60 working days if processed at the regional
level.
For purposes of delineating jurisdiction, PEPRMP for programmatic projects where
majority of the locators are Category A projects shall be processed at the central office
while PEPRMP for programmatic projects where majority of the locators are Category B
projects shall be processed at the regional level.

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Pre-Review
Selection of
EIARC members
Proponent give
Prepare
notice to
PEPRMP/EPRMP
DENR-EMB
Technical
Scoping

PEPRMP:
ECC 120 working days – CO;
60 working days – RO
Submit 5 copies
EPRMP:
Denial 90 working days – CO;
30 working days – RO
Review Process

 The entire review process for EPRMP shall be completed within 90 working days if
processed at DENR-EMB central office and 30 working days if processed at the regional
level.
For purposes of delineating jurisdiction, EPRMP for Category A projects shall be
processed at the central office while EPRMP for Category B projects shall be processed
at the regional level.
 Additional EIARC members/resource persons may be designated or additional EIARC
meetings may be conducted as deemed necessary for the substantive review of the
PEPRMP or EPRMP.

The decision to issue or deny an ECC must be completed within 90 working

days (for DENR-EMB Central Office) or 30 working days (for DENR-EMB
Regional Office/s). Otherwise, the ECC application shall be considered
approved.

4.5 Technical Procedures for the IEE Review Process

This section discusses technical procedures in the review of IEE Report in accordance with
Article I Section 2 of DAO 2003-30 which tasks EMB with “standardizing requirements to
ensure focus on critical environmental parameters‟ and „simplifying procedures for
processing ECC applications…‟

It should be clarified that an Initial Environmental Examination (IEE) is a form

of Environmental Impact Statements (EIS). The basic differences between
the two submissions are the depth and extent of data requirement. An IEE is
prepared and submitted to enable DENR to make a decision on whether to
issue or not to issue an ECC. Or, to require the preparation and submission
of an EIS if a decision cannot be made on the basis of the information
contained in the IEE.

Similar to the EIS review, the IEE review is generally a two-stage process. The first stage is
a procedural review by the receiving staff of DENR-EMB. The second stage is substantive
review by the EIA Division.

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A. Procedural Screening

After the Initial Environmental Examination (IEE) Report has been completed, the
proponent/preparer shall prepare one (1) set of the report and submit it to the EMB-
RO concerned. If a technical scoping was conducted, the Report should be based
on the agreed scope. A copy of the procedural screening checklist shall be included
in the submission.
The primary purpose of procedural screening is to screen for 1) completeness of
information based on the scoping agreements (if available) and recent developments
in the project area and 2) clarity of maps and figures in the IEE Report submitted
before being subjected to substantive review.

Submit 1 set of
IEE Report +
checklist

Procedural
IEE Review Process
Review Complete no
(A total of 60 working days)
(3 working and clear?
days)
yes

ECC Denial
Submit 5 sets +
Pay Fee/s
electronic copy

Assign Case Handler or

Technical Committee
Recommendation
by endorsing
authority
Field visits or Substantive Review • 1 Additional
site inspection • Clarity Information (AI) only
• Balance • PENRO/CENRO may Submit
Additional sampling • Accuracy & Precision be requested to do Review Process
or studies • Consistency validation Report
• Responsiveness
Informal (30 working days)
consultation/s

The EIA case officer or handler shall screen the completeness of the submitted IEE
Report by validating the procedural screening checklist accomplished by the
proponent/preparer. To facilitate the screening process, the proponent/EIS preparer
should indicate the chapters and page numbers where the required items in the IEE
can be found. Results of the screening shall be transmitted to the
proponent/preparer within three (3) working days from receipt of the IEE Report. In
the absence of any communication from DENR-EMB, the submitted draft is
considered approved for submission and for substantive review. The date of
submission can only be counted as Day 1 when the IEE document is officially
received before 12:00 noon.
If incomplete, the IEE documents shall be immediately returned to the
proponent/preparer for revision or submission of the missing requirement. The
reason for non-acceptance shall be stated in writing at the appropriate place in the
screening form.
If the IEE document is complete, it will be formally accepted. The proponent will be
notified of the acceptance by furnishing him a copy of the accomplished procedural
screening checklist duly signed by the concerned EIA Technical Staff. The proponent
shall then submit within two (2) working days five (5) sets of the IEE documents to

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the EMB-RO concerned. The EMB may require the proponent to submit additional
copies as necessary.

The IEE submission shall not be considered as complete unless it

includes one complete, working set of electronic copy in a compact
disc (CD). The electronic copy shall be in the format that is easily
readable format such as program document file (pdf) format or
formats used in the Microsoft© office suite.

Unless specifically stated otherwise, IEE submission shall only be received at the
DENR-EMB regional office concerned. Without specific authority from the Regional
Director concerned, the PENRO or CENRO are not allowed or authorized to receive
EIS/IEE submission/s.
Upon submission of the required number of copies of IEE Report to the Record
Section of DENR-EMB RO concerned, the proponent/preparer shall pay the
corresponding filing and processing fees (see Section 10 for the amount of filing and
processing fees) at the Cashier. The DENR-EMB RO shall assign reference index
code and include the project in its database of ECC applications under review.

B. Substantive Review

The substantive review is premised on Section 1 of DAO 2003-30 Article 1 (Basic

Policy and Operating Principles) which provides that, “The review of EIS by EMB
shall be guided by three general criteria: (1) that environmental considerations are
integrated into the overall project planning, (2) that the assessment is technically
sound and proposed environmental mitigation measures are effective, and (3) social
acceptability is based on informed public participation” and “Effective regulatory
review of the EIS depends largely on timely, full and accurate disclosure of relevant
information by project proponents and other stakeholders in the review process”.
It is therefore the responsibility of the proponent and the preparer to ensure that the
quality of the IEE Report adheres to the following criteria:
 Clarity of presentation
 Balance in presentation and assessment
 Accuracy and precision of information and assessment
 Consistency
 Responsiveness
Clarity. The IEE document is intended to communicate the results of the EIA to a
wide range of stakeholders including the regulators, decision makers, affected
communities, and the general public. It should therefore be written in such a way that
it is easily understood. The IEE should clearly describe the methods and approach
employed in the EIA process.
Balance. There are many ways by which balance can be gauged. An IEE document
is balanced if it is devoid of bias in the presentation and analysis of data. It is not
supposed to provide justifications for pre-conceived conclusions in favor of any
interest group. Among others, the IEE documents should present the key
issues/concerns of the stakeholders and the proponent‟s corresponding response or
actions to address these.

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Accuracy and Precision. These are universal criteria that need to be satisfied in
any form of scientific inquiry or investigation. All data presented in the IEE should
satisfy the prescribed levels of accuracy and precision in accordance with generally
accepted standards and criteria. Furthermore, all the baseline characterization data
or information, as well as impact prediction tools and techniques (such modeling
techniques, field tests or laboratory experiments) used in the EIA study should be
scientifically sound.
Consistency. The IEE document should be consistent in terms of data/information
presented, findings and recommendations.
Responsiveness. The IEE should be responsive to the issues and concerns (if any)
raised by the stakeholders.

1. Review Procedures
The assessment and subsequent recommendation to grant or deny the issuance of
an ECC is based on these general criteria.
The EIA Division of DENR-EMB RO concerned, in the course of substantial review,
may employ any of the following methods:
 site visits or ocular inspections including walk-through
 conduct additional sampling/s or studies to validate some technical parameters or
information.
 informal consultations to validate socio-economic impacts and social
acceptability.

Unless expressly delegated by the Secretary, only the EIA Division of

the DENR-EMB RO is authorized to undertake the substantive
evaluation of EIA submissions.

The DENR-EMB RO may collaborate with the PENRO or CENRO in the conduct of a
site visit by notifying it and requiring a report (or feedback), in writing, on any findings
relative to the specific areas to be validated. The PENRO or CENRO submits the
findings to the DENR-EMB RO and the EIA Division determines whether the
inspection warrants additional information, a revised IEE submission, or no action at
all.
The EIA Division, depending on the magnitude and complexity of the project, may
assign the substantive review to an individual or convene a technical committee for
such purpose.
In order to fulfill the intention of this Manual to streamline the review process, DENR-
EMB should be able to complete the substantive review within thirty (30) working
days. In order to fulfill the intention of this section, the following approaches or
modes of implementation shall be adopted whenever practical and appropriate:
 The EIA Division, as deemed necessary, may recommend a public consultation
to be conducted to obtain public comment on the proposed project or validate
social acceptability. The EIA Division shall be responsible for documenting the
entire review process. The meetings should be recorded on tape for
transcription.
 The EIA Division compiles the written comments or clarifications arising from the
evaluation, including those from the validation and public consultation, if any. A

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request in writing will be made to the proponent to address the comments and
provide additional information to adequately evaluate the project. If the
information required is clarificatory in nature and not critical to evaluation of the
ECC application, the EIA Division may just arrange for a meeting with the
proponent and/or the stakeholders to answer questions and clarify matters
verbally.

Additional information requirements are intended to provide

elaborations or clarifications of some aspects of the EIA Study. A
request for additional information is only done once.

 At the end of the allocated 30 days for substantive review, a decision or

recommendation for issuance or non-issuance of ECC shall be rendered by the
EIA Division. The decision or recommendation shall be based on available or
submitted information. The non-submission of AI, especially if the allocated or
agreed upon time frame was not followed, should not serve as a reason for not
making a decision or recommendation.

2. Review Process Report

The review process report (see Annex J for suggested format) is to be prepared by
the technical committee members or the case officer/handler. The report is to be
forwarded to the EMB Regional Director/s, through the EIA Division Chief, as
reference for decision-making and maintained as part of the records on the ECC
application of any project.
The report shall contain the results of the review/evaluation and the
recommendation/s on the issuance or non-issuance of an ECC including the
appropriate conditions. The report shall be submitted to the EIA Division Chief within
the allocated timeframe for substantive review.
If it has been determined that some significant impacts have not been resolved by
the IEE and/or that additional studies would be needed to fully address them, the
conduct of an EIS will be recommended for the proposed project. The EIA Division
Chief shall prepare the recommendation together with a draft letter of notification for
the proponent to prepare and submit an EIS.
The preparations of an EIS shall be mandatory under the following conditions:
 presence of significant environmental impacts have not been adequately
addressed by proposed mitigation and enhancement measures
 presence of strong public opposition or low social acceptability based on valid
issues or concerns
 presence or possibility of high public risk
 the project involves the use, manufacture, storage or transport of highly pollutive
substances toxic or hazardous materials
 presence of significant socio-cultural impacts
Also, if the IEE has been evaluated as not having satisfied the substantive
requirements, the report may recommend the denial of ECC. In case of an ECC
denial recommendation, the report should identify specific issues and comments that
have not been satisfied by the proponent, and a draft letter to inform proponent of
ECC denial.

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3. Recommendation/s and Decision/s

Within ten (10) working days from the receipt of the review process report, the EIA
Division Chief shall prepare a recommendation report to the DENR-EMB RD for final
decision. The report may uphold or reverse the recommendations contained in the
review process report. However, in case of reversal of the recommendations, the
basis shall be clearly stated in the recommendation. The allotted timeframe includes
the time necessary for the requisite staff work.
Within fifteen (15) working days from the receipt of the recommendation report from
the EIA Division Chief, the DENR-EMB RD shall either grant or deny the issuance of
ECC. In granting or denying the issuance of the ECC, the deciding authority shall
take into account the social and environmental cost implications relative to the
judicious utilization, development, and conservation of the country‟s natural
resources. The 15-day time frame for the decision includes the time necessary for
the requisite staff work.
The Environmental Compliance Certificate (together with the official cover letter) or
the Denial Letter constitutes the decision document representing the final decision/s
of DENR on the ECC application of the proponent. (see Section 9 for more
discussions on the ECC as the decision document.)
If the DENR-EMB RD decides that an EIS is required, the proponent will be informed
of the decision in writing. The DENR-EMB RD will then determine whether the IEE
process was sufficient for scoping purposes or not. If it is deemed that a new
scoping is necessary, the guidelines for formal scoping as outlined in the previous
section shall apply. A Regional EIARC shall be constituted for the project as soon as
appropriate.
If the DENR-EMB RD decides to forego scoping, the IEE serves as the scoping
report. The proponent however, may at his discretion, volunteer to go through the
formal scoping process.
The EIS process and content shall follow the same requirements provided for in the
EIS procedural flow discussed in the previous section/s.
In situations where the DENR-EMB RO is unable to constitute the regional EIARC
because of limited number of persons who are willing and/or technically capable to
serve as members, or for other compelling reasons, the regional office may seek
assistance from the central office. The central office may extend technical support by
accessing its pool of reviewers to assist in the formation of a Regional EIARC. The
extension of any type of support shall be decided on a case-to-case basis by EMB.
In any such case, the regional office should coordinate with the central office at all
stages of the EIS process (e.g., from scoping to review).

The decision to issue or deny an ECC must be completed within 60 working

days. Otherwise, the ECC application shall be considered approved.

4.6 Technical Procedures for the IEE Checklist Report Review Process

The review process for the IEE Checklist Report is similar to the IEE Review Process as
modified below:
 Upon the presentation/submission of the Checklist, the Screening Officer shall
immediately determine its completeness and conformance with the DENR prescribed

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requirements. Immediate determination shall mean completion of the Procedural Review

within the same day of IEE checklist submission.
The determination of the completeness of the IEE Checklist will be based on the
sufficiency of responses to all questions or checklist and information provided in the
matrix. If the IEE Checklist is complete, it will be formally accepted.
If the Checklist is incomplete, it shall be immediately returned to the proponent for
revision or submission of the missing requirement/information. The reason for non-
acceptance shall be stated in writing at the appropriate place in the Checklist.
Aside from site development plans, architectural drawings, process flow and similar
documents, it should be noted that the only mandatory attachments to an IEE Checklist
are the proof of ownership (for the land where the proposed project is to be located) and
the zoning clearance, or their equivalent.
 Upon acceptance, the proponent shall submit 3 copies of the IEE Checklist Report to EIA
Section of the EMB Regional Office concerned. The proponent shall pay the
corresponding filing and processing fee (see Section 10) at the Cashier Section of EMB
Regional Office concerned upon submitting the required number of copies at the Record
Section of the same office.
 All IEE Checklist not following the said standard procedures shall not be considered as
valid applications and therefore, shall not be used as a basis for recommendation on the
issuance or denial of the ECC.
 The processing time including the issuance and/or denial of the ECC will take a
maximum of 30 days.
 In the course of substantial review, the conduct of site visit or ocular inspection shall be
optional. Any site visit or ocular inspection shall be undertaken in coordination with the
project proponent.
 If the EMB-RO finds that the IEE Checklist has substantially addressed all the significant
impacts and relevant issues by way of mitigation and enhancement measures, it shall
recommend the issuance of the ECC. The EMB Regional Office may call for a technical
conference to explain to the project proponent the relevance of the ECC and the various
conditions stated therein for compliance by the project proponent.
If it has been determined that some significant impacts have not been resolved by the IEE
Checklist Report and that additional studies would be needed to fully address them, the
conduct of an IEE Report will be recommended for the proposed project. The EIA Division
Chief shall prepare the recommendation together with a draft letter of notification for the
proponent to prepare and submit an IEE.

The decision to issue or deny an ECC must be completed within 30 working

days. Otherwise, the ECC application shall be considered approved.

4.7 Technical Procedures for the CNC Application

This section discusses technical procedures in the processing of CNC application in

accordance with Article I Section 2 of DAO 2003-30 which tasks EMB with “standardizing
requirements to ensure focus on critical environmental parameters‟ and „simplifying
procedures for processing ECC applications…‟
The EMB Director or EMB Regional Director (RD), in appropriate cases, may issue a CNC
following the procedures outlined below:

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 The proponent should submit a Project Description containing the following

documentation requirements:
 a detailed location map of the project site showing the relevant features of the site
(e.g. slope, topography, boundaries, vicinity) on a scale of 1:50,000;
 a brief project description which provides information on the raw materials to be
used, a description of the process or manufacturing technology, project capacity,
type and volume of products and discharges, capitalization, project area, manpower
requirement, among others; and
 if appropriate, a certification from the CENRO that the project is not located in an
ECA.

CNC applications shall not require any other attachments. As such,

proponents need not attached barangay clearances or permits,
endorsements, certificates except those specifically required or listed in
Section 3.3.

 The EMB or the EMB Regional Office will review the documents submitted and will
recommend to the EMB Director or RD the issuance or non-issuance of a CNC. This
process shall be accomplished within a maximum of seven (7) workings days from date
of receipt.
However, if the EMB or the EMB-RO sees the need to validate the documents submitted
or verify certain information by conducting an ocular inspection of the site, consulting
experts, or other methods, then the Certificate may be issued within fifteen (15) working
days.
 Once the proponent completes and submits all the requirements, the EMB or the
Regional Office shall issue the certificate. Such certificate must indicate the reason(s) for
non-coverage and, if appropriate, shall contain a statement requiring the proponent to
provide additional environmental safeguards for its project or undertaking.
 In cases when the EMB or the Regional Office, upon review of the application, decides
that the project does not qualify at all for non-coverage, the EMB or the Regional Office
should immediately inform the proponent that its project is subject to the EIS system and
advice the proponent of the requirements and procedures.

4.8 Transmittal of EIS/IEE Records and ECCs

In the event that an ECC is issued, the Secretary/EMB Director/Regional Director shall
cause the transmittal of pertinent records and documents, and the ECC to the EMB/EIA
Division within 15 days from the date of such issuance. Before the release of ECC, the
Proponent shall be invited to the EMB/EMB Regional Office for an orientation. The EIA
Technical Staff shall explain to the proponent each condition of the approved ECC and the
prescribed manner of compliance. As an option, EMB may instead prepare a briefing kit that
will contain the necessary information on the Philippine EIS System including an explanation
about the requirements and the conditions of the ECC. An acknowledgement receipt (or
mail back stub) shall be included in the kit. The EMB office concerned shall only release the
ECC upon receiving the signed acknowledgement receipt (or mail back stub).
Moreover, prior to release of any ECC, the EMB or the EMB-RO concerned shall assign a
number to the ECC in accordance with the prescribed format (see Section 9 for details).
ECC without the requisite control numbers of EMB or the EMB-RO concerned shall not be
considered valid.

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The following offices shall be provided copies of the duly issued ECC within fifteen (15)
working days from the date the ECC is available for release to the proponent:
 DENR Regional Office(s) concerned
 PENRO(s) concerned
 CENRO(s) concerned

4.9 Technical Procedures for the ECC Amendments

Section 8.3 of DAO 2003-30 provides the parameters for amending an ECC. Under the
guidelines, there are two levels of approval depending on the nature of the request (e.g.,
minor or major). This section set forth the operational guidelines to handle requests for ECC
amendment/s.

A. Categories of ECC Amendments

The request for amendment is considered a major amendment if it such involves

modifications as:
 Expansion of land/project area
 Increase in production capacity
 Major change/s in process flow or technology to be used
It should be noted that the ECC is a project- and location-specific document. As
such, any change in project location will necessitate a new application. On the other
hand, major change/s in process flow or technology to be used may drastically affect
the validity of the EIA finding/s. In such event, the EMB office concerned shall
require the proponent to submit a new application.
On the other hand, request for amendment is considered minor if it only involves:
 typographical error
 extension of deadlines for submission of post-ECC requirement/s
 extension of ECC validity
 change in company name/ownership
 decrease in land/project area or production capacity
In the case of request/s for extension of ECC validity for projects not started within
the prescribed timeframe (see Section 9), the burden of proof is with the proponent to
substantiate that there is no significant deviations or changes in the baseline
characteristics of the project site. In case the baseline characteristics have changed
to such degrees that the impact assessment (as embodied in the EMP) is no longer
appropriate, the EMB office concerned shall require the proponent to submit a new
application. The requested period for the extension of ECC validity should not
exceed a period of three (3) years. Furthermore, the request for extension should be
filed at least three (3) months before the expiration of the ECC validity.
Requests for ECC amendment/s do not include requests for relief from ECC
commitments. Request/s for relief from ECC commitments may be in its entirety or in
part. For such request/s, please refer to Section 8.

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B. Procedural Guidelines for ECC Amendments

The procedures for the processing of request/s to amend ECCs shall be governed by
the following guidelines:
 Any request/s for ECC amendments, except for change in ownership/s, should be
submitted or filed within three (3) years of the issuance of the ECC. Otherwise,
the proponent shall have to file a new ECC application. For projects that have
been started or implemented, there is no prescription period for filing a request for
ECC amendments.
 The request/s for ECC amendments shall be filed with the issuing office (i.e.,
DENR-EMB office which issued/released the ECC). The request should include
the necessary data, information, reports or documents that will substantiate or
support the requested revisions.
In the case of projects that have been started or implemented, the request/s for
ECC amendments should be supported by an EPRMP.
 Upon receipt of the letter-request, the DENR-EMB office concerned shall
immediately evaluate the request as follows:
 For major amendments, the DENR-EMB office concerned shall convene a
technical committee to evaluate the request. In case of an ECC issued based
on an EIS, the technical committee shall include at least one (1) of the EIARC
members (preferably the Chair) that evaluated the EIS.
 For minor amendments or in case the ECC was issued based on an IEE
Checklist, the DENR-EMB RO concerned may assign a case officer or
handler to evaluate the request.
 The letter-request shall be decided as follows:
 For minor amendments, the ECC revisions shall be decided upon by the
endorsing authority.
 For major amendments, the ECC revisions shall be decided upon by the
issuing/approving authority.
 The entire processing time shall be as follows:
 For ECCs issued based on an IEE Report or IEE Checklist, the processing
time shall not exceed thirty (30) working days. Otherwise, the request is
considered approved.
 For ECCs issued based on an EIS or PEIS, the processing time shall not
exceed sixty (60) working days. Otherwise, the request is considered
approved.

4.10 Technical Procedures on Matters covered by the Automatic Approval

Provision of DAO 2003-30

DAO 2003-30 provides that the absence of any action/s or decision/s by DENR-EMB on any
pending request/s within the allotted processing time shall be deemed as approved or
decided upon in favor of the requesting party. Under such circumstances, the following
procedures shall guide the preparation and release of the requisite document/s:
 In the absence of any action/s or decision/s by DENR-EMB on any pending request/s or
application after the allotted processing time, a proponent shall file a letter-request for

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the preparation and release of the requisite document/s (e.g., ECC, amendment of ECC,
use of third party auditor, reduction of fines, etc.). The letter-request must be filed within
three (3) months after the last day of the allotted processing time.
 Upon receipt of the letter-request, DENR-EMB shall determine the validity of the claim of
no action/s or no decision/s.
 In case a decision or action has been made by DENR-EMB, documentary proof of
such action/s or decision/s shall be furnished to the proponent/applicant.
 The failure by proponent/applicant to receive such communication or document shall
render the claim invalid provided that evidence/s exists that such documents were
sent to the proponent/applicant. A copy of the communication received by
representative/s of the proponent/applicant or proof of delivery via registered mail
shall constitute sufficient proof that a decision/s or action/s has been made.
 The failure by DENR-EMB to duly transmit the document containing its decision/s or
action/s to the proponent/applicant or representative shall not render the claim
invalid.
 If the claim of no action/s or no decision/s is found to be valid, the DENR-EMB office or
officer concerned shall prepare, issue and release the required document/s (e.g., ECC,
amended ECC, reduction of fine, etc.) not later than five (5) working days after the
receipt of the letter-request.
 In case the DENR-EMB office concerned failed to act within five (5) working days, the
receiving clerk/personnel, head of the division concerned and the head of the DENR-
EMB office concerned (e.g., Director) shall be administratively liable in accordance with
civil service rules and regulations.

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5. Public Participation
The environment involves not only the biophysical aspects but also the socio-economic
dimension of a proposed development. People are part of the environment and are often the
subject of or directly affected by projects or undertakings. Public participation, therefore,
becomes crucial in making decisions that affect their lives and their environment. The EIS
process emphasizes the importance of public participation in broadening the responsibilities
for environmental protection and in promoting social progress and equity, recognizing that
people:
 possess intimate knowledge about their environment
 have needs and aspirations for socio-economic upliftment
 are recipients of benefits and/or environmental stress arising from these projects or
undertaking

5.1 Identification of Stakeholders

Stakeholders are persons or groups who may be significantly affected by the project or
undertaking, directly or indirectly. They may include:
 persons living or working within the identified impact (direct and secondary) areas;
 persons with properties in the impact areas;
 persons living or working within the boundaries of the impact areas;
 organized interest groups (such as NGOs and POs) operating in the impact areas;
 industry representatives in the impact areas;
 local government units (LGUs);
 indigenous cultural communities (ICCs) in the impact areas;
 local institutions (church, school) in the areas; and
 concerned national agencies, e.g., HLURB, DOE, DOT, DTI, PCTT, PAMBs, DAR, DA,
etc.
The impact zone of a project are the areas which are most likely to be directly or indirectly
affected by the proposed project or undertaking. It comprises of the direct or primary impact
area and the secondary impact area. The regional impact zone is also determined in
general.
Impact zones are identified and delineated on the map based on the type of project and
knowledge of the biophysical and social environment of the project. Specific impact areas
delineated based on the biophysical and socio-economic parameters include the following:

A. Direct Impact Area/Zone

The primary impact zone or direct impact area generally refers to areas where the
project facilities or infrastructures will be located or traversed such as buildings or
structures, irrigation, drainage and other utility areas, quarry sites, access roads and
others to be set up during the construction and operation phases. The zone or area
could include, among others, the following:
 areas where there will be displacement of settlements or livelihood

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 areas directly vulnerable to potential flooding or inundation that may be caused

by the project
 areas along main tributary downstream of the river system that will be the
receiver of waste discharges.
 areas where there will be disturbance of habitat of endangered species
 catchment area of river system or watersheds
 ancestral domain of indigenous communities that may be directly affected by the
project

B. Secondary or Indirect Impact Area/Zone

The secondary impact zone, on the other hand, generally refers to the influence area
of the project that could be indirectly affected by the proposed development. This
could include areas in the vicinity of the direct impact zone. Examples of these may
include the following:
 communities or settlements outside the direct impact area which can also be
benefited by the employment opportunities created by the project
 sub-tributaries of the river system which can be indirectly affected by pollution
 areas where water sources will be indirectly affected by drawdown in the direct
impact area
The determination of the primary and secondary impact zones varies according to the type
of project and the location. On the other hand, the regional impact zone (RIZ) pertains more
to the general area where the impact of the project would be felt, such as the entire
municipality, province or region. They can be generally identified and described without
necessarily delineating them on the map.
The delineation of the impact zone serves as the primary basis for identifying the
stakeholders of the project.

5.2 Public Participation: A Conceptual Framework

Public participation gives citizens the opportunity to influence major decisions that affect
them. In the EIA process, the goal of public participation is to enable citizens to take
responsibility for environmental protection and management through active involvement in
decision making.

A. Values and Benefits of Public Participation?

Public participation is the most effective process to determine social acceptability of a

project or undertaking which is a decision criterion in the issuance of an ECC.
Moreover, it offers the following added values and benefits:
 Helps to identify and address concerns of stakeholders
 Focuses planning on issues or concerns
 Provides alternatives for consideration in planning
 Provides added sources of expertise
 Reduces level of misinformation and distrust
 Improves decision making

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 Empowers the citizens to take responsibility in environmental protection

B. Essential Elements of Public Participation

There are certain elements that are crucial and must be present in order for the
process to be considered to have really involved public participation. The following
are requisites for public participation to take place:
 Social preparation for the participation of stakeholders.
 Identification and full representation of stakeholders and other concerned parties.
 Implementation of procedures or protocols that is acceptable to all parties.
 Issues or concerns that emerged are stated clearly and made known to all
participants.

C. Social Preparation Process

Social preparation is a process required in the conduct of EIA in order for the affected
communities to have timely and informed participation. It is a two-way process, which
involves informing and developing the awareness and understanding about the EIA
process and the project while generating the communities‟ perceptions, insights and
suggestions about the project. This step or process should, ideally, be started prior
to the Scoping Process.
The process of social preparation involves:
 Identification and profiling of stakeholders
 Conduct of information, education and communication (IEC)
 Documentation
The proponent or preparer is responsible in conducting social preparation process as
part of the EIA study.
Social preparation can be done in the following stages of the EIA process:
 Before and during Scoping
 Baseline studies, eco-profiling or validation
 Validation of impact identification/prediction and impact evaluation
 Negotiation and dispute or conflict resolution including Public hearing
 Environmental management planning
 Environmental monitoring

1. Identification and Profiling of Stakeholders

At the onset of the EIA study, the proponent or its preparer should identify and profile
the stakeholders (see Section 5.1 for more details on the identification of
stakeholders).
Stakeholders are identified through the following process:
 The proponent or preparer first establishes or delineates the direct impact as well
as the secondary impact zone or influence area of the project

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 The proponent/preparer identifies the sectors and communities who will be

affected by the project within these zones.
 The preparer may consult with the concerned LGU (from the barangay to the
municipal level), DENR PENRO/CENRO and NGAs if they have any knowledge
of other stakeholders within the project area.
 The preparer may interview stakeholders already identified to identify other
stakeholders, or consult key persons and groups, e.g. local NGOs and POs
operating within the area in identifying the stakeholders.
Individuals, groups or organizations who are residing within the impact zones are
given priority as primary stakeholders. The representations of stakeholders should
be gender balanced. In the spirit of openness and full disclosure, the interests and
affiliation of all stakeholders must be made public.

2. Conduct of Information, Education and Communication (IEC)

The objective of conducting IEC should not be limited only to information
dissemination. The conduct of IEC should be able to provide feedbacks to the
preparer and the proponent about the stakeholders‟ understanding of the EIA
process and project, the issues and concerns about the project, as well as their
suggestions and other inputs.
IEC methods may include the following:
 Individual methods, e.g. home visits, personal letters, one-on-one interviews
 Group methods, e.g., meetings, study tours, group workshops, group discussions
 Mass media, e.g., newspaper publication, radio broadcast, web posting
The proponent or preparer may use any or all kinds of IEC materials in conducting
IEC campaigns. IEC materials may be in print (e.g. flyers, pamphlets, comics,
posters, newspapers, banners) or in other forms, such as video, film, and sound
slides.
These materials should be:
 Prepared in a manner and language that can be easily understood by everybody
and should contain balanced and complete information. The information material
on EIA should, as much as practical, be in the local language or dialect.
 Contain sufficient information including a description of the proposed project, the
proponent, the EIA process, and the expected outputs. It shall also include such
appropriate studies as evaluation of public health, environment, population,
gender, socio-economic, and cultural impacts of the project or undertaking and
the appropriate mitigation and enhancement measures.
The information drive should at the same time inculcate value formation by making
the members of the community aware of their responsibilities as stakeholders.
In the conduct of IEC, it is beneficial to the proponent to engage the services of
communication experts or IEC specialists in planning, implementing, assessing and
documenting the conduct of IEC. To provide inputs on the social aspects, the
services of an anthropologist or community organizer should also be availed of.

3. Documentation of Social Preparation

Documentation shall be done to substantiate the social preparation process in the
EIA. Through proper documentation, the stakeholders‟ perceptions and insights may

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be verified or validated and their suggested resolutions may be incorporated in the

proposed project. Documentation and incorporation of their valuable inputs results in
a more credible EIA study.
Documentation may be in the form of received letters to stakeholders, photos, video,
transcription/s of proceedings, meetings or consultations. The IEC plan, the
documentation of the actual conduct of IEC activities, as well as the stakeholders‟
perceptions and suggestions, shall form part of the EIS to be submitted to EMB, as
outputs of the social preparation process. Table 5-1 consists of suggested social
preparation activities, IEC methods, materials, schedule and documentation.

Table 5-1. Suggested IEC Methodologies and Approaches

Schedule of
Information Documentation
Activity IEC Method Information
Material Output
Dissemination
Individual  Invitation At least one  Attendance of
methods, i.e. letters week prior to Participants
key informant  Comics on date of scoping  Video-/Photo
interview EIA in local documentation
Group language of the process
methods, i.e.  Illustrative During scoping  Proceedings
Scoping one time primer about of the conduct
stakeholders or the project of Scoping
sectoral  Audio-visual
workshops presentation
about EIA
and project
Validation of Group and  Hand-outs During  Photo
impact individual  Audio-visual environmental documentation
identification/ methods, e.g. presentation management and minutes of
prediction and focused group s and social FGDs
impact discussions by development
evaluation sector planning
Environmental Group  Hand-outs During planning  Attendance of
management methods, e.g.  Audio-visual Participants
and social workshop presentation  Photo/video
development s documentation
planning & proceedings
of SD/EM
Planning
Public hearing Mass media  News paper At least 3 weeks  Attendance of
and group publication before date of Participants
methods  Radio public hearing  Photo/video
broadcast documentation
 Posters & transcription
 Flyers of taped
proceedings

D. Public Participation in the EIA Process

To ensure broader public participation in the EIA process, the use of the community-
based EIA approach is highly encouraged especially in controversial projects.
Under a community-based EIA, stakeholders and interest groups work hand in hand
with the EIA preparers as partners in the EIS process. The transparent process and
the valuable inputs of local knowledge combined with the technical expertise of the
EIA preparers make the EIA results more credible and acceptable to a broader
degree of stakeholders.

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Public participation, in a community-based EIA approach, is elicited in the various

stages of the EIA process: scoping; baseline studies and eco-profiling; impact
identification and prediction; validation of impact identification/prediction and impact
evaluation; negotiation and dispute or conflict resolution including public hearing;
environmental management planning; and environmental monitoring.

1. Public Participation in Scoping

Scoping is a process that involves three (3) phases: pre-scoping, scoping proper and
post-scoping. At the pre-scoping or social preparation stage, the concerned public
participates in the identification of preliminary issues and concerns about the project
by means of consultations. The social preparation stage and the formal scoping
activity require the inputs of all concerned parties to determine the coverage, depth,
and scope of the EIA. The guidelines for participatory scoping are as follows:
 It should involve the broadest range of fully informed participants in identifying the
critical issues and significant impacts to be addressed by the study as well as
screen out irrelevant information.
 It should ensure adequate representation of traditionally-ignored social categories
that include, among others, women, indigenous communities and vulnerable
groups (such as the youth, elderly and disabled) so that their concerns and rights
relative to what is legally mandated for them could be protected and considered
in the project.
 It utilizes a variety of participatory methods and techniques such as participatory
mapping, group meetings, project site reconnaissance, focused group discussion
depending on the culture and practices of the local community.
 The determination of convenient and accessible place and time for the site
scoping should be taken into consideration to maximize participation.

2. Public Participation in Baseline Data Gathering

Local and indigenous knowledge are important inputs to the EIA process. The roles
of local folks in data gathering could include being research partners of preparers,
community mobilizers or as key informants. Local folks should be oriented, trained,
and equipped with the necessary skills by the preparers to adequately perform their
role as research partners. Their specific involvement can include the following:
 The community can be involved in rapid resource appraisals and baseline data
gathering such as in the following:
 identification of target population or affected communities
 general rating of the level of development in terms of economic status of each
population categories (such as farmers, fisherfolk, laborers, etc.)
 assessing the target population‟s need or demand for the project
 assessing absorptive capacity
 conduct of perception survey
 Local folks are a rich source of information on their biophysical environment and
could provide environmental indicators for the assessment of changes/trends in
their own environment (ex. occurrence of flooding, reduced river flows, decline in
fishery production, etc.), presence or disappearance of wild animals or birds and
other ethno-biological information.
 Community involvement in data analyses as research partners and data analysts.

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 Involvement of community in validation meetings or workshops to check the

accuracy of the results obtained from the survey and to gather additional issues
and concerns.

3. Public Participation in Impact Identification, Prediction and Evaluation

Public participation in impact identification, prediction, and evaluation are very
important as additional source of information. Their specific involvement can be
elicited using the following procedures:
 The preparers together with local folks and other concerned parties identify the
critical impact areas and environmental indicators. Indicative lists of impact
areas, formulated by the preparers, may serve as starting point for identification
of impact areas.
 Participatory methods such as consultation, focused group discussions, group
meetings among others may be utilized to collect or validate information and data
with the stakeholders.
Transparency, informed participation, joint evaluation and involved decision making
should be the guiding principles for public participation in impact identification,
prediction, and evaluation.

4. Public Participation in the Environmental Planning Process of the EIS

Local communities, directly or through their representatives, can participate in
planning through the following means:
 giving their comments or views and suggestions during public consultations and
public hearing
 participating in the crafting of solutions to issues and concerns
 registering their protest to the project or to its components to influence decision in
favor of the environment
 participation in formulating the monitoring plan and activities through membership
in the multi-partite monitoring teams (MMT), environmental guarantee fund (EGF)
Committee and other committees established for purposes of ensuring sound
environmental management.
 participation in the detailed planning and implementation of specific components
of the Environmental Management Plan such as livelihood activities, forest
protection, and others.

5. Walk-Through
Another method of public participation is to conduct a walk-through of the project
area together with the stakeholders and other interest groups. The purpose of the
walk-through is to get a first hand view of the site of the proposed project and verify
the environmental setting of the area vis-à-vis the various components of the project.
It provides opportunities for the proponent and the stakeholders to directly interact
and exchange views or ideas on the potential impacts of the project as well as
suggest possible alternative solutions to minimize adverse impacts identified. For
instance, location of infrastructures can be discussed to minimize slope modification
and tree cutting. A walk-through also enriches the understanding of the stakeholders
with respect to the proposed project or undertaking.

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6. Extent of Public Participation in the EIA Process

The momentum gained with public participation in the scoping and conduct of EIA
should be sustained until the monitoring and evaluation phases. It is thus important
that as early as scoping, the importance of public participation is impressed upon the
stakeholders, their local knowledge is given importance, their insights respected and
their inputs in decision making given consideration.
The vigilance of stakeholders in the implementation phase is much more important in
monitoring compliance of the proponent with conditions of the ECC and commitments
made in the EIS. Moreover, they represent a pressure group that can assist DENR
in ensuring the proper administration of sanctions and imposition of fines/penalties
for violations.

5.3 Public Consultation

Public consultation is a form or stage of public participation that involves information

dissemination and gathering of public opinion. It is a form of participation where citizens can
directly be involved in planning or decision making. It aims to produce the widest and most
diversified public debate possible involving people directly affected by a project. Proponents
of projects shall initiate the conduct of public consultation to ensure that the concerns of the
public are fully integrated into the EIA process.

A. Aims of Public Consultations

Consultations are always aimed at the public in general and the following
stakeholders in particular:
 all citizen who will be directly or indirectly affected by the proposed project
 Specific groups of people, who are highly vulnerable to the impacts of the project
because of certain sensitivity such as indigenous cultural communities, women,
and other vulnerable groups.

B. Procedures for Public Consultation

The procedure for conducting a public consultation is similar to that of a public

hearing -- except that a public hearing is a formal process whereas public
consultation does not have any mandated formats and can be informal. There are no
specific guidelines on how the public consultation is to be conducted but the following
criteria are, however, good points to consider:

1. Pre-consultation
The following steps must be initiated or implemented prior to any public consultation
activities:
 Identification of potential stakeholders
 Adequate announcement or invitation of relevant member of the public
 Democratic agreement on procedures and guidelines for consultation
 Preparation of appropriate audio-visual materials.
 Adequate preparation for physical, technical, and logistical arrangements
 Designation of an acceptable facilitator for the consultation

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The selection of venue, schedule and manner of handling the consultation must take
due consideration of local culture and lifestyle. In particular, the venue must be seen
as a neutral ground – a place which is not identified or associated with parties who
are in favor of or object to the project.

2. Public Consultation Proper

Most public consultations often take the form of a large public meeting, held in or
near the project area, which is moderated by a facilitator who is responsible for
ensuring that all legitimate participants have the opportunity to speak freely. The
facilitator, as much as practical, should be a unbiased person acceptable to all
parties. Public consultation, as a general rule, is proponent-driven. The presence of
DENR-EMB in the public consultations is primarily for the purpose of documenting
the process as part of the review process.
The time allocated to participants, the order in which they speak, and the form their
statements may take should be non-discriminatory. The time allocated to DENR
representative/s, the project proponent and EIA preparers should be limited and
defined so as not to limit the time allotted for public participation.
The facilitator of the consultation should be able to manage interaction among local,
outside groups, and various categories of stakeholders. Issues and concerns raised,
articulated interests and specific agreements should be summarized at the end of the
consultation period. Finally, the process of public consultation should be properly
documented.

5.4 Public Hearing

A public hearing is a formal process that is initiated, planned and conducted by the DENR. It
is designed to promote dialogue or communication between and among the project
proponent, the DENR and the public for the purpose of exchanging information and views. It
provides a forum for the proponent and the DENR to understand community values or needs
and appropriately respond to them. Further, it serves as a venue to test alternative options
for resolution of issues or conflicts.

A. Decision Criteria for Requiring the Conduct of a Public Hearing

The DENR, upon recommendation of the EIARC, shall hold public hearings for
projects requiring an EIS whenever:
 the magnitude of the project is such that a great number of people are affected;
 there is mounting public opposition against the proposed project; or
 there is a written request for the conduct of such public hearing from any of the
stakeholders.

When submissions on proofs of social acceptability are lacking or inadequate,

public hearing becomes mandatory. If no public hearing is held despite such
lack or inadequacy of proof of social acceptability, the EIARC must strongly
justify why no public hearing was required.

It should be noted that the Public Hearing is not the appropriate venue to ensure that
the findings of the EIA study had been communicated to the stakeholders. The
communication by the preparers or proponents of the EIA study highlights should

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have been completed before the submission of the EIS. The processes, methods
and proofs of the “feedback to the stakeholders” should be described in the Process
Document. As such, the conduct of Public Hearing with the primary aim of
communicating the EIA results to the stakeholders is not a sufficient basis to require
a public hearing.

B. Conduct of a Public Hearing

The DENR shall conduct public hearing with the assistance of the proponent and
preparer. The Public Hearing shall be scheduled by the DENR and the proponent in
consultation with other key stakeholders. All public hearings shall be summary in
nature and shall not strictly adhere to the technical rules of evidence.
Public hearings shall be open, without the need for a formal invitation, to all
interested groups with valid concerns about the proposed project.

1. Technical Requirements

Selection of a Public Hearing Venue

The determination of the venue for the public hearing is a critical element of the
entire process. It can pre-determine or prejudiced the success or failure of the
exercise. As such, utmost care must be exerted to select the most optimum venue.
The DENR-EMB office concerned, in coordination with the EIS preparers, shall
determine the venue for the public hearing. The venue must be neutral, i.e., it is not
identified or associated with a party who is in favor of or against the project. Further,
the venue must not be conducted in a government location (e.g., office, conference
hall) of a government unit or agency that has regulatory control, jurisdiction or
interest over the project. For example, municipal halls are not ideal venue inasmuch
as the proponent has to secure endorsements or permits from the LGU. Also, the
LGU may be identified or perceived to be supportive of or against the project. The
selection of a private venue, on the other hand, does not guarantee neutrality. The
same degree of care must be exerted in selecting private venues (e.g., hotel).

Designation of a Hearing Officer

The EMB Director or DENR-EMB RD shall designate a hearing officer with the
following qualifications:
 of known probity and independence;
 familiarity with rules and procedures in the conduct of public hearings;
 skill in effective dispute and conflict resolution; and
 sensitivity to the need for social acceptability and public participation in the EIA
process.
A hearing officer need not be a lawyer nor a DENR personnel. A professional
moderator/facilitator who possesses the necessary qualifications may be designated
as hearing officer.

Powers and Duties of a Hearing Officer

 A hearing officer shall have the power and authority to conduct the proceeding
with the aim of eliciting information and facts to support the substantive review of
the EIARC.

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 A hearing officer shall ensure that all participants are given the opportunity to be
heard and to ventilate their positions/concerns regarding the project.
Furthermore, the public hearing officer should ensure that these concerns are
adequately discussed.
 A hearing officer shall endeavor to identify options for possible resolution of
issues and conflicts
 He shall submit a report of the proceedings to the EIARC within 10 days after the
hearing.
He may also be called upon by the EIARC to give a verbal report even prior to the
submission of the formal report for purposes of facilitating the review process. The
report shall be an assessment of issues discussed or events that transpired during
the public hearing, and the findings or recommendation of the public hearing officer.
To facilitate the preparation of the report, the hearing officer may require the
proponent/preparers to engage the services of a stenographer (or equivalent) to
prepare the transcript of the session.

2. Pre-Public Hearing
In coordination with DENR, the proponent at its own expense shall cause the
publication of a notice of public hearing once a week for two (2) consecutive weeks in
any newspaper of general circulation with the second publication undertaken at least
15 days prior to the scheduled hearing. For example, the notices are published for
two consecutive Wednesdays with the hearing conducted 15 days after the second
publication.
Notices shall likewise be posted in conspicuous places in the municipality and
barangay where the project is proposed to be located at least 15 days prior to the
scheduled hearing. Announcements of hearing may also utilize popular forms, e.g.,
radio, public address system, posters, Sunday mass or service. The proponent shall
shoulder the expenses incurred for such notices.
When the stakeholders do not have access to the usual means of communication,
the proponent must utilize other forms of information dissemination such as radio,
distribution of flyers, publication in local newspaper/s, etc.
The announcement of public hearing shall conform to DENR approved format. The

Notice-publication of Public Hearing (format and text) must have prior written
approval of EMB or DENR RO.

notice should encourage early registration of participants and submission of position

paper/s. These position papers may be formulated by interested parties (e.g.,
academe, NGOs/POs, LGUs, etc.) in support or in opposition relative to certain
issues or components of the project.

The selection of venue, schedule and manner of handling the Public Hearing
must take due consideration of local culture and lifestyle.

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The proponent should insure the attendance of stakeholders. The success of a

public hearing is gauged in part by how well the different sectors are represented.

In order to insure maximum participation, proponents of projects located in

the region must also publish the Notice of Public Hearing in a regional or local
newspaper of general circulation in the project area. Also, Notice of the
Public Hearing should be provided in non-written means such as radio, etc.
especially if stakeholders who have no access to written means of information
have been identified.

3. Public Hearing Proper

Matters to be Discussed in a Public Hearing

The hearing, as much as practical and possible, may deal with any or a combination
of the following themes:
 the proponent, especially their responsibilities to the community;
 the project, including its elements or components, its implementation and related
development;
 the elements and features of the environment likely to be affected by the project;
 the impact, as identified and assessed;
 the option, as studied and evaluated;
 monitoring, follow-up, enhancement, and mitigating measures;
 negotiated settlements or compensations
 assurances and guarantees for compliance to the environmental management
plan
Procedures of the EIA review process and grounds for appeals may also be
discussed during the hearing to inform the stakeholders about their rights.

Conducting a Public Hearing

 Set the proper tone for the public hearing
This can be done by singing the national anthem and delivering an invocation.
An opening remark may also be given to provide a briefing and orientation on the
purpose of the public hearing, the EIS System, and other such relevant
information.
 The Hearing Officer explains the rules governing the conduct of the public
hearing.
Examples of rules that should be emphasized include, among others, the
following:
 comments should be based on correct and updated information
 discussions should be directly relevant to the issue at hand
 comments should be made on behalf of public interest not personal interest
 proper decorum (ex. no cat calls, no booing)
 The first part shall be the presentation of all information or facts regarding the
project and the result of the EIA.

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The presentations should be comprehensive and should be clearly

communicated in the language that would be easily understood by the public. An
interpreter should be readily available in case some aspects of the information
need to be translated in the local dialect.
There should be no interruption during the presentations except for clarification.
 The second part of the public hearing should be devoted to entertaining
questions, comments, reactions, and ideas.
During this part of the public hearing, the hearing officer should insure that
heated or emotional debates and arguments are avoided. The opportunity to
ventilate valid issues and concerns should be maximized.
This process should be well managed to maximize participation and get a
balanced view of those who are for and against the project. To the extent
possible, there must be full representation across the broad sectors of the various
stakeholders or interest groups. As much as possible before the start of the public
hearing, the following should be determined:
 How should speakers be chosen? One for (pro) followed by one against
(con) the project?
 Do we require registration of speakers for and in behalf of certain groups?
 Do we require written comments? What if stakeholders like indigenous
groups cannot write?
Participants may ask questions about specific points in the impact study. They
may raise new points. In some cases, they may take the liberty of assessing the
content of the impact study, challenging the data, the methodology, or even the
interpretation of the data. They may also interpret or re-interpret the results of the
proponent's analysis. Finally, they may go well beyond the content of the impact
study, introducing new information and assessments.
Resource persons may be invited to present technical information or shed light on
certain issues. However, it is the responsibility of the proponent and preparer to
make available the EIA team to answer questions or issues raised during the
hearing.
Assessing the Validity of an Issue Raised
In the conduct of an EIS, there are many issues or concerns that can
surface. One should be able to distinguish between a valid
issue/concern from that which is largely politically motivated or
personal in nature. To assess the validity and legitimacy of an issue
raised, the following guide questions should be answered:
o Are the issues or concerns raised based on correct and updated
information?
o Are these issues or concerns directly relevant to the project being
assessed?
o What are the motivations of those who raised these issues, public
interests or personal interests?
The facilitator should be sensitive to the socio-cultural dynamics of the project
area to be able to assess and determine valid issues and accordingly deal with
them properly during the process.
 Summarize issues/concerns/impacts raised by the public and response of the
proponent.

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All the issues and concerns raised and discussed should be synthesized by the
Hearing Officer and presented to the public for validation. The synthesis shall
include the summary of agreements, commitments, assurances and guarantees
of the proponent on relocation and appropriate compensation of displaced
population and other affected parties.

4. Post-Public Hearing
The proponent must carefully document (in audio and preferably in videotape form)
all public hearings. Such documentation shall be submitted to the Hearing Officer
who shall validate and carefully analyze the process and results. The process
documentation and relevant attachments (transcripts, proceedings, videotapes, etc)
shall be submitted by the proponent within five (5) working days to the EIARC, copy
furnished the public hearing officer.
The process documentation shall include the following:
 list of directory of participants
 the issues, concerns, interests raised or addressed during the public hearing.
 the sequence of significant activities undertaken or issues addressed
 the process by which agreements or resolutions were arrived at
 the stakeholders and key players who most actively participated, those who were
present but were quiet, those who were not represented
 the outcome of the activity or undertaking
As a rule, the EIARC shall prescribed the appropriate feedback mechanism/s (e.g.,
manner of providing copies of the documentation) for those who demand it and those
deemed by the EIARC as needing it.

C. Public Hearing Report

The Public Hearing Officer shall submit a Public Hearing Report within ten (10)
working days to the EIARC. The Public Hearing Report shall have the following
formats and/or contents:
 Project Background – project description, location, implementation schedule and
other details as presented during the public hearing.
 Public Hearing Proceedings – administrative arrangements (e.g., background on
why public hearing was required, schedules and actual time utilized, venues,
logistical supports provided, etc.), summary/list of participants, and general
assessment of the conduct of the public hearing.
 Summary of Issues and Discussions – a summary (with annotation or reference
to the detailed transcriptions, if necessary) of issues and concerns raised during
the public hearing, the parties concerned (the one who raised the issue and the
responding party), resolution/s or agreement/s.
 Recommendations and Conclusions – findings, recommendations and/or
conclusions of the Public Hearing Officer especially with regard to the issues or
concerns raised by the stakeholders AND assessment or determination if the
basis or reasons why a public hearing was required had been resolved.
Essentially, the report is an assessment of issues discussed or events that transpired
during the public hearing, and the findings or recommendation of the officer. The PH

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Officer may also be called upon by the EIARC to give a verbal report even prior to
the submission of the formal report for purposes of facilitating the review process.

6. Social Acceptability
Social acceptability is the result of a process that is mutually agreed upon by the DENR,
the stakeholders and the proponent to ensure that the concerns of stakeholders,
including affected communities, are fully considered and/or resolved in the decision-
making process for granting or denying the issuance of an ECC. It also means the
proponent is able to address all of the relevant and valid issues and match them with
corresponding mitigative or enhancement measures together with the provision of adequate
resources to implement the measures and the corresponding agreements and guarantees
for the fulfillment of such measures.
At the conceptual level, the determination of social acceptability cannot be separated or
made distinct from the overall assessment. As such, the guiding framework of DENR is to
determine the appropriate balance between socio-economic development and environmental
protection. In such determination, the DENR shall consider, among others, the following
factors:
 ecological/environmental soundness of the proposed project;
 effective implementation of the public participation process;
 promotion of social and intergenerational equity and poverty alleviation;
 effective environmental monitoring and evaluation; and
 proposed mitigation and enhancement measures.
It should be noted that the determination of social acceptability must be undertaken in the
wider perspective of social impact assessment. While social acceptability is oftentimes
equated with project acceptability, distinctions must be made between social acceptability (in
the technical sense) and the wider aspects of overall project acceptability. Acceptability of
the project, with its concomitant impacts, is not social acceptability. Neither is social
acceptability to be considered as project acceptability.
In the spirit of the 1992 Kuala Lampur Declaration of the ASEAN, the Philippine EIA system
has to be as compatible as possible with the practice within the international community of
EIA practitioners. Public participation, while the most important consideration, is certainly
not the exclusive consideration in an SIA.
While acceptability of the environmental impact of a project or undertaking can be
determined through meaningful public participation and a transparent EIS process, the
approach is certainly not the exclusive consideration in the framework of social impact
assessment. Furthermore, the determination of social acceptability by DENR is not intended
to imply that all stakeholders have found the proposed project acceptable, but rather, that
the proponent underwent or complied with all processes in good faith. It should be noted
that social acceptability can be achieved through the following:
 informed decision-making;
 agreement on process of decision-making through appropriate means;
 empowerment of stakeholders to decide for themselves; and
 acceptance and understanding of issues by those who are directly affected by the
project.

Endorsement by Local Government Units of the proposed project/s is not

equivalent to Social Acceptability. It is only one of the key indicators of social
acceptability. The failure to obtain an LGU endorsement does not
automatically imply the lack/absence of social acceptability for the project.
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6.1 Criteria of Social Acceptability

In determining social acceptability and overall project acceptability, the DENR shall base its
evaluation on certain parameters. These parameters assumed that social impact
assessment (among other studies) had been properly undertaken. The criteria are:
 The project should be consistent with plans/programs and policies of the national,
regional and local authorities.
 The project should be able to contribute to the government‟s effort in promoting social
equity such that the social benefits outweigh the social cost.
 The project should be able to provide gainful employment and alternative sources of
livelihood.
 The project should involve women and vulnerable groups (physically handicapped,
youth, etc.).

6.2 Determination of Social Acceptability

All interested parties are considered stakeholders. Nonetheless, only the

people/communities within the primary impact zone/s of the project would be given the
highest considerations in the evaluation of social acceptability since they would be the
groups most likely to be affected by the project.

In the determination of social and project acceptability, the criteria discussed

in this section must be considered within the framework that other
government units has primary jurisdiction over issues and concerns that are
within their respective mandates. As such, issues or concerns that are
primarily and clearly the mandate of another government agency must be
resolved by that agency. For example, a health issue or concern must be
resolved by DOH. Likewise, dealing with issues or concerns on volcanology
or earthquate is the primary mandate of PHIVOLCS.

The principle of striking a balance between socio-economic development and environment

protection shall guide DENR in determining the overall and social acceptability of a proposed
project. As such, the determination of social acceptability compels the consideration of a
broad spectrum of environmental factors and equity issues among which are the following:

A. Ecological and environmental soundness of the proposed project.

Examples of proofs that this has been met by the proponent can include:
 Risk Management Plan, if applicable
 an Environmental Management Plan with the commitment of the proponent to
implement the proposed measures
 a municipal, barangay or provincial resolution endorsing the project
 endorsement letters from the local NGOs and POs
 a signed contract between the proponent and project contractor(s) incorporating
all the mitigating and enhancement measures in the TOR or scope of work of the
contractor(s)
 a list of detailed specifications of raw materials and equipment to be used in the
project from the different suppliers showing that these are made of environment

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friendly processes and substances. An example of this would be a certificate

from the supplier of the fuel to be used regarding low sulfur content of the fuel.

B. Effective implementation of the public participation process.

Examples of proof include:

 scoping report that has been signed by all key parties and stakeholders‟
representatives
 matrix showing the manner of inclusion of the comments and suggestions of
stakeholders in the various aspects of the EIA
 letters of stakeholders signifying interest to participate in the monitoring of the
project and/or implementation of the Environmental Management Plan;
 report of the Hearing Officer during the public hearing;
On the issue of indigenous cultural communities and their ancestral lands, social
acceptability may be determined by prior informed consent obtained from the
concerned indigenous cultural group for the utilization of their ancestral land. In the
case of mining permits or agreements in areas claimed as ancestral, Section 16,
paragraph 2 of the Philippine Mining Act of 1995 specifically provides:
“Prior consent refers to prior informed consent obtained, as far as
practicable, in accordance with the customary laws of the concerned
Indigenous Cultural Community. Prior informed consent should meet
the minimum requirements of public notice through various media
such as, but not limited to, newspaper, radio or television
advertisements, fully disclosing the activity to be undertaken and/or
sector consultations wherein the Contractor/Permit Holder/Permittee
should arrange for a community assembly, notice of which should be
announced or posted in a conspicuous place in the area for at least a
month before the assembly: Provided, that the process of arriving at
an informed consent should be free from fraud, external influence and
manipulations.”
On the other hand, Section 3(g) of Republic Act No. 8571, The Indigenous People‟s
Rights Act (IPRA) of 1997, provides for the following:
Free and Prior Informed Consent is: “the consensus of all members of
the ICCs/IPs to be determined in accordance with their respective
customary laws and practices, free from any external manipulation,
influence and coercion, and obtained after fully disclosing the intent
and scope of the activity, in a language and process understandable
to the community.”

C. Resolution of conflicts

Resolution of conflict is not a primary responsibility of DENR – in particular, it is the

LGU that is mandated for this function under the Local Gov ernment Code. However,
DENR may assist the parties to undertake conflict resolution activities especially on
environmental issues or concerns. The assistance may range from acting as
mediator to facilitating the process. The proponent, with the agreement of parties
concerned, may also engage the services of a third party to serve as mediator or
facilitator. (See Annex L for more details on the Conflict Resolution Process)

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It is recognized that certain disputes or conflicts may not be resolved to the

satisfaction of all parties concerned. In this case, Process Documentation
(PD) is very important in providing insights or analysis of activities
undertaken. The PD should discuss the efforts exerted by the proponent in
trying to resolve conflicts or disputes.

Examples of proof include:

 Memorandum of Understanding between the disputing or conflicting parties;
 Negotiated agreements on conflicts should be firmed up through a MOA between
the proponent, the DENR, LGU and legitimate stakeholders.
 Resettlement and Compensation Plan, if applicable;
 Social Development Program, if applicable

D. Promotion of social and intergenerational equity and poverty alleviation

The project should promote social equity and answer the following questions:
 How could the benefits and burdens of the project be distributed among the
different groups and classes of people affected?
 How could the project benefits be distributed more effectively among the poorer
people in the intended beneficiary population?
 What might be done to lessen the burdens on project victims or benefactors,
especially poor people?
 Gainful employment and alternative sources of livelihood should be provided
particularly when vast tracts of agricultural lands and/or fisheries are affected due
to project operation.
 Livelihood programs/projects should also involved women and other vulnerable
groups.
 Proposed mitigation measures for adverse impacts on people should be
highlighted together with measures for the enhancement of positive impacts.
 Formulation or development of an appropriate/adequate compensation scheme
for resettled households that is mutually agreed-upon.
 The project should respect and preserve the aesthetic value and cultural heritage
of affected communities.
Examples of proof include:
 endorsement letters from the local NGOs and POs;
 a municipal and barangay resolution endorsing the project;
 Environmental Management and Monitoring Plan which includes a Social
Development Program, Compensation and Resettlement Plan, etc. that is signed
by the proponent agreeing to implement all the proposed measures and to
strictly abide by them
 Community Relations Record for those companies which have past experiences

The processes employed in the conduct of the EIA will determine the social
acceptability of a project or undertaking. This will be largely evaluated on the
basis of the process documentation report, which forms part of the EIS report.

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such as the case of mining firms.

Community Relations Records as defined in Section 5 of the Mining Act refers to

the applicant‟s proof of its community relations which may consist, but not limited
to, socio-cultural sensitivity, the character of its past relations with local
communities, cultural appropriateness, and social acceptability of its resource
management strategies.

6.3 Process Documentation Report

The process documentation is a detailed description and analysis of the different activities
undertaken during the course of the study. The EIA process documentation has the following
purposes:
 To accurately describe the following:
 stakeholders‟ participation
 the process by which specific issues, concerns, and interests are articulated,
addressed or resolved
 the sequence of significant activities undertaken or issues addressed
 the process by which agreements or resolutions were arrived at and how
disagreements or conflicts evolved, the dynamics involved, the rationale or motives
(both latent and expressed)
 the stakeholders and key players who most actively participated, those who were
present but were quiet and those who were not represented
 the outcome of the activity or undertaking
 To analyze significant questions, concerns and issues as articulated and addressed in
different stages of the EIA study. The analysis is a distillation of the process as
documented embedding this in the micro and macro context of the project whose
impacts are being assessed.
 To serve as a tool for decision-making in EIA, specifically in determining the extent of
public participation and social acceptability of the project.
Process documentation captures the processes of the entire EIA study such as scoping,
public consultations, public hearings and dispute/conflict management. Discriminating
judgment must be exercised by the proponent to determine the scope or extent of the
process documentation taking into consideration the intended use for the report, the
capability to undertake the documentation and the costs entailed.
A person specifically trained for the purpose serves as process documentor. The person
either works alone or as part of a team, usually under the supervision of a social scientist.

The process documentation report provides the key basis for evaluating the
social acceptability of a project. By providing a thorough account and
analysis of the processes that took place, the EIA Reviewer will be able to
evaluate the dynamics that affect decisions of various stakeholders for and
against the project. This input is critical in cases where there are unresolved
issues or concerns. The process documentation is also helpful to the EIA
Reviewer in cases where proofs of SA are/is inadequate. For example, the
PD can discuss the reason(s) why the proponent is not able to get the
barangay endorsement.

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7. Monitoring Protocols
This Section discusses the requirements and procedures that shall be applied by DENR-
EMB in monitoring compliance to the Philippine EIS System including the guidelines to cover
post-ECC activities such as establishment and operationalization of environmental
monitoring fund, environmental guarantee fund, and multi-partite monitoring team among
others.
Additional guidelines are currently being developed under the World Bank Assisted
Strengthening of the Environmental Performance Monitoring and Evaluation System of the
Philippine EIS System (SEPMES-PEIS) Project which will contain more details and technical
guidance.

7.1 Objectives of Monitoring

The primary purpose of monitoring is to ensure the judicious implementation of sound

environmental management within a company/corporation and its areas of operation.
Specifically, it aims to:
 monitor project compliance with the conditions set in the ECC;
 monitor compliance with the Environmental Management Plan (EMP) and with applicable
laws, rules and regulations; and
 provide a basis for timely decision-making and effective planning and management of
environmental measures through the monitoring of actual project impacts vis-a-vis the
predicted impacts in the EIS or IEE.

7.2 Scope/Coverage of Monitoring under the Philippine EIS System

All projects covered by the Philippine EIS System and issued ECCs are subject to periodic
monitoring by the DENR, i.e., compliance and impact monitoring in accordance with
established procedures and protocols. Within the framework of the Philippine EIS System,
the responsibilities of monitoring projects are lodged with the EMB regional offices. The
EMB central office shall provide policy guidance and, if necessary, technical assistance to
the units concerned.

Projects that were issued ECCs but categorized as Non-Covered under this
Manual may seek relief from ECC commitments using the procedures
outlined in Section 8.
The approval of the relief from ECC commitments shall only be granted by
DENR-EMB if the proponent has no accountabilities (e.g., all requirement
reports have been submitted).

As a minimum requirement in compliance monitoring, DENR-EMB shall focus on the

following:
 status of proponent‟s delivery of commitment made in its EMP (or, in the case of IEE
Report, the Summary Matrix of Impacts.)
 effectiveness of the committed EMP in mitigating project‟s environmental impacts
 meeting the terms and conditions of the ECC
Although the ECC contains specific conditionality related to compliance with environmental
laws, rules and regulations other than PD 1586 and its IRRs, the compliance status of this

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conditionality shall be the primary responsibility of the division/unit concerned (e.g.,

compliance with water quality criteria shall be the domain of the EQD).
EIS System monitoring can be done through various appropriate approaches such as desk
review of documents (e.g., SMR), field assessment and validation, and if applicable, third
party audits.

7.3 Monitoring Protocol

Although DENR-EMB has the primary mandate of monitoring under the Philippine EIS
System, the other stakeholders (e.g., proponent) has equally significant role in the
monitoring system. DENR has always recognized the vital contribution of proponents and
other stakeholders. As articulated in recent issuances, DENR encourages voluntary and
self-regulation as well as promotes self-monitoring and compliance with environmental
standards among establishments.
The succeeding sections discuss the various mode of compliance monitoring depending on
the characteristics of the project or facility.

A. Compliance Monitoring by EMB

DENR-EMB, with its overall mandate to implement the Philippine EIS System, is the
responsible agency that shall ensure that the monitoring objectives are achieved. Principles
of efficient planning and management dictate that DENR-EMB utilize a variety of monitoring
strategy (e.g., desk monitoring, field validation). The frequency of monitoring activities shall
depend on the characteristics of the project/s. Supplementary guideline on this is being
developed under the World Bank assisted Strengthening the Environmental Performance
Monitoring and Evaluation System under the Philippine EIS System (SEPMES-PEIS)
Project.
At the institutional level, monitoring of compliance with the ECC conditions as well as
applicable laws, rules and regulations, shall be undertaken by the concerned EMB Regional
Office with support from the EMB Central Office whenever necessary.
All projects covered by the EIS System and issued ECCs are subject to periodic monitoring
by the EMB, i.e., compliance and impact monitoring, in accordance with established
procedures and protocols. The conduct of monitoring starts once an ECC is issued to a
project.
Within the context of the Philippine EIS System, compliance monitoring is focused on the
status of proponent‟s delivery of commitment made in its EMP and meeting the terms and
conditions of the ECC. As stated, even though the ECC contains specific conditionality
related to compliance with environmental laws, rules and regulations other than PD 1586
and its IRRs, the compliance status of this conditionality/s shall be the primary responsibility
of the division/unit concerned (e.g., compliance with water quality criteria shall be the domain
of the EQD). Violations or exceedances as reported to or received by other units shall be
referred to the appropriate office/unit of DENR such as EQD for PD 984, RA 6969 and RA
8749 (please see related details in the next section, Complaint Management by EMB).
The entire compliance monitoring scheme of DENR is anchored on four major strategies:
desk review of documents (e.g., SMR) by EMB, field assessment and validation by EMB,
monitoring by MMT, and if applicable, monitoring and validation by third party auditors.

B. Self-Monitoring by Establishments

Project proponents are primarily responsible for meeting the commitments made in their
EMP as well as meeting the terms and conditions of the ECC. As part of their corporate

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and/or individual obligations, the proponent shall conduct regular self-monitoring and submit
the requisite reports (i.e., Self Monitoring Report or SMR) to DENR-EMB. A separate
Procedural and Reference Manual for the preparation and submission of SMRs was issued
in August 2003 through EMB Memorandum Circular 2003-08.
Under the enhanced public-private partnership concept of DENR, DAO 2003-14 provides
that additional self-monitoring activities may be carried out by the Industry Association
depending on the provisions of the Environmental Consent Agreement (ECONA) signed with
DENR-EMB. It should be noted that the requirement for submission of SMR under DAO
2003-27 is independent of the requirements of ECONA. For more details, please consult the
appropriate guidelines as may be issued by DENR-EMB.

C. Monitoring by Third Party Auditors

The services of Third Party Auditor/s, within the context of the Philippine EIS System, are
needed in the following situations:
 In compliance with the provisions of a signed ECONA with DENR-EMB.
 For projects with ECC issued based on a PEPRMP or EPRMP (regardless of
categorization)
 As an alternative to MMT for projects that are not classified as Category A.
Within the framework of the Philippine EIS System, third party auditors are independent
service providers who are accredited by the appropriate government agency and engaged
by an establishment to conduct an environmental audit.
On the other hand, an environmental audit is defined as a systematic and documented
verification process of objectively obtaining and evaluating evidence to determine whether
the environmental performances of the establishment conform or comply with its
commitments in the EMP, EIS and other related documents. The audit should also cover the
establishment‟s due diligence in preventing, detecting and correcting violations.
A proponent whose ECC requires the formation or establishment of an MMT may opt to use
third party auditors as an alternative to an MMT if the project concerned is not classified as
Category A. The parameters and guidelines for determining whether a third party auditor is
a suitable alternative to an MMT are as follows:
 Upon receipt of the ECC, a proponent shall prepare and submit a letter-request to
DENR-EMB to use the services of a third party auditor instead of establishing an MMT.
 The evaluation by DENR-EMB for determining whether a third party auditor is a suitable
alternative to an MMT shall be guided by the following criteria and parameters:
 The project is not classified as Category A.
 Social acceptability is deemed as fair to excellent (i.e., no significant opposition to the
project).
 The absence of an integrated MMT in the area (see next section for more details on
integrated MMT).
 Within fifteen (15) working days of receipt of the letter-request, the DENR-EMB office
concerned shall inform the proponent of its decision. The formal letter of approval shall
be sufficient documentary evidence that the relevant provisions of the ECC have been
duly amended. In the absence of any action/s or decision/s from DENR-EMB, the letter-
request is deemed to have been approved.

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D. Monitoring by MMT

For projects classified as Category A, a MMT shall be formed immediately after the
issuance of ECC. Certain Category B projects may also be required to form MMT.
Proponents required to establish an MMT shall put up the corresponding Environmental
Monitoring Fund (EMF) not later than the initial construction phase of the project.

The establishment and operations of MMT for mining facilities shall be in

accordance with the provisions of the Memorandum of Agreement between
EMB and MGB on the harmonization of the requirements of the Philippine EIS
System and the Philippine Mining Act.
The success of an MMT is determined by the active involvement and participation of team
members which is essentially the core of multipartite monitoring. Their cooperation and
commitment determine the effectiveness of the monitoring process. On the other hand, the
credibility of the monitoring results, the objectivity of the findings and the effectiveness of the
recommendations strongly depends on the perceived transparency and technical quality of
the whole process.
The purposes for organizing the MMT are to encourage public participation, greater
stakeholders‟ vigilance and provide appropriate check and balance mechanisms in the
monitoring of project implementation. The MMT also serves as the focal group to handle
complaints from stakeholders at the local level.
It should be noted that MMT may be time bound, or have a specific term of office which is
not of the same length as the project life (for example, MMT will only be organized for the
construction phase).
As a general rule, the MMT shall be composed of representatives of DENR, the proponent
and of stakeholders groups, including representatives from concerned LGUs, locally
accredited NGOs/POs, the community, concerned EMB Regional Office, relevant
government agencies, and other sectors that may be identified during the negotiation. The
team shall be tasked to undertake monitoring of compliance with ECC conditions as well as
the EMP.

It should be noted, however, that DENR does not in any way delegate its
authority or devolve its monitoring function to the MMT. The MMT‟s report
shall be the basis of the DENR‟s action without prejudice to DENR‟s
undertaking a validation of the events covered or leading to the issuance of
the MMT Report.
In the same manner, the hiring of consultants or other similar activities by the
MMT does not imply in any way the delegation of its functions, responsibilities
or accountabilities.

1. Functions of the MMT

The MMT shall:
 Monitor project compliance with the conditions stipulated in the ECC and
commitments made in the EMP by:

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o Reviewing and validating proponent‟s SMR and other reports (e.g., third party
audits) and submits compliance monitoring and validation report to DENR-
EMB
o Preparing, integrating, and disseminating simplified monitoring reports and
recommendations to the DENR
o Validating the implementation of IEC, SDP and other programs
o Interfacing with proponent, third party auditors and other parties, or engage
the services of other expects as deemed necessary
o Initiating popularization of M&E results for community consumption
 Prepare the MMT Manual of Operations (MOO), Work and Financial Plan, and
other plans/reports based on the proponent‟s EMP;
 Institutionalizes best practice for EMF management and administration; and
 Receive complaints/requests from the public-at-large for transmittal to the
proponent and the DENR-EMB and be able to recommend immediate measures
against the complaint.

2. Steps in Establishing the MMT

 The proponent, in coordination with the DENR-EMB RO concerned, organizes an
MMT Executive Committee (MMT EC) prior to project construction and/or
implementation. The MMT EC shall then organize the MMT. For projects with
Programmatic ECC, a representative of DENR-EMB central office shall be
designated.
As a general rule, the number of sectoral representatives (e.g., sectoral
representative/s, NGO/PO, etc.) shall be determined by consensus by all
stakeholders. In the event of failure to agree on the number of representatives
per sector, the MMT EC shall prescribe the number of representatives per sector.
 An MMT meeting shall then be convened to finalize an annual work and financial
plan based on the approved environmental monitoring plan and fund, and the
approved Memorandum of Agreement based on the ECC conditions. The first
meeting of the entire MMT shall not be later than one (1) month after
commencement of project construction and/or implementation.
 Once finalized, annual plans and budget shall be affirmed or approved by the
DENR-EMB RD. The first annual environmental monitoring plan and budget shall
be forwarded to EMB CO or DENR RO, as the case may be.
 After the approval of the above-cited documents, the MMT shall establish the
monitoring fund and implement the monitoring based on the approved guidelines.
 The MMT shall submit a semi-annual report to the DENR-EMB RO. Special
reports or documents shall be prepared and submitted by the MMT to the DENR-
EMB RO as may be necessary or appropriate.
For projects whose significant environmental impacts do not persist after the
construction phase or whose impacts could be addressed through other regulatory
means or through the mandates of other government agencies, the MMT may be
terminated or disbanded immediately after construction or after a reasonable period
during implementation.

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3. Composition of the MMT

The EMB, in coordination with the proponent, shall organize, nurture and capacitate
the MMT to enable it to function as an autonomous environmental monitoring partner.
With due consideration to the nature and location of the project, the following are
proposed as members of the MMT:
 DENR-EMB
 Project proponent
 LGU/s
 Directly affected vulnerable/marginalized groups (e.g., women, youth, indigenous
people, farmers and fisherfolk) as may be represented by local POs or NGOs
 Other GAs
 Others as identified during the scoping process
Scoping documents often reveal the anxiety of stakeholder groups that are not
recognized as an official body. It is best that these groups be legitimized prior to
finalizing membership to the MMT to avoid later questions as to why they were not
included at the onset as stakeholders and later as MMT member.

MMT Executive Committee

The MMT EC shall be composed of representatives of:
 DENR-EMB
 LGU official or designated representative
 Project Proponent
As a general rule, the DENR-EMB Regional Director shall serve as the Chair of the
MMT EC. In some cases, the provisions of the MOA on the establishment of the
MMT may specify the procedures for the selection of MMT Chair. The selection of
non-DENR persons as chair of the MMT shall require prior concurrence of the
DENR-EMB RD concerned. To assist the MMT EC, a secretariat may be
appointed/designated by the Chair.

MMT Sectoral Team

Depending on the scale or magnitude of the project, sectoral team/s may be
organized composed but not limited to the following members:
 DENR-EMB representative/s
 Representative of LGU/s at the local level (preferably, barangay)
 Directly affected vulnerable/marginalized groups who may be represented by
local NGOs/POs
 Concerned government agency/s
 Proponent representative
 Other sectors that may be identified during the negotiations.
The PENRO and/or CENRO may be designated as the DENR-EMB representative/s
with written authorization by the DENR-EMB RD concerned.

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4. Criteria for MMT Selection

Membership in the MMT is an important consideration in Participatory Monitoring
work. While expansive representation in the team appears proper, team composition
should not override the immediate concerns in team management. To avoid pitfalls,
the various parties must agree on a set of selection criteria that will meet the
minimum requirements in forming the MMT.
Members (in addition to DENR, the proponent and LGU) chosen for a Multipartite
Monitoring Team must:
 Be able to regularly attend meetings, orientations/training, and actual monitoring
and reporting activities;
 Be duly nominated by a concerned party or sector (e.g., local communities,
NGOs, academe, other GOs, including LGUs); and
 Other criteria mutually agreed upon.
It should be noted that MMT is a social mechanism to ensure stakeholder
participation within project-affected areas. As such, one important consideration in
the selection of MMT members must be residency. Local NGOs, especially those of
long standing and are locally based, shall have priority over other organizations that
are not based in the locality.
With regard to membership by other government agencies, the important criteria will
be the functions and jurisdiction of the agency concerned. Specifically, the selection
of membership shall be based on the most direct or significant environmental impacts
of the projects on activities or concerns of the agencies or organizations concerned.

5. Roles, Duties, and Responsibilities

The MMT, as a group (committee), shall have the requisite roles, duties and
responsibilities that are necessary to perform their functions as discussed in a
preceding section.

MMT Executive Committee

Without prejudice to any additional provisions in the MOA creating the MMT, the
functions of the MMT EC are as follows:
 Organize and supervise the activities of the MMT
 Review and approve the work and financial plan of the MMT
 Administer and manage the Environmental Monitoring Fund (EMF) and
Environmental Guarantee Fund (EGF), if applicable
 Resolve issues arising from its monitoring activities

MMT Secretariat
Likewise, without prejudice to the provisions in the MOA, the MMT Secretariat shall
have the following functions:
 Inform the MMT members of the schedule of meetings and monitoring activities of
the MMT
 Provide documentation of minutes of MMT meetings and monitoring results
including action items generated from the discussions
 Ensure the safekeeping of MMT documents, materials and properties.

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MMT Sectoral Team

The Sectoral Monitoring Team, in general, shall have the following functions:
 Organize and carry out the field monitoring activities of the MMT in their
respective area of jurisdiction based on the guidelines that will be adopted by the
MMT.
 Advice the entire MMT on the need for additional monitoring activities and/or
requirements to employ assistance of other relevant government Agencies and
other sectors to provide necessary expertise and participate in the actual
monitoring activity.

MMT Members
In general, the roles and responsibilities of individual MMT members are as follows:
 Suggest most effective (locally popular methods) means of disclosing information
to the rest of the community as well as receive feedback/complaints from other
community members.
 Initiate/attend meetings, community consultations, briefings and other activities or
forms of IEC dissemination to inform various publics of project activities and M&E
results
 Assist or facilitate in conflict resolution and complaints management.
 Be present or have a representative in all meetings and deliberations regarding
project development as initiated by either the proponent or the DENR-EMB.
 Help the community in understanding project activities and M&E results.
 Make available relevant data and information about the project and MMT
operations.
 Volunteer as resource persons to interpret to the community the implications of
M&E findings.
At the institutional level, the roles and responsibilities of the different sectors are as
follows:
 EMB Central Office - The DENR-EMB shall be responsible for taking the lead in
policy formulation, evaluation of monitoring results, resolution of issues where
consensus or decisions cannot be made at the regional level and the provision of
needed support for the operationalization of the MMT.
 EMB Regional Office - The DENR-EMB RO shall act as the lead agency in the
monitoring work and shall coordinate the MMT‟s activities to ensure an efficient
monitoring of the entire PROJECT. It shall take appropriate actions to resolve
issues/problems. Whenever necessary, it shall provide technical assistance and
participate in the activities of the MMT. Whenever necessary or appropriate, the
EMB RO may designate the DENR PENRO and/or CENRO as DENR-EMB
representative/s in the MMT.
 The proponent shall provide necessary budget/funds for the operationalization of
the MMT based on the Work and Financial Framework Plan/Program developed
by the MMT Execom through the mechanics of the EMF. Make available to the
MMT members all information relevant to the project to determine compliance
with the ECC to the extent that such information is not subject to any restrictions
and confidentiality. Co-ordinate with and allow the MMT members to inspect and
observe construction and operation activities of the PROJECT including the

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testing, calibration and operation of pollution control and in-house monitoring

equipment. Participate in actual monitoring activities.
 The Local Government Units shall participate in actual monitoring work. Advise
the MMT of any complaints, information or reports from LGUs concerning the
project, in order that remedial measures if warranted and feasible can be
undertaken.
 The NGO/PO and other stakeholder groups shall participate in actual monitoring
work, and concur with and/or sign the monitoring reports, or take exception to
them as the case may be. The representatives shall advise the MMT of any
complaints, information or reports from their respective constituencies concerning
the project, in order that remedial measures if warranted and feasible can be
undertaken.
 External Assistance/Expert who may be required from time to time to provide
necessary expertise and participate in the actual monitoring activity and concur
with and sign the monitoring reports.

6. Operationalizing the MMT

MMT Manual of Operations

The EMB shall prepare a generic Manual of Operations that shall guide the
operations of MMT. At the discretion of the MMT EC, the MMT may prepare a
separate Manual of Operations (MOO) which must include, though not limited to the
following salient features:
 Mission, Vision and Objectives
 General Functions and organization
 Membership, Selection and Criteria of MMT Members
 Activities and Guidelines

Activities and Guidelines to be Included in the Manual of Operations

The following shall be followed in formulating the MMT‟s activities and guidelines as
part of the MOO:
 Meetings
Meetings may be called upon by the MMT Chairman to be conducted on a
regular basis. However, other meetings may be called upon in case of
emergencies or special occasions and shall be considered special meetings.
Voting by Proxy – Proxy voting may be allowed to facilitate smooth flow of
elections or decision-making. Specific rulings on this process, however, should
be thoroughly discussed and strictly enforced.
Notice of Meeting – Notices may be sent using whatever media to inform
members of the specifics and nature of meetings. Timely issuance of notices
have to be strictly observed.
Quorum – Any decision or approval of the Committee shall require a majority
vote, provided there is a quorum. A quorum may require the presence of more
than half of the members (more than 50%), including, at all time the Chairman of
the MMT. A higher number may be prescribed and decided upon by the
members.
 Monitoring

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Periodic monitoring of project activities particularly as regards to covenants made

as embodied in the ECC and the EMP will be conducted and described in the
Manual of Operations.
Cases when the MMT may seek assistance of experts in its monitoring activities
have to be projected in this section with the understanding that the MMT shall not
be absolved of their responsibilities under the MOA.
 Information Dissemination
The manner by which information is disseminated outside the membership of the
MMT should be indicated in this section. Information types include (i) M&E
results, (ii) MMT activities, (iii) updates about the project, and (iv) DENR-EMB
messages. Information should be in simple form.
 Annual Planning Workshop
An annual planning workshop results in the enumeration of the project
activities/work that the MMT is slated to conduct for a regular working year.
Details indicate the rationale per activity/task, schedule, human resources
involved, logistics (administrative and other requirements) and financial
requirements.
The planning results are normally plotted in Ghantt chart form. The output is a
Work and Financial Plan submitted to the DENR-EMB and the proponent for
approval.
 Public Disclosure and Complaints Management
This section highlights how the MMT documents and verifies complaints made by
the public at large. It should include the manner by which the MMT prepares the
necessary recommendation/s to the complainant/s as regards complaints that are
within their capacity to address as well as those that may be redirected to another
responsible agency for immediate action.
Aside from that mentioned above, this section should stipulate how the MMT
utilizes/processes information as per result of M&E activity and how these are
ultimately farmed back to the community using appropriate IEC strategies.
 Training
MMT members, whenever appropriate and feasible, should discuss in this section
how they may be trained on the different aspects of monitoring work to equip
them with the necessary understanding/knowledge to undertake their work.
Aside from the expected rigors of compliance monitoring, training topics may
include, but not be limited to, skills enhancement for the required tasks. Updates
or refresher courses on IEC, public disclosure, complaints management, and
developments in the field of environmental management especially as regards
the project being subject to M&E, and policy may also be considered as areas for
training.
Time and effort must be exerted specially on complaints management as the
MMT is tasked to address complaints at their level. Hence training to focus on
possible complaints and “what to do or suggest” to the complainant must be built
in this section. It would be best if the MMT can at this point identify/provide a
checklist of possible areas that normally are causes of complaints.
This section must likewise incorporate how new skills/knowledge will be re-
echoed to other MMT members and the community at large.
 Records Keeping

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MMT shall anthologize relevant records, data, technical references and compile
monitoring reports. These documents may be used for:
 Documenting violations of proponent and recommendation for the
issuance of a cancellation or suspension order, or order of revocation of
the ECC
 Building the data base for different project types to strengthen the
accuracy of impacts prediction
 Improving the preventive and mitigating measures provided under the
EMP.

7. Reporting
All monitoring activities of the MMT shall require the completion of a findings report –
called Compliance Monitoring and Verification Report (CMVR), a copy of the report
shall be submitted to the EMB RO concerned and another copy submitted to EMB
central office in the case of ECPs. Annex M contains the outline of the CMVR.
The report/s shall be considered as affirmation of the role of the MMTs as an
environmental monitoring partner. The report shall also document the
accomplishments of the MMT and include, among others, a section on:
Complaints Verification and Management and Reports on Accidental Spills
and Releases
For complaints verification, this section should discuss the details of the
complaint, the location where the alleged incident occurred, detailed
observations of the monitoring team highlighting anything out of the ordinary
or having any adverse impact on the environment.
This section should also include any report/s on accidental spills or releases
that have the potential to impact the environment and human and ecological
health, although there may be no official complainant. The response or action
undertaken by the proponent should be explained.

8. Terminating the MMT

For projects whose significant environmental impacts do not persist after the
construction phase or which impacts could be addressed through other regulatory
means (e.g., Clean Air Act, Clean Water Act, RA 6969) or through the mandates of
other government agencies (e.g., DOH for health, LGU for building/structural safety,
MGB for geological aspects), the operations of MMT may be terminated immediately
after construction or after a reasonable period during implementation.
In the case of roads and bridges projects, MMT functions shall be terminated after
construction and once project Operation and Maintenance (O & M) is turned over to
the responsible management authority/organization.
MMT functions shall be terminated for projects upon completion and upon
compliance with the abandonment plan.

7.4 Streamlining of MMTs

The creation and establishments of MMT are not intended to be another layer of
bureaucracy but rather as a social mechanism to handle and address community concerns
at the lowest level possible. Hence, integrated MMT or clustering of MMT is considered the
best institutional strategy possible.

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In this connection, all DENR-EMB RO are hereby enjoined to cluster, merge or integrate
MMTs at the area, municipal, or provincial level as may be appropriate. The clustering or
integration of MMT may also be done based on project types. A semi-annual report shall be
submitted to DENR-EMB central office on the progress of integrating MMT.
The streamlining of MMT shall be guided by the following guidelines:
 For projects located in a contiguous area (e.g., industrial zone or parks), only one (1)
MMT should be created. Each project proponent or locator may be allowed one (1)
representative provided that the agreed upon limit on the number of proponent‟s
representative is not exceeded.
 For other projects, the MMT should preferably be merged or integrated at the municipal
or provincial level, whichever is practical.
 The contributions of proponents to the EMF fund shall be decided on a consensus basis.
The size of the project and the types of its discharges, among others, may be used as
criteria to determine the share of a specific proponent. In the event of failure to agree on
a sharing scheme, the MMT EC shall prescribe the shares or contribution of each
proponent.
The guidelines on the composition of MMT may be refined or revised accordingly to
correspond to the particular conditions and characteristics of the area where the integrated
MMT will have jurisdiction.

7.5 EMF Administration and Management

The Environmental Monitoring Fund (EMF) is a fund that a proponent shall commit to
establish in support of the activities of the MMT for the compliance monitoring. The EMF will
be established as agreed upon and specified in the MOA between and among DENR-EMB
RO, Proponent, LGU and MMT representatives.
An EMF/MMT is required for all projects and undertaking classified as Category A. In
selected cases, an EMF/MMT may be required for a project and undertaking classified as
Category B. The criteria on when such projects shall be required to establish an EMF/MMT
are the following:
 Possible discharge of toxic or hazardous materials
 Significant amount of discharge that requires careful monitoring AND which may lead to
significant public opposition/complaints
 Significant public opposition based on valid environmental issue/s
The decision to require an MMT and EMF is left to the judgment of the respective DENR-
EMB RO provided sufficient justification/s exists to support such decision. The fact that a
project or undertaking is classified as Category B implies that the requirements or
accompanying conditions for EMF/MMT are correspondingly less compelling.
The initial determination of the EMF is included as part of the Environmental Management
and Monitoring Plan and as established in the ECC for a particular project or undertaking.
However, the actual amount to be allocated for the EMF shall be determined on the basis of
the annual environmental monitoring plan that would be agreed upon by the MMT.
An appropriate basis for the determination of the EMF would be the cost of monitoring
activities and environmental information programs as proposed by the proponent in the
Environmental Management Plan. The rates or amounts that will be used in the preparation

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of the Work and Financial Plan shall be in accordance with the rates agreed upon and within
the limits set herein or as prescribed in pertinent government guidelines.

A. Management and Administration of EMF

The EMF, which is provided by the proponent, shall be managed and administered by the
duly organized MMT Execom in accordance with the annual monitoring work and financial
plan submitted by the MMT and affirmed/approved by EMB.
The Proponent shall release the amount of funds necessary in order to make available the
funding required by the approved Work and Financial Plan at the start of each year or semi-
annually.
In the case of individual EMF/MMT, the proponent shall establish a separate bank account to
cover the amount of EMF. The signatories shall be the EMB RD and the proponent.
In the case of merged or integrated MMT, the individual EMF may likewise be integrated
under the management of the MMT EC. The authorized signatories shall be the DENR-EMB
RD and another member designated by the MMT EC.
For all of the above cases, the MMT Executive Committee may opt to hire the services of a
reputable fund manger.

B. Guidelines for the Disbursement of EMF

The EMF shall be disbursed based on the following guidelines:

 EMF will be disbursed according to the approved Work and Financial Plan and within the
limits prescribed in the Procedural Manual of DAO 96-37 or DAO 2003-30. Each
disbursement must be supported by official receipt, properly approved and received
disbursement voucher, or any other proof or document to support the expense incurred.
 The MMT EC shall undertake accounting of all expenses by the MMT.
 Any unexpended balance of the EMF at the end of the year, shall be used to fund next
year‟s Work and Financial Plan. In case of termination of the MMT operation, any
unexpended balance shall be returned to the Proponent.
 An independent auditor may be hired charged to the EMF to undertake financial auditing.
Financial reports are public documents and shall be provided by the MMT upon request.
 The proponent may, at its sole discretion, conduct a separate audit on the
expenditure/disbursement of EMF in accordance with applicable rules and guidelines.

C. Allowable Expenses under the EMF

The EMF shall be exclusively utilized to cover all costs attendant to the operation of the
MMT. It shall specifically be used to defray MMT expenses such as:
 cost of transportation, board and lodging – (see discussions below)
 MMT meetings – (see discussions on honoraria and other costs)
 rental of equipment – the proponent may allow MMT members to use its equipment. If
necessary, the EMF may include provisions for the rental of equipment. In cases where
the EMF is sufficient to purchase equipment, such equipment may be acquired only
when a clear and distinct system of accountability (e.g., possession, custody, storage,
use, etc.) has been formulated.
 documentation (photos, video, etc.)

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 sampling, shipment or transport of samples including laboratory analysis

 hiring outside experts or subcontracting of a monitoring work to a neutral party
 training of the MMT
 preparation of monitoring reports and distribution
 public information campaign/dissemination – to lessen unnecessary expenses, activities
related to public information campaign/dissemination shall be undertaken using the
existing or local offices/units of the PIA, KBP and similar agencies as well as the public
information/affairs office of the local government units.

1. Cost of Transportation
Only two (2) types of transportation costs may be charged to the EMF: 1) the costs
incurred during monitoring and 2) the costs incurred in attending the MMT meeting.
For transportation costs incurred in the conduct of monitoring, the basis of
disbursement shall be the actual costs incurred through cash advance or on
reimbursement basis. For transportation costs incurred in attending MMT meetings,
actual costs incurred may be reimbursed or a fixed transportation allowance (TA)
may be granted to official members of the MMT. For remote project sites where
public transportation, meals and lodging may be unavailable, the proponent may
provide transportation, meals and lodging in lieu of reimbursements or fixed
allowance.

2. Board and Lodging

In order to defray costs for food and accommodation of MMT members or monitoring
team, a reasonable allowance or per diem may be granted to cover such costs.
The per diem or allowance shall only be granted for the duration of the fieldwork
including provision for reasonable travel time. Such allowance should not be in
excess of twice (2x) the existing government rate for such travel or fieldwork. At no
instance should such allowance be granted for travel of less than fifty (50) kilometers
in distance as reckoned from the place of work to the site of meeting or fieldwork.
Furthermore, for remote project sites where public transportation, meals and lodging
maybe unavailable, the proponent may provide transportation, meals and lodging in
lieu of reimbursements or fixed allowance.

3. Monitoring Costs
The basis of disbursement of costs for monitoring expenses (such as actual
sampling, shipment, or transport of samples, rental or use of equipment,
documentation (photos, video, etc.), laboratory analysis, etc.) shall be the annual
work plan.

4. Allowances
Payment of allowance shall be commensurate to services rendered by the MMT
members for actual MMT activities. DENR officials and personnel are not entitled
to such honoraria. The decision to receive allowances by other government
officials or personnel is left to their discretion and judgment, keeping in mind, the
appropriate civil service rules and anti-graft laws. Department of Budget and
Management (DBM) guidelines on the granting of allowances shall serve as the
guide.

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Membership in MMT or other such group is considered as public service. Such

membership is not supposed to be used as an excuse for income augmentation. The
participation of the private sector will concretize their concern for the environmental
impacts of the project, and their subsequent commitment to safeguard their
community. The involvement of the public sector is in line with their commitment to
serve the public.

5. Other Costs
Costs for hiring outside experts or subcontracting of monitoring work to a neutral
party, training of the MMT, preparation of monitoring reports and distribution, public
information campaign/dissemination, and other such activities relating to the
operation of the MMT may be charged to the EMF provided allocation for such
purposes was included in the annual work plan and is not explicitly prohibited.
In the case of merged or integrated MMT, the management fee, administration and
other such costs may be charged to the EMF.
MMT members participating in the MMT in their personal/private capacity/s, may
claim for “lost income” compensation for actual monitoring time plus reasonable
provisions for travel. For example, a private medical practitioner, a farmer or a
fisherman representing his sector may claim for such compensation.

7.6 Environmental Guarantee Fund (EGF) Administration and Management

An Environmental Guarantee Fund (EGF) shall be established for all co-located or single
projects that have been determined by EMB to pose a significant public risk or where the
project requires rehabilitation or restoration. It should be noted that a separate guidelines
govern the creation of a fund similar to EGF under the MGB for mining projects. In such
case, the MGB shall be the agency that has primary jurisdiction over the issues/aspects
covered by the EGF including but not limited to the responsibility of ensuring that
proponent/s undertake rehabilitation of abandoned mining sites as well as the prompt
payment of claims by affected stakeholders. For other projects, an integrated MOA on the
MMT-EMF-EGF shall be entered into among the EMB Regional Office, the proponent, and
representatives of concerned stakeholders.
The EGF is a fund that proponents shall commit to establish when an ECC is issued for
projects or undertakings determined by EMB to pose significant risk to answer for damage to
life, property, and the environment caused by such risk, or requiring rehabilitation or
restoration measures. It shall also be used to implement damage prevention measures,
environmental education, scientific or research studies, IEC, training. The MMT EC, acting
as an EGF Committee, shall manage the fund. In such case, the MMT EC may include a
representative from DENR-EMB central office.

A. Presumption of Public Risk

A significant public risk may be presumed by the DENR-EMB if any of the following condition
exists:
 Presence of toxic chemicals and hazardous wastes as defined in Republic Act No. 6969
under the PCL or CCO system;
 Extraction of natural resources that requires rehabilitation or restoration;
 Presence of structures that could endanger life, property, and the environment in case of
failure; or

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 Presence of processes that may cause significant pollution as defined under Pres.
Decree No. 984, or other related pollution laws.

B. Purpose of the EGF

The EGF shall be established and used for the following purposes:
 the immediate rehabilitation of areas affected by damage to the environment and the
resulting deterioration of environmental quality as a direct consequence of project
construction, operation, and abandonment;
 the just compensation of parties and communities affected by the negative impacts of the
project;
 the conduct of scientific or research studies that will aid in the prevention or
rehabilitation of accidents and/or environmental damages; or
 for contingency clean-up activities, environmental enhancement measures, damage
prevention program including the necessary IEC and capability building activities.

C. Determination of the Amount to be Set-up for the EGF

There is no explicit provision under DAO 2003-30 requiring valuation of potential impacts
that may arise as a result of changes in the use of natural and environmental resources. In
some large scale projects however (such as power projects), estimation of the value of
environmental impacts is already included in the EIA costs and benefits. Impact valuation is
particularly crucial in estimating the EGF to derive estimates on the potential damage that
may occur, and the corresponding amount to be set aside through the EGF for such
purpose.
The finalization of the EGF MOA shall be done at the DENR-EMB RO level. However,
prior to the signing of MOA, the approval of DENR-EMB central office shall be secured.

Procedures for arriving at such estimates in a more rational and systematic manner will have
to be based on experiences that shall have been generated on Philippine examples and
other developing countries. This would require incorporation of environmental costs and
benefits in the EIA of ECPs and those located in ECAs.
In the absence of such information, more recent experiences of projects of similar nature
with provisions for EGF may be utilized. The amount to be allocated for the EGF shall be
determined through negotiations between the proponent and the EMB (EMB-CO or EMB-
RO). It should take into consideration the following factors in determining the appropriate
amount for specific projects:
 the EIS committed programs
 the degree of environmental risk involved (based on number and extent of potential
damage)
 valuation of resources that would most likely to be affected
 the proponent‟s ability to provide funds for the EGF
In case the available fund in the EGF is not sufficient to pay for compensable claims the
proponent shall provide additional funds to cover the cost of rehabilitation, restoration or
other activities for which the EGF was established. As such, the proponent shall replenish
the EGF whenever the amount falls below 50% of the agreed level.

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At the end of the project life, a sufficient amount should be left from the EGF to ensure that
rehabilitation, restoration, decommissioning, or abandonment shall be adequately financed.
Such amount may be increased during the project life span to insure that the balance shall
be sufficient for the abandonment phase. In such case, the EGF Committee may require an
adjustment of such amount to cover inflation and other factors. Furthermore, not earlier than
two (2) years after project termination AND upon approval of the DENR office that issued the
ECC, any unexpended balance shall be returned to the proponent.
In general, the EGF shall have two (2) major components as follows:
 Trust Fund
The trust fund is a form of guarantee instrument, which will be used to compensate
aggrieved parties for any damages to life or property, undertake community-based
environmental programs, conduct environmental research aimed at strengthening
measures to prevent environmental damage and to finance restoration and rehabilitation
of environmental quality caused by the project. This could be in the form of insurance,
letters of credit, trust fund, other financial instruments and other similar guarantee
instruments. Unless extreme circumstances warrant, surety or performance bonds are
not acceptable forms of EGF trust fund.
 Environmental Guarantee Cash Fund
This component of the EGF shall be earmarked for immediate rehabilitation and
compensation of affected communities in case of damage or accidents. It shall also be
used to cover costs of the operationalization of the EGF Committee.
The proponent can place the cash fund in an interest-bearing account. The interest shall
accrue to the cash fund. The funds shall be replenished when it reaches a certain level
agreed upon by the Committee, which should not be lower than 50%

D. Procedure for the Establishment of EGF

Once it is determined that an EGF is necessary, the following procedures for the negotiation
and establishment of the EGF shall be followed:
 The proponent shall prepare a Memorandum of Agreement (MOA) for the establishment
of the EGF that shall be negotiated and agreed upon by the proponent and DENR in
consultation with the LGUs (province, municipality, barangay) and NGO/PO
representatives. The proposed MOA shall be part of the submitted EIS.
The MOA should contain agreements on the following:
 the specific amount of the fund to be set-up and in what form
 the mode of distribution, allocation, and disbursement of funds
 the terms of reference for fund operationalization with respect to the implementation
of environmental programs
 terms and conditions for the payment of relevant parties
 Establishment of the EGF Committee. The MMT EC shall serve as the core composition
of the EGF Committee. Additional members from the MMT may be designated as
concurrent EGF Committee member.
The Chairman of the EGF Committee shall not vote on any matters except to break a tie.
Any determination or approval by the EGF Committee shall require a majority vote,
provided there is a quorum. A quorum shall require the presence of more than half of the
members including, at all times, the representative/s of DENR and the proponent.
Elected officials shall serve in the Committee only during their terms of office. Other

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government agencies may be invited as members of the Committee, as deemed

necessary.
The EGF Committee shall have at most fifteen (15) members. In case the project area
and its corresponding impact area is significant, the manner of representation to the EGF
committee members shall be determined on a case to case basis. It should be noted that
the desire to have all sectors represented should not be detrimental to the basic
objective of the EGF to provide timely relief for environmental repair activities.

E. Functions of the EGF Committee

The Committee shall undertake the following functions:

 manage, control, and operate the EGF in accordance with agreed internal procedures
established regarding the mechanisms for fund disbursement, processing, validation,
accounting and documentation.
 resolve issues involving rehabilitation and compensation for damages that may be
brought before it.
 decide issues on complaints/questions involving the implementation of the rehabilitation
program between the proponent and the aggrieved party.
 designate entities or individuals in the event that an independent body must resolve the
issues and cases.
 hire credible experts to conduct independent studies and research on the environmental
and socio-cultural impacts of the project in order to assist the EGF in making judicious
decisions about environmental issues related to the project.
 undertake damage control or preventive measures.

F. Fund Management

1. Claims/Withdrawals to the EGF

Claims to the EGF shall be classified into: emergency; compensatory; and/or
operating costs:

Emergency Claim
A claim is considered for emergency purposes if it is intended to:
 prevent loss of life or serious damage to property and environment;
 immediate rehabilitation of affected areas;
 provide immediate correction of or prevention against the spread of accident or
disaster or the effect thereof;
 evacuate and temporarily relocate affected residents.
The causes of the above should be due to the pollution and/or environmental
degradation arising from the activity(ies) of or violation(s) environmental laws and
regulations by the project. The failure of the proponent to comply with obligations set
forth in the EIS and the ECC is another ground for such claim.

Compensatory Claim
A claim is considered compensatory if it is intended to pay for pecuniary loss or
damage suffered by a party, person or entity as a consequence of the project.

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The EGF Committee should come out with guidelines to be approved by its members
on how to access the EGF for compensatory claims. The guidelines should specify
the following:
 Procedures for filing a claim for compensatory damages?
 Required (valid) proofs or evidence to support claim for compensation
 Basis for computation of compensatory damages

Claim for Operating Costs

This is a claim whose purpose is to support the operations of the EGF Committee.
The EMF guidelines on allowable expenses and other such provisions shall be
adopted for such purposes.
Claim for operating costs shall likewise include expenses for preventive activities,
environmental education, scientific or research studies, training, and other activities
duly provided for in the MOA or as approved by the EGF Committee.

2. Withdrawals by the Proponent from the EGF

Withdrawal of the Proponent from the Environmental Guarantee Cash Fund

The cash fund may be drawn in the following instances:
 respond to an event of emergency in accordance with the guidelines to be
approved by all members of the EGF Committee;
 claims for compensatory damages subject to written approval by the EGF
Committee and concurrence of the proponent; or
 operating costs incurred or approved by the EGF Committee.

Withdrawal of the Proponent from the Trust/Guarantee Fund

The trust fund can only be drawn upon:
 approval in writing by the EGF Committee for emergency claims that can no
longer be accommodated by the cash fund;
 in cases where the cash fund is insufficient to pay for duly approved/concurred
compensatory claims by the EGF Committee;
 in cases where preventive or control measures have to be done by the proponent
that were not identified in the EMP.

3. Processing of Claims
Written complaints or claims must be filed with the EMB-Regional Office with
accompanying evidence within one (1) month after damages have occurred, after
which no other complaints may be entertained.
Written complaints or claims must be filed with accompanying evidence. Complaints
for compensation filed with the EMB-RO are subject to verification and certification by
EMB-RO.
The claimant‟s request for compensation must include the following:
 evidence of livelihood source;
 evidence of ownership or stewardship and location of the property;
 nature/extent of the damages based on assessment by the claimant

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In cases where such supporting documents or evidence/s are not applicable (e.g.,
claims for damages while fishing in municipal waters), other similar evidences or
supporting document must be included. The proponent shall exercise due diligence
and prudence in validating or assessing compensation for such claims. The EGF
Committee shall affirm such validation taking into consideration issues on social
equity, health, opportunity costs, and other such factors. If necessary, field
evaluation or investigation may be conducted by the MMT, PENRO, CENRO, EMB-
Regional Office or the EMB-CO.
Any claims approved by the EGF committee and certified by the EMB or EMB
regional office are paid to the claimant within thirty (30) days after the receipt of
notice by the proponent.
Interest charges are assessed, as agreed in the MOA, for late payment. Failure to
make payments could result in the revocation of the ECC. In the absence of specific
provisions in the MOA on interest charges, the most recent published T-bills rate (for
90 days) shall be used as a guide.
The EGF committee arbitrates any dispute between the claimant and the proponent.
Their decision is final and executory. Interested parties (including proponents) may
only resort to court on issues involving abuse of discretion or authority.

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8. Administrative Procedures

8.1 Administrative Procedures for Complaint Management by EMB

This section discusses the administrative procedures that shall be adopted by DENR-EMB
(central and regional offices) in handling violations or complaints. This section discusses
both the procedures and the documentation of the process leading to the imposition of fines
and penalties in order to facilitate administrative and judicial review by the deciding authority.
The procedures described in this section also cover such violations as operating without
ECC among others.

A. Discovery of Violation

The investigation process shall be initiated once a violation has been identified.
Such identification may be based on complaint(s) by nearby resident(s), report(s) by
concerned citizen(s), police report(s), press report(s) or findings during
monitoring(s)/inspection(s).
In the case of complaint, the DENR-EMB office concerned shall verify if the complaint
is valid or within the purview of DENR-EMB. If the complaint is actionable by DENR-
EMB, an investigation should be initiated within 72 hours after receipt of the
complaint.
In the case of discovery of violation through monitoring or inspection activities, the
DENR-EMB office concerned shall immediately notify the proponent of the violation
and request for an official submission of why the proponent shall not be penalized.
Concurrently, the DENR-EMB RO concerned may conduct field validation, site
inspection and verification, technical hearing or other activities to further assess or
validate the complaint/s or finding/s.

B. Administrative Procedures for Investigation

The investigation shall determine the validity the complaint/s or finding/s against a
project or undertaking. It may take the form of a field validation, Technical Hearing or
a combination thereof.
The process of administrative investigation shall primarily depend on the mode of the
discovery of violation. The procedures and guidelines are as follows:

1. Discovery of Violation through monitoring, inspection or MMT activities

In the case of discovery of violation through monitoring or inspection activities, the
DENR-EMB office concerned shall immediately notify the proponent of the violation
and request for an official submission of why the proponent shall not be penalized.
The proponent shall be given seven (7) days to submit a reply.
Upon receipt of the reply from the proponent, the case shall be deemed submitted for
decision. At the discretion of the case handler, a technical conference or hearing
may be scheduled prior to the preparation of a Case Decision Document. Such
hearing shall only be conducted to clarify issues in the reply of the proponent, to
request for additional information and/or to give the proponent an opportunity to
further explain why they should not be penalized.
If the proponent failed to reply within the prescribed period, the DENR-EMB office
shall prepare and send a letter to the proponent for the respondent to show cause

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why a penalty or fine will not be imposed. The show cause letter shall include the
schedule of technical conference (or hearing). The hearing serves as the final
opportunity for the proponent-respondent to explain why they should not be
penalized. If the proponent failed to attend the hearing or conference, the case shall
be deemed submitted for decision. The case handler shall then prepare a case
decision document.

2. Discovery of Violation through Desk Review

The discovery of violation may also occur as a result of desk review of submitted
documents such as compliance report, self-monitoring report or other such
submissions. In such cases, the DENR-EMB office concerned shall immediately
notify the proponent of the violation and request for an official submission of why the
proponent shall not be penalized. The proponent shall be given seven (7) days to
submit a reply.
Upon receipt of the reply from the proponent, the case shall be deemed submitted for
decision. At the discretion of the case handler, a technical conference or hearing
may be scheduled prior to the preparation of a Case Decision Document. Such
hearing shall only be conducted to clarify issues in the reply of the proponent, to
request for additional information and/or to give the proponent an opportunity to
further explain why they should not be penalized.
If the proponent failed to reply within the prescribed period, the DENR-EMB office
shall prepare and send a letter to the proponent for the respondent to show cause
why a penalty or fine will not be imposed. The show cause letter shall include the
schedule of technical conference (or hearing). The hearing serves as the final
opportunity for the proponent-respondent to explain why they should not be
penalized. If the proponent failed to attend the hearing or conference, the case shall
be deemed submitted for decision. The case handler shall then prepare a case
decision document.
It should be noted that the discovery of violation was through a review of the
document submitted by the proponent. As such, the entire administrative procedures
should consider such voluntary report as a significant mitigating factor in making a
decision on the case. The provisions and principles against self incrimination should
be applied. In the absence of any aggravating factors AND in conjunction with the
implementation of immediate and adequate mitigating or corrective measures by the
proponent, the case shall be decided in favor of the proponent.

3. Discovery of Violation through Complaints and Other Sources

The discovery of violation may be through a complaint, press report, police report or
other external sources. The DENR-EMB office concerned shall verify if the complaint
(or report) is valid or within the purview of DENR-EMB. If the complaint (or report) is
actionable by DENR-EMB, an investigation should be initiated within 72 hours after
receipt of the complaint.
Within the prescribed 72 hours, the DENR-EMB office concerned shall notify the
proponent of the alleged violation and request for an official submission (or reply) on
why the proponent shall not be penalized. The proponent shall be given seven (7)
days to submit a reply. Concurrently, the DENR-EMB RO concerned may conduct
field validation, site inspection and verification, or other activities to further assess or
validate the complaint/s or finding/s.
Upon receipt of the reply from the proponent, the case shall be deemed submitted for
decision. At the discretion of the case handler, a technical conference or hearing

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may be scheduled prior to the preparation of a Case Decision Document. Such

hearing shall only be conducted to clarify issues in the reply of the proponent, to
request for additional information and/or to give the proponent an opportunity to
further explain why they should not be penalized.
If the proponent failed to reply within the prescribed period, the DENR-EMB office
shall prepare and send a letter to the proponent for the respondent to show cause
why a penalty or fine will not be imposed. The show cause letter shall include the
schedule of technical conference (or hearing). The hearing serves as the final
opportunity for the proponent-respondent to explain why they should not be
penalized. If the proponent failed to attend the hearing or conference, the case shall
be deemed submitted for decision. The case handler shall then prepare a case
decision document.

C. Issuance of Cease-and-Desist Order

A Cease and Desist Order (CDO) may be issued in order to prevent grave or
irreparable damage to the environment. Such CDO shall be effective immediately.
An appeal or any motion seeking to lift the CDO shall not stay its effectivity.
A CDO is issued when the respondent establishes or operates a project without an
ECC AND if the continued operation of the project presents a grave or irreparable
damage to the environment. Violation of ECC conditions, EMP rules and regulations,
and misrepresentations in the EIS or IEE and related documents may also warrant
the issuance of a CDO in order to prevent grave or irreparable damage to the
environment.
When there is sufficient cause to believe that a high risk of grave or irreparable
damages to the environment exists, the Secretary, DENR-EMB Director, or DENR-
EMB RD may decide to issue a CDO prior to any administrative investigation/s.
The CDO is considered as one of the primary enforcement measures under the
Philippine EIS System to prevent significant damage/s to the environment. Examples
of such situations are release of discharges beyond prescribed standards or criteria,
failure to construct pollution control devices mandated as one of the ECC conditions,
and/or initiating development activities while the ECC application is pending.

D. Conduct of Technical Conference or Hearing

In the course of administrative investigation, the conduct of technical conference/s or

hearing/s may be deemed necessary by the case handler or DENR-EMB RO
concerned.
The completeness of information contained in the complaint/s or findings as well as
the manner upon which the response (justification/s or explanation/s) are presented
by the proponent serves as the basis for determining if a technical hearing will be
called. The hearing serves as the venue for the proponent-respondent to further
explain why they should not be penalized. It is the discretion of the Case Handler, in
consultation with the appropriate office (e.g., legal division).
There is clearly no need for a technical hearing if the response of the proponent is
acceptable and/or there is admittance on the part of the proponent-respondent. In
such case, a Case Decision Document shall be prepared by the Case Handler and
submitted to the DENR-EMB Director concerned. The decision document is in the
form of a memorandum containing the merits and penal provisions i.e. fine and
penalties, signed by the Director, and served through the Regional Office. On the
other hand if a technical hearing is required, the EIA Division of DENR-EMB RO

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concerned shall issue the necessary invitation/s for a technical hearing, with the date
pre-determined by the issuing authority.

1. Technical Hearing or Conference

A technical hearing or conference is convened by the EIA Division Chief also acting
as the presiding officer.. The parties present in the hearing include the Case
Handler, the representative of the proponent (e.g., Environment Officer, Pollution
Control Officer, Project Management Officer), and if required witnesses and the
complainant. The duration of the hearing may vary depending on the seriousness of
the offense.

2. Request for Additional Justification

During the technical hearing, additional justification may usually be required to further
support and clarify the justifications of the proponent-respondent. The new
information has to be submitted within 15-30 days from the date the data was
requested. In such cases, the hearing adjourned, and the preparation of the
Technical Hearing Report is postponed until after the assessment of additional
justification document.

3. Preparation of the Technical Hearing Report

After adjournment of the technical hearing and upon receipt/review of additional
justification document (if any), the Case Handler prepares the draft Technical
Hearing Report (THR) and all pertinent documents for its transmittal. The time frame
involve vary on a case-to-case basis. The THR is shall form part of the
documentation for the Case Decision Document.
DENR-EMB‟s action is summary and administrative in nature, and therefore, is not
obligated to strictly adhere to the technical rules of evidence. Likewise, DENR-EMB
is not obligated to conduct adversarial hearing/s to hear the testimonies of the
respondents and/or complainant.

E. Case Decision Document

The Case Decision Document (CDD), written in the form of a memorandum, contains
the merits and demerits of the case as well as the justifications presented by the
respondent during the technical hearing. The CDD shall contain the following:
 a brief background of the project, including previous violations committed by the
respondent, if any;
 the provisions of law or rules and regulations, ECC conditions, or EMP provision
violated;
 findings of fact, including the results of any measurement, sampling or monitoring
activities conducted either by the EMB, the DENR Regional Office, MMT, DENR-
accredited research institutions, academic, and technical organizations, and the
results obtained and the corresponding adverse impacts caused by the violations;
and
 the recommended amount of fine to be imposed, as well as other appropriate
recommendations (filing of court case, issuance of CDO, etc.).
The CDD, in most cases, is based on site inspection and verification, as well as
documents submitted by respondent and other concerned parties.

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In case the investigation process determined that the complaint/s is not valid, the
CDD shall also include a draft Clearance Letter. In case the investigation process
determined that the complaint/s is not valid, the CDD shall also include a draft Notice
of Violation.
Upon approval by the DENR-EMB Director/RD, the appropriate document (i.e.,
Clearance Letter or Notice of Violation) shall be transmitted to the respondent. The
complainant/s shall be furnished a copy of such document.
Payment of the fines stipulated is to be made within 7-15 days upon receipt of the
resolution. For appeals on the decision and filing of motion for reconsideration,
please refer to next section.

F. Follow-up Inspection and Payment of Fines

In case the proceeding determined that a violation had occurred, a follow-up

inspection shall be undertaken to determine compliance of the proponent.
Should the decision of the Secretary, EMB Director, or the RD not be complied with
by respondent, the Secretary, EMB Director, or the RD may issue another order
reiterating the contents of the first order, and imposing more stringent fines and
penalties. Non-compliance with the orders issued by the Secretary, the EMB
Director, or the RD, constitutes an offense separate and distinct from the offenses
subject of the order.

8.2 Appeal Procedures

The respondent may appeal for any of the following decisions:

 Ask for penalty reduction;
 Reconsideration of the order to cease and desist operation;
 Issuance or non-issuance of the ECC.

A. Level of Appeals

Any party aggrieved by the decision of the approving/issuing authority may appeal to
the next administrative level. For such purpose, the levels of appeal are as follows:
 An appeal on the decision/s of the Division Chief shall be submitted to the
Regional Director
 An appeal on the decision/s of the Regional Director shall be submitted to the
DENR-EMB Director
 An appeal on the decision/s of the EIA Division Chief (DENR-EMB Central Office)
shall be submitted to the DENR-EMB Director
 An appeal on the decision/s of the DENR-EMB Director shall be submitted to the
DENR Secretary. In any case, the decision of the Secretary shall be immediately
executory.
In any case, the decision of the Secretary shall be immediately executory. Decisions
of the approving/issuing authority that may be subject to appeal include those relating
to the issuance or non-issuance of an ECC, and the imposition of fines and penalties.
Resort to courts prior to availing of this remedy (administrative appeal/s) would make
the appellant‟s action dismissible on the ground of non-exhaustion of administrative
remedies.

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Fifteen (15) days from receipt of the decision on the issuance or non-issuance of an
ECC is the period during which the aggrieved party may file an appeal. Failure to do
so within the requisite period will result in the finality of the RD‟s or Secretary‟s
decision/s which can no longer be changed.
An appeal shall not stay the effectivity of the RD‟s decision, unless the Secretary
directs otherwise.

1. Filing a Motion for Reconsideration

The right to appeal does not prevent the aggrieved party from first resorting to the
filing of a motion for reconsideration with the issuing/approving authority within fifteen
(15) days from receipt of the decision or approval in order to give the
issuing/approving authority an opportunity to re-evaluate his decision.

2. Decision on the Motion for Reconsideration

Upon receipt of a motion for reconsideration, the receiving authority shall assign a
case handler for the appeal. The Case Handler first reviews the Motion and submits
recommendations to the receiving authority with the Technical Hearing Report, if any.
The Case Handler shall include the necessary drafts of the Resolution/s containing
the assessment of the case and ruling, to be reviewed and signed for approval by the
receiving authority.

3. Transfer of Authority to Resolve

When the receiving authority assesses the case to be complex, he may elevate the
case to the next level of authority by forwarding copy of all pertinent documents. The
case is then reviewed by such office (the reviewing authority). A technical hearing
may or may or may not be required. In addition, the assistance of the Legal Division
in preparing the decision document/s may be solicited.

4. Process for Appeal

If a motion for reconsideration is denied, the aggrieved party may file an appeal to
the next level of authority.
Upon receiving the appeal, the reviewing authority shall assign a case handler for the
appeal. At the discretion of the reviewing authority, the case handler may be a
person or a committee.
The Case Handler shall review the grounds for the appeal and submits its findings
and recommendations to the reviewing authority including the Technical Hearing
Report/s, if any. The Case Handler shall also include the necessary drafts of the
Resolution/s containing the assessment of the case and the recommended ruling/s,
for the consideration of the reviewing authority.

5. Issuance of the Final Decision Document

The Case Resolution Document (CRD) is transmitted to the receiving or reviewing
authority. Upon the adoption of the corresponding resolutions, it shall be served to
the proponent through the DENR-EMB Regional Office concerned.
In the case of a proponent whose ECC application is denied may also choose to file
a new ECC application. The filing of a new application shall, however, result on the
waiver of the proponent‟s right to file a motion for reconsideration or appeal from the
order denying its original application. The EMB or Regional Office can not refuse to

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accept the new application and may only deny said application if it appears that said
application does not differ significantly from the previous application, or if the EIARC
determines that the new application is still environmentally unacceptable.

B. Grounds for Appeal

The grounds for appeal shall be limited to grave abuse of discretion and serious
errors in the findings of fact, which would cause grave or irreparable injury to the
aggrieved party. Frivolous appeals shall not be countenanced.
The procedures in making an appeal are as follows:
 The aggrieved party, within 15 days from receipt of the decision, files a Notice of
Appeal with the appropriate appeal authority with copy furnished the Record
Office of the DENR office concerned and non-appellant stakeholders (if
applicable).
 The Notice of Appeal may be in the form of a letter or a pleading, and should
clearly state the basic terms of the Order being appealed from, the grounds for
the appeal, and the fact that the notice is being made within the prescribed
period.
 A certified true copy of the decision being appealed from should be annexed to
the said notice of appeal. Other documents supporting the appeal, such as proof
of service of the Notice to concerned parties, should be annexed to the Notice.
 Upon a prima facie finding that the appeal is meritorious, the reviewing officer
shall issue the necessary Order to initiate the review by appointing the case
handler.
 Non-appellant stakeholders, the issuing authority or other affected DENR officers
may be requested to submit their comments.
 Based on the documents provided by the appellant, non-appellant stakeholders,
and those elevated by the EMB or Regional Offices, the reviewing authority shall
render a decision on the appeal.

C. Who May Appeal

The proponent or any stakeholder, including but not limited to, the LGUs concerned
and affected communities, may file an appeal.

8.3 Other Administrative Procedures

In addition to the procedures discussed in the previous sections, a proponent may also apply
for relief from ECC commitment due to abandonment of a project or undertaking. Other
issues discussed in this section are the procedures for determining jurisdiction of projects
located in ECAs and access to documents related to the Philippine EIS System.

A. Relief from ECC Commitments

Proponents may seek relief from the requirement or continued compliance with ECC
commitments under the following circumstances:
 Project was not/never implemented
 Project was issued ECC but is currently classified as Category D

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 Project is terminated (included in this classifications are projects that are

abandoned, have been completed, for preservation or decommissioning)
The procedural guidelines to obtain relief from ECC commitments are as follows:
 The proponent prepares and submits a letter-request to DENR-EMB. The letter-
request should contain details about the projects and the basis for requesting the
relief.
The letter-request shall be submitted to the EMB office which issued the ECC
(e.g., ECP shall file their requests with EMB central office).
For projects that have already commenced implementation, the letter-request,
which should include an abandonment and/or decommissioning plan among
others, shall be submitted for approval by EMB at least six (6) months before the
planned abandonment/decommissioning.
 Upon receipt, the receiving office shall assign a case handler to handle the
request. In the case of ECPs (or Category A projects), a technical committee
shall be convened to evaluate the request.
The evaluation of the letter-request shall essentially be based on the principle
that the project site will be restored or rehabilitated to the original conditions of
the environment to the extent practical.
 The evaluation shall be completed within thirty (30) working days for applications
received at the RO and forty-five (45) working days for applications received at
the central office.
The final report shall contain the recommendations of the case handler and/or
technical committee on the process of abandonment, rehabilitation, preservation
and/or decommissioning including the criteria or guidelines in the implementation
thereof.
An official letter relieving the proponent from complying with ECC commitments shall
be issued by DENR-EMB upon completion of the abandonment or decommissioning
AND upon verifying that the abandonment/decommissioning plan was complied with.

B. Determination of Jurisdiction over Projects Located in ECA

Projects or undertakings that are not ECPs but are located in environmentally critical
areas, shall be under the jurisdiction of the DENR-EMB Regional Office where the
ECA is located. All EIA submissions, whether IEE or EIS, shall be received and
evaluated by the DENR-EMB RO concerned.
In case the project‟s area is located in an area which falls under the jurisdiction of two
(2) or more DENR-EMB ROs, the offices concerned shall determine the participation
of the different offices involved in evaluating the EIA and decide on the issue or non-
issuance of the ECC. The DENR-EMB RO, under whose jurisdiction majority of the
project area is located, will be the lead office in evaluating the EIA submissions.
The chosen lead office shall also have the responsibility for compliance monitoring
and other subsequent activities under the EIS System. The other DENR-EMB RO/s
concerned shall assist and participate in the review of the EIA submissions. The
DENR-EMB ROs concerned shall agree upon the mode of collaboration.
In cases where the DENR-EMB ROs concerned cannot determine the lead office, the
case shall be elevated to the EMB Director for resolution. The decision of the EMB
Director shall be final. Furthermore, in cases where the issue of jurisdiction in difficult
to determine (e.g., the project is located in territorial water which is not or is not

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clearly within the jurisdiction of any DENR RO), the EMB Director may assign the
nearest DENR-EMB RO as the lead office.
The following illustrative cases provide basic guidance on how the DENR ROs shall
decide the issue of jurisdiction:

Parameters: Region A covers provinces X and Y

Region B covers provinces L and M
Case Situation Jurisdiction
 project is located in province X Region A
1  impact area covers provinces X and Y
 project is located in province X (30 ha.) Region A - lead office
and province L (5 ha.) Region B – participate in the
2  impact area covers province X (50 ha.), Y review
(20 ha.) and L (50 ha.)
 project is located in province X (30 ha.) Region A and B agree on who
and province L (30 ha.) shall be the lead office, the
3  impact area covers province X (5 ha.), Y other region shall participate in
(20 ha.) and L (50 ha.) the review

C. Records and Documents Management

The EMB is responsible for records keeping of all documents submitted by the
proponents applying for ECCs. Documents related to ECC application (i.e. EIS/IEE,
AI‟s, Scoping Reports, Public Hearing Reports) generated after the processing and
approval of the ECC shall be considered public documents. The EMB shall set up an
orderly and systematic procedure for filing, retrieving, and providing public access to
all EIA-related documents. No employee of the DENR may release any document
without a written request and proper authorization from the head or duly authorized
officer of the corresponding office.
Access to EIS-related documents is governed by the following procedures:
 The requesting party must submit a written request addressed to the EMB or the
EMB-RO stating the title of the document(s) and purpose of the request.
 The request letter is received by the EIA personnel then refers the letter to the
Records Unit or the person concerned. If the document cannot be found in the
Records Unit, the EIA personnel verify the Document Tracking Database
Systems (DTDS) or the logbook.
 Once verified that the requested document is available and is not confidential or
restricted, this is retrieved by the EMB Records Officer and given to the
requesting party upon presentation of a valid identification card/s. If the
requested document is not available, the Records Officer verbally advises the
requesting party. A written certificate may be issued to such effect upon request.
The requesting party cannot bring the document outside the premises of the EMB‟s
office, but may review the document inside the Office. Photocopying may only be
done within the building, in the presence of a DENR employee
Alternately, certain documents can be accessed through the official website of EMB
at www.emb.gov.ph.

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9. Decision Making
Inasmuch as the Philippine EIS System is an institutional scheme requiring judgment or
decision at the various level of administrative structure, this section discusses the various
criteria used to make decision/s on wide-ranging issues.

9.1 Decision Documents

A. Scoping Decision Document

The proponent should submit a Scoping Report (see Annex G for the format of the
Scoping Report) with the agreed upon Scoping Matrix and Screening Form as
attachments. The report shall also contain the proposed scope of the EIA study in
the form of a scoping checklist (Annex H). This Report should be submitted prior to
the conduct of a technical scoping meeting with DENR-EMB.
The scoping checklist, upon concurrence of the EIARC and DENR-EMB, shall be
considered as the Scoping Decision Document. The signatures of the EIARC
members on the scoping checklist will be deemed as “concurrence” on their part.
The “concurrence” of DENR-EMB will be signified by the signature of the EIA Division
Chief upon recommendation of the case handler.
There is no need for the DENR-EMB or DENR-EMB RO to prepare a letter for the
proponent to indicate approval of the scope of the EIS study. The signed scoping
checklist is the document that will define the scope of the EIS study.

B. Procedural Review Decision Document

The EMB or DENR-EMB RO, after reviewing the submitted copy of the EIS Study,
should reply within the prescribed timeframe to the proponent on whether they could
submit succeeding copies of each report for the substantive review.
For such purpose, the Procedural Screening Form duly signed by the case
officer/handler shall serve as the Procedural Review Decision Document.

C. EIARC Report

This report, to be prepared by the EIA Review Committee, forms part of the EIS
review documentation. The EIARC Report (see Annex I for suggested format) shall
be written by the designated member of the EIARC and signed by all the members
within five days after the final review meeting. If an EIARC member dissents, he or
she must submit a memorandum to the DENR-EMB Director through the EIARC
Chairman his or her reasons for dissenting.
The EIARC report should contain:
 Detailed assessment of the proposed mitigation and enhancement measures for
the identified environmental impacts and risks;
 Description of residual or unavoidable environmental impacts despite proposed
mitigation measures;
 Documentation of compliance with technical/substantive review criteria;

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 Key issues/concerns and the proponent's response to these, including social

acceptability measures;
 Assessment of the proposed EMP (including risk reduction/management plan)
and amounts proposed for the Environmental Guarantee Fund and the
Environmental Monitoring Fund, and
 Recommended decision regarding the ECC application as well as proposed ECC
conditions.
The EIARC Chair, on behalf of and with the concurrence of the committee members,
signs the report. The report shall include other supporting or pertinent documents.
Copies of the EIARC report and other pertinent documents shall form part of the
documents to be submitted to the deciding authority.

D. Review Process Reports

In the case of IEE, the review process report (see Annex J for suggested format) is
to be prepared by the technical committee members or the case officer/handler. The
report is to be forwarded to the EMB Regional Director/s as reference for decision-
making and maintained as part of the records on the ECC application of any project.
The report should contain at least the following:
 Summary of the environmental impacts of the undertaking, along with the
proposed mitigation and enhancement measures;
 Key issues/concerns and the proponent's response to these;
 Documentation of compliance with procedural requirements;
 Acceptability of proposed EMP including the corresponding cost of mitigation,
EGF and EMF if required
 Key bases for the decision on the ECC application.
If the documentary requirements (e.g., IEE, EPRMP, etc.) have been evaluated as
not having satisfied the substantive requirement, the DENR-EMB Director or
Regional Director may deny or recommend the denial of the ECC.

E. Environmental Compliance Certificate (ECC)

The Environmental Compliance Certificate (together with the official cover letter) or
the Denial Letter constitutes the decision document representing the final decision/s
of DENR on the ECC application of the proponent.
The ECC shall contain the scope and limitations of the approved activities, as well as
conditions to ensure compliance with the Environmental Management Plan. The ECC
shall also specify the setting up of an EMF and EGF, if applicable. No ECC shall be
released until the proponent has settled all liabilities, fines and other obligations with
DENR. A Denial Letter on the other hand shall specify the bases for the decision.
The ECC or Denial Letter shall be issued directly to the project proponent or its duly
authorized representative, and receipt of the letter shall be properly documented.

1. Time Validity
The ECC of a project not implemented within five years from its date of issuance is
deemed expired. The Proponent shall have to apply for a new ECC if it intends to
pursue the project.

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The reckoning date of project implementation is the date of the start of actual
construction. For this purpose, construction of fences (and other security enclosures)
is not considered as part of project implementation.

2. ECC Control Number

The ECC Control Number shall follow prescribed guidelines.

9.2 Issuance of Environmental Compliance Certificate

The decision by DENR to approve or deny the ECC application is based on striking the
correct balance between socio-economic development and environmental protection. On
one hand, DENR shall use a variety of criteria to assess environmental factors, social
acceptability and equity issues among others. On the other hand, the principle of the
primacy of jurisdiction of other government agencies must be respected and supported.

A. Environmental and Socio-economic Criteria

On the assessment of the overall acceptability and desirability of the project, the evaluation
requires the consideration of a broad spectrum of environmental factors, social acceptability
and equity issues such as:
 ecological/environmental soundness of the proposed project:
 The primary consideration that a project is deemed to be ecologically or
environmentally sound is that a project is designed in such manner so as to avoid or
minimize negative environmental impacts to the extent practical or feasible.
 The ecological or environmental soundness of a project is not determined solely by
the comprehensiveness of its programs or plans, but more importantly, on the
incremental improvements in environmental quality as a result of the project. The
key decision query for this criterion is: “Will the project improve the existing/current
environmental conditions in the area?”
From another perspective, ecological or environmental soundness of a project is
determined by the mitigation of negative environmental impacts. The key decision
query for this criterion is: “Are the proposed mitigating measures of the project
appropriate and adequate to reduce or minimize the projected negative
environmental impacts to the extent feasible/practical?”
 Another key consideration in the determination of ecological or environmental
soundness of a project is its conformance with local land use plan/s. As such, the
locational clearance or zoning viability (or other equivalent instrument) is an
important indicator for this criterion.
 effective implementation of the public participation process and resolution of conflicts
 It is important that the proponent and preparers utilized a meaningful process that
involved the widest possible range of stakeholders.
 On the other hand, the EIA process is not expected to be a venue for the final
resolution of conflicts – it should be noted that the primary responsibility for conflict
resolutions lies with the LGU concerned.
 The important consideration is that the proponent have exerted reasonable effort in
soliciting and harnessing the participation of stakeholders in the EIA process as well
as undertaking the appropriate mode of social impact assessment. As such, the
process documentation is one of the most suitable bases for assessing this criterion.

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 promotion of social and intergenerational equity and poverty alleviation

 It is important that the project promote social and intergenerational equity and
contributes to the poverty alleviation program of the government. Within the context
of the Philippine EIS System, the project must be deemed as satisfactorily adhering
to the principles of sustainable development.
 It is not sufficient that a project is deemed to contribute to socio-economic
development, but more importantly, it is implemented in a sustainable manner that
does not, in any manner, adversely impair the ability of future generations to achieve
socio-economic development.
 effective environmental monitoring and evaluation
 The effectiveness of the environmental monitoring and evaluation program of a
proposed project is best determined by its appropriateness. The program is effective
if it focuses on the most significant of the predicted environmental impacts.
 In addition, the estimated costs of monitoring and evaluation must be commensurate
to the operating costs/expenses of the project – this is to ensure the
“reasonableness” of the program.
 proposed mitigation and enhancement measures
 The effectiveness of the proposed measures is based on its appropriateness. The
costs of the proposed mitigation or enhancement measures must be commensurate
to the costs or projected income/revenue of the project. Likewise, the sophistication
of the proposed mitigation or enhancement measures must be appropriate to the
activities of the project.
 In addition, the proposed mitigation or enhancement measures must address the
most significant of the predicted environmental impacts. It is not expected that the
proponent shall resolve or address the entire problems (for example, a proponent
whose project may cause additional traffic in the area is not expected to solve the
problem). But rather, the proponent is expected to deal with (either by minimizing or
avoiding) incremental negative impacts that may be caused by the proposed project.

B. Primacy of Jurisdiction

In furtherance of the objectives of streamlining the Philippine EIS System, the framework in
which ECC applications are evaluated must be refined. The principle of primacy of
jurisdiction of other government agencies must be given due consideration – the DOH has
primary jurisdiction over health issues, the LGUs on social acceptability, and so on.
In particular, certain social acceptability determination must be devolved to the local
government units concerned. It should be noted that the issuance of ECC does not, in any
way, compel the LGU to issue the requisite permits or licenses (e.g., building permit,
business permit). Corollary to this principle, the issuance of ECC shall not be linked to any
processes that are entirely within the domain and jurisdiction of the LGU.
Furthermore, the Philippine EIS System must recognize the primacy of the jurisdiction of
other government agencies in their respective primary sphere of responsibilities. In this
connection, issues that are within the purview or mandates of other government agencies
shall be resolved exclusively by the agencies concerned. For example, health issues must
be dealt with using systems and procedures as may be prescribed by the Department of
Health. Another case in point, historical or cultural issues shall be within the exclusive ambit
of the National Historical Institute, National Commission on Culture and the Arts, and/or
other relevant government agencies.

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Using the same principle of jurisdiction primacy, the coverage under the Philippine EIS
System shall be based on expert judgment of the government agency concerned. For
example, determination of areas that are prone to volcanic activities or vulnerable to
earthquake shall be the exclusive domain of PHILVOLCS. Likewise, determination of areas
frequently visited or hard-hit by typhoons is within the jurisdiction of PAGASA.
In summary, streamlining the Philippine EIS System requires that concerns and issues under
the jurisdiction or mandates of other government agencies must be de-linked from the
process of evaluating ECC applications. As a practical application, requiring clearances,
permits or endorsements from other government agencies may only be done as part of ECC
conditions (and not as pre-requisites for ECC issuance).

C. Decision-Making

The responsible officer is expected to exercise due diligence and unbiased judgment in
evaluating an ECC application – by determining whether the proponent have reasonably
satisfied or complied with these decision criteria. He shall take into consideration the
recommendations of the EIARC, technical committee and/or the case handler.
As a general rule, the deciding authority must cite strong and compelling reasons, bases
and/or justifications whenever reversing or overturning the recommendations of the
reviewing parties (e.g., EIARC, technical committee, case handlers). Among reasons or
factors that may compel the deciding authority to revise, amend, reverse or amend the
recommendations of reviewing parties are:
 Abuse of discretion or authority by the reviewing parties – in such cases, the deciding
authority must initiate the appropriate administrative proceedings against the person/s
involved.
 Serious errors in the findings of facts – among factors that will present serious errors in
the findings of facts include the disproportionate costs of mitigating or enhancement
measures as compared to project costs or revenues, inappropriate mitigation or
enhancement measures to the predicted impacts of the projects, imposition of ECC
conditions that are not reasonable or appropriate to project activities, and similar
situations.
 The deciding authority, in making the final judgment, shall take into account the social
and environmental cost implications of the project relative to the judicious utilization,
development, and conservation of the country‟s natural resources.

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10. EIA Filing Fees and Review Fund

10.1 Schedule of Fees

All proponents, upon submission of the appropriate document/s, shall pay the corresponding
fees and other charges according to the schedule of fees in the table below:
DOCUMENTS
REQUIRED FOR Fees
CATEGORY APPLIED TO
ECC/CNC (PhP)
APPLICATION
Co-located Programmatic
10,000
A-1: New projects EIS
Single Project EIS 6,000
A-2: Existing and to Co-located Programmatic
4,000
be expanded projects EPRMP
(including
undertakings that
A: Environmentally have stopped
Critical Projects operations for more
than 5 years and
plan to re-start, Single Project EPRMP 4,000
with or without
expansion)

A-3: Operating
without ECC
IEE or IEE
B-1:New Single Project Checklist (if 4,000
available)
B-2: Existing and to EPRMP (based
be expanded Single Project on a checklist if 3,000
(including available)
B: Non- undertakings that
Environmentally have stopped
Critical But located operations for more
in an ECA than 5 years and
plan to re-start,
Co-located Project PEPRMP 4,000
with or without
expansion)

B-3: Operating
without ECC
C: Environmental
Co-located or Project
Enhancement or 600
Single Projects Description
Direct Mitigation
Project
Description or
Proof of Project
D: Not Covered Implementation 100
Start Prior to
1982 (if applying
for CNC)
Minor 300/condition
Request for ECC Amendment
Major 1,200/condition

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The fees enumerated above must all be paid by the proponent, regardless of whether the
ECC is eventually granted or denied. These non-refundable fees cover the basic costs to
government of the processing of proponent‟s application.

10.2 EIA Review Cost

The required fees cover only the basic costs of processing the proponent‟s application, i.e.,
the cost to EMB or the Regional Office of the procedural review. Substantive review of the
application, however, entails substantial resources that can not be provided by the EMB or
Regional Office regular budget.
The lack of the needed resources for the review of EIS documents oftentimes causes the
delay in the review process. The proponent and the DENR must cooperate to speed up the
review process. Now, the proponent has the option to shoulder the costs attendant to the
review of a project‟s IEE or EIS. The amount that will cover such cost is required to be
deposited with a fund manager, who will disburse the necessary amounts based on
mechanics to be agreed upon among the fund manager, the EMB or EMB Regional Office
and the proponent. Such system is designed to ensure transparency in disbursement of
funds and dispel suspicions of bribery and exertion of undue influence on the reviewers.

A. Work and Financial Plan

The establishment of an EIS Review Support Fund is an option for the proponent. If
the proponent is willing to contribute, then an agreement with EMB or DENR-EMB
RO is forged on a Review Work and Financial Plan (RWFP). The RWFP shall
indicate the timetable and the corresponding budget and logistical requirement to
attain the projected review completion date. The establishment of the fund is not a
guarantee that an ECC will be granted, but rather the assurance of completion of the
review within the mutually agreed upon RWFP.

B. The Fund Manager

The review funds shall be held by the fund manager as trustee; the ownership of said
amount remains with the proponent, and will not at any point be acquired by the
government nor by the fund manager. It is understood, however, that the fund
manager shall be entitled to a reasonable management fee.
The fund manager must be duly empowered to act as such, must have a reputation
for professionalism and trustworthiness, and must have adequate experience in the
field of fund management.

C. Process of Selecting Fund Manager

To ensure transparency, the selection of a fund manager shall follow government

guidelines on procurement of services. An alternative mode would be negotiation
with other government agencies or GOCCs (for example, Land Bank and DBP).
To provide the proponent with options, several institutions shall be selected by EMB
or DENR RO. A MOA shall be executed between the selected fund manager and the
proponent establishing the review fund. In the absence of such list, the fund
manager shall be selected by mutual agreement of EMB and the proponent.
The fund manager shall receive the payment and handle the funds in accordance
with applicable accounting and auditing practices and shall return to the proponent

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the unexpended balance of the fund within sixty days after the issuance or denial of
the ECC.

D. Cost Components of the EIS Review Support Fund

Expenses attendant to the review process include, but are not limited to, the following
items:
 Honoraria of EIA Review Committee Members and Resource Persons
The amount of honoraria to be paid to the EIARC members and Resource
Persons should be commensurate to their status as professionals and the time
they will provide for the review. It should reasonably approximate the opportunity
cost to said members, i.e., how much they will lose from their means of livelihood
as a result of the performance of their duties as review committee members.
DENR personnel are prohibited from being appointed as EIARC members.
Should their expertise be required to facilitate EIS Review, these persons may be
appointed as Resource Persons and may be paid the corresponding honoraria
subject to pertinent government rules and regulations.
The allowable rates for honoraria are as follows:
 For EIARC members – PhP 2,500 to 4,000 per meeting but not to exceed a
total of PhP 12,000 per person. The EIARC Chair may receive additional
honoraria provided the total amount does not exceed PhP 15,000.
 For Resource Persons – PhP 1,000 to 2,000 per meeting but not to exceed a
total of PhP 6,000 per person
 Site visit expenses of EIARC members, resource persons, and DENR staff
Only members of the EIARC and key DENR staff (at most two [2] personnel per
trip) are entitled to have their site visit expenses be shouldered by the proponent
through the trust fund (through cash advance or reimbursement of actual
expenses). These expenses include round trip transport cost using the most
economical and practical route, and reasonable per diem to cover food and
accommodation, depending on site location and the attendant cost of living, for a
maximum of three (3) days per trip inclusive of travel time unless circumstances
warrant otherwise. Under no conditions should such per diems or
travel/transportation allowances exceed double (or twice) prescribed government
rate for such travel(s) or the proponent‟s/preparer‟s standard/existing rates for
such purposes as may be agreed upon during the finalization of the Review Work
and Financial Plan. The per diem of EIARC members and/or resource persons is
over and above the honorarium to which they are entitled.
If per diem is provided, the proponent is prohibited from providing hotel/lodging
accommodation and/or meals to EIARC members, resource persons, DENR
officers and personnel, and other members of the team during field visits, site
inspection, public hearing and other such activities. Such prohibition is waived in
cases where the site visited does not have facilities/amenities for such purposes.
 Logistical support
These expenses include the cost of food per meeting, supplies and materials for
preparation of individual and EIARC reports, documentation costs, reproduction
costs, transportation costs of EIARC members to and from their meetings, and
cost of communicating with EIARC members.
 Public Hearing

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In addition to the travel costs and per diems, the proponent should shoulder
expenses for the preparation of materials for the public hearing, cost of venue
and food of participants.
 Basic administrative costs
In consideration for services rendered by the fund manager, a reasonable
amount may be charged as management fee. Furthermore, to insure that DENR
can provide adequate secretariat support services, a separate administrative cost
may be assessed as per the agreed Review Work and Financial Plan.

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11. Fines, Penalties and Sanctions

The Directors of the EMB Central Office or Regional Office shall impose fines and penalties
upon persons or entities found violating provisions of P.D. 1586, and its Implementing Rules
and Regulations. Details of the Fines and Penalty Structure are presented in the succeeding
sub-sections.
The EMB Director or the EMB-RD may issue a Cease and Desist Order (CDO) based on
committed violations by the industry/company under the Philippine EIS System to prevent
grave or irreparable damage to the environment. Such CDO shall be effective immediately.
An appeal or any motion seeking to lift the CDO shall not stay its effectivity. However, the
DENR shall act on such appeal or motion within ten (10) working days from filing.
The EMB may publish the identities of firms that are in violation of the EIA Law and its
Implementing Rules and Regulations despite repeated Notices of Violation and/or Cease
and Desist Orders.

11.1 Scope of Violations

Violations of Provisions of PD 1586 and the DAO 2003-30 are classified as follows:

A. Projects which are Established and/or Operating without an ECC

ECP and other project or activity which has been classified as environmentally critical
based on the nature of activity/process posing significant risk, (i.e. hazardous waste
disposal facility, sanitary landfills, etc.) found operating without a valid ECC shall be
ordered closed, through a CDO, without prejudice to its applying for an ECC pursuant
to the process outlined in DAO 2003-30. Such issuance of a CDO comes after the
issuance of a Notice of Violation (NOV) and the conduct of a technical hearing.
However, for projects that pose danger to life and property, a CDO shall be
immediately issued.
Proponents of critical projects or projects located in an environmentally critical areas
operating without an ECC will pay a P50,000.00 fine and payment will not justify the
continuation or resumption of development activities or operation, since such
continuation of the development/operation will only be authorized with the issuance
of the ECC. The fine is simply the basic penalty that, in certain instances, may be
reinforced by a CDO.
Respondent who is found violating by operating without an ECC may still apply for an
ECC, its ECC shall not be acted upon until it ceases development and operations
and pays all the fines imposed upon it. Such proponent must be aware, however, that
its operations prior to the issuance of its ECC may be taken against it and result in
denial of its ECC application.

B. Projects Violating ECC Conditions, EMP, Rules and Regulations

Projects violating any of the conditions in the ECC, EMP or rules and regulations
pertaining to the EIS System shall be subjected to suspension or cancellation of its
ECC and/or a fine in an amount not to exceed P50,000 for every violation of an ECC
condition, or the EMP, or the EIS System rules and regulations. The suspension or
cancellation of the ECC shall include the cessation of operations through the
issuance of CDO. Violation of one condition in the ECC is an offense separate and
distinct from the violation of another condition. It is possible that a respondent be

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subjected to a fine of more than P50,000.00 if more than one ECC condition is
violated.

C. Misrepresentation in the IEE/EIS or any Other Documents

All misrepresentations, whether material or minor constitute violations on the theory

that full disclosure in the EIS or IEE is the key to the effective use of the EIS System
as a planning, management, and regulatory tool. Misrepresentation in the IEE/EIS or
any other documents submitted by the proponent shall be subjected to suspension or
cancellation of the ECC and/or a fine in an amount not to exceed P 50,000.00 for
every misrepresentation. The proponent and the preparer responsible for the
misrepresentation shall be solidarily liable for the payment of the fine, without
prejudice to the withdrawal of the accreditation of the preparer‟s involved.

11.2 Computation of Fines

Failure to pay a fine imposed by the Secretary, EMB Director or the RD constitutes
an offense separate from the original offense that brought about the imposition of the
original fine and may warrant the imposition of another fine, and/or the issuance of a
CDO.
It should be noted that the sum of P50,000.00 is fixed if the violation falls under the
operating without an ECC situation. In case of violation of ECC conditions, EMP, or
EIS rules and regulations, the sum of P50,000.00 is set as the maximum amount of
fine per violation and can be therefore appropriately reduced at the discretion of the
Secretary, the EMB Director, or the RD. The amount of fine in the latter case shall
consider the circumstances of each case, i.e. impact of the violation on the
environment. The mechanics of fine reduction is presented in the table below.

Amount
% Reduction in Penalty
(PhP)
Nature of ECC Application
Proponent Applied for ECC before
25 25,000.00
issuance of NOV
Percentage Project Completion
Project is 25% completed 10 45,000.00
Project is >25% but < 50% Completed 5 47,500.00
Project is > 50% completed 0 50,000.00
Project Cost
Project cost is =< PhP 5.0 M 20 40,000.00
Project cost is /> PhP 10.0 M 10 45,000.00
Project Impact on the Environment
Project does not cause adverse
25 37,500.00
Environmental impacts
Note: A maximum of 80% reduction in penalty can only be imposed provided that the project proponent
meets all of the above criteria.

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ANNEX A
Detailed Listing of Category D Projects
General/Facilities for Service Industries
 trading
 broker-forwarding business
 trucking
 sea and air freight services
 containerized shipping service
Wooden and metal furniture assembly which does not involve spray painting
and electroplating process
Office furniture such as tables and chairs; dinning sets; sala set; buri furniture; rattan
furniture; iron chairs and tables; iron frames; antique reproduction
Energy Projects
Activities related to energy projects such as seismic survey; gravity survey; geo-scientific,
geophysical surveys; reconnaissance; exploration; feasibility studies; piloting; core
drilling/sampling; research and development activities; and all other activities that do not
involve significant earth moving an ecological/vegetative disturbance activities using
mechanical equipment that effect the environment
Rehabilitation / Improvement of roads, bridges, and viaducts
 Without an increase in the right of way acquisition or with an increase of less than or
equal to 50 % acquisition of right of way
 Overpass construction
 Dams, reservoir and impounding systems for irrigation, water supply and other purposes
with service area of less than 300 has. and level 1 and 2 water supply system
 Family dwellings/apartment type (regardless of area)
Cottage Industry
Toys and stuffed toys; handicrafts; gift wares; fashion accessories; souvenir items;
decorative flowers or ornamental; shirt printing; decorative accessories; ceramics;
baseboards, moulding frames; wooden antiques; bags, belts; paper boxes, paper mache;
christmas ornaments; baskets; wall decors; hand painted terracotta; mirror frames; vases,
house wares; wooden hand painted cabinets; abaca trays, wire decors; hamp g nets; rope,
twines; fossil stones; shell furniture; religious decors; throw pillow; wine caddies, fruit bowls;
boat shelves; wooden mini boats; doll house, bird cage; lamp base; mini airplanes; cords,
beads, ribbons, laces; torcher floor lamps; garden accents; wheel chairs, stretcher; stainless
steel kitchen equipment; pencil case, wallet; candle; food bowl; jewelry case, key holder;
nativity cards; cloth hat; native fiber décor; topiaries; decorative statues; porcelain and
fiberglass items; handcrafted carabao horns; bone products; salad server; flower pots;
chandeliers, lighting fixtures; other lightning accessories; shoes; blinds; decorative angels
Telecommunications
 Indoor Antennae

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 Based Transceiver Station (refers to equipment housing only and does not involve
installation of a tower, based transceiver station antenna without equipment room or
tower, and based transceiver station mounted on any existing structures)
 On top of a building (Mounted on a Building) wall mounted and floor mounted
 Pole and Parapet Mounted Antennae
 Monopole Tower
Garment Manufacturing w/o Dyeing and only involves spining,cutting and
sewing:
Leather gloves; knitted sweaters; knitting pullover; cardigan for ladies and children; dresses;
knit tops; shirts; sweatshirts; pants; trousers; blouses; skirts and coverall; telephone cover;
embroidered kitchen linens and table tops; placemats; napkin; pillowcase; children
garments; coin purse; hand woven embroidered piña barong; hats; carpets and rugs; crochet
slipper and shoes; face towel; table cloth; table linens; apron; pot holder; oven mittens; bottle
cover; panel curtains; napkin rings; table runner; mats
Others
 Flowers/ornamentals production and sale, including landscaping;
 Information Technology Services
 Importation or Purchase of Equipment
 Treasure hunting projects not located in National Integrated Protected Areas System
(NIPAS)
 All demonstration and pilot projects
 Substations/switchyards with rated capacity of less than or equal to 220kV
 New construction of bridges and viaducts with length equal to or less than 50 meters
 All power plants with capacity that is less than or equal to one (1) MW

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ANNEX B
Recommended Format for an EIS

I. TABLE OF CONTENTS
II. EXECUTIVE SUMMARY
A. Brief Introduction
B. Brief Description of Methodology and Profile of EIA Team
C. Scope and Limitation of the EIA Study
D. Brief Project Description
E. Brief Description of Baseline Environmental Conditions
F. Matrix of Issues and Impacts Raised During the Scoping and
Consultations
G. Matrix of Major Impacts, and Mitigation/Enhancement Measures with
Summary Discussion
H. Matrix of Environmental Management Plan with Summary Discussion
I. Matrix of Environmental Monitoring Plan with Summary Discussion
J. Proposal of Environmental Guarantee and Monitoring Fund Scheme
(when applicable)
K. Summary of Process Documentation Report, and
L. Summary of Commitments, Agreements (or both) and Proofs of Social
Acceptability
III. INTRODUCTION
A. Project Background
B. EIA Approach and Methodology
C. EIA Process Documentation
D. EIA Team
E. EIA Study Schedule
IV. PROJECT DESCRIPTION
A. Project Rationale
B. Project Alternatives
C. Project Location
D. Project Information
E. Description of Project Phases
1. Pre-construction/operational phase
2. Construction phase
3. Operational phase
4. Abandonment phase
V. BASELINE ENVIRONMENTAL CONDITIONS

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A. Physical Environment
1. Geology and geomorphology
2. Hydrology and hydrogeology
3. Pedology and land use
4. Water quality and limnology
5. Meteorology
6. Air and noise quality
7. Oceanography
B. Biological Environment
1. Terrestrial flora and fauna
2. Marine biology
C. Socio-Cultural, Economic and Political Environment
VI. FUTURE ENVIRONMENTAL CONDITIONS WITHOUT THE PROJECT
VII. IMPACT ASSESSMENT AND MITIGATION
A. Physical/Chemical Effects
1. Land
2. Water
3. Air
B. Biological/Ecological Effects
1. Terrestrial flora and fauna
2. Aquatic flora and fauna
C. Aesthetic and Visual Effects
D. Socio-Cultural and Economic Effects
1. Population
2. Labor and employment
3. Housing and social services
4. Infrastructure and public utilities
5. Health and education
6. Culture and lifestyle
7. Livelihood and income
8. Archeological/anthropological/historical sites
E. Mitigation and Enhancement Measures
F. Residual and Unavoidable Impacts
VIII. ENVIRONMENTAL RISK ASSESSMENT (WHEN APPLICABLE)

IX. ENVIRONMENTAL MANAGEMENT PLAN

A. Construction/Contractors Environmental Program

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B. Social Development Program

C. Contingency/Emergency Response Plan
D. Risk Management Program
E. Abandonment Plan (when applicable)
F. Environmental Monitoring Plan
X. ENVIRONMENTAL GUARANTEE AND MONITORING FUND PROPOSAL
XI. COMMITMENTS AND AGREEMENTS
XII. BIBLIOGRAPHY/REFERENCES
A. Attachments or Annexes
B. List of EIS Preparers with specified field of expertise
C. Original Sworn Accountability Statement of Key EIS
Consultants
D. Original Sworn Accountability Statement of Proponent
E. Photos or plates of proposed project site, impact areas and affected
areas and communities
F. Process Documentation Report
G. Scoping Report
H. Summary of Proof of Social Preparation Process Conducted

All projects or undertakings covered by the EIS System and classified by the Department of
Health (DOH) as Health Sensitive Projects or located in Health Sensitive Areas shall include
a chapter on Environmental Health Impact Assessment (EHIA). The EHIA Chapter shall
contain, among others, the following information:
 Health and Sanitation Information of the Affected Community
 Environmental Health Impact Analysis/Assessment
 Proposed Control and Mitigating Measures for the Environmental Health Impacts
Identified.

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ANNEX C
Recommended Format for a PEPRMP

I. TABLE OF CONTENTS
II. EXECUTIVE SUMMARY
A. Brief Introduction
B. Brief Description of Co-located Projects
C. Brief Description of Critical Environmental Conditions
D. Brief Description of Environmental Performance
E. Matrix of Environmental Management Plan with Summary Discussion
F. Matrix of Environmental Monitoring Plan with Summary Discussion
G. Proposal of Environmental Guarantee and Monitoring Fund Scheme
(when applicable)
III. INTRODUCTION
A. Project Background
B. List of Resource Person/s or Responsible Officers/Personnel
IV. PROJECT DESCRIPTION
A. Project Rationale
B. Project Location
C. Description of Co-located Projects and their Operations
For expansion or process modification, this section shall include a
detailed comparative description of the proposed project expansion
and/or process modification with corresponding material and energy
balances in the case of process industries
V. CRITICAL ENVIRONMENTAL CONDITIONS
A. Physical Environment
1. Geology and geomorphology
2. Hydrology and hydrogeology
3. Pedology and land use
4. Water quality and limnology
5. Meteorology
6. Air and noise quality
7. Oceanography
B. Biological Environment
1. Terrestrial flora and fauna
2. Marine biology
C. Socio-Cultural, Economic and Political Environment

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(The coverage of this section may be refined in accordance with the

agreements during the technical scoping.)
VI. ENVIRONMENTAL PERFORMANCES
A. Physical Environment
1. Land
2. Water
3. Air
(This section shall include carrying capacity assessments for the
applicable regulated pollutants based on actual discharges/emissions.
However, in the case of stand-alone project/s, the requirement of
carrying capacity assessment/s may be waived by the EIARC.
Monitoring results for the preceding six months [minimum] should also
be included.)
B. Biological Environment
1. Terrestrial flora and fauna
2. Aquatic flora and fauna
(This section shall discuss actual and applicable impacts on the
biological environment based on actual inventories or monitoring
activities. Anecdotal documentations may only be used with prior
approval of DENR-EMB.)
C. Socio-Cultural and Economic Environment
1. Population
2. Labor and employment
3. Housing and social services
4. Infrastructure and public utilities
5. Health and education
6. Culture and lifestyle
7. Livelihood and income
8. Archeological/anthropological/historical sites
9. Aesthetic and Visual Impacts
(This section shall discuss actual and applicable impacts on the social
environment based on actual or incremental effects [both positive and
negative] for the preceding two years.)
VII. ENVIRONMENTAL RISK ASSESSMENT (WHEN APPLICABLE – this
section shall discuss the safety records of the preceding two years.
Highlights of the hazard assessment/analysis, QRA or other safety studies
should also be discussed.)
VIII. ENVIRONMENTAL MANAGEMENT PLAN
A. Social Development Program
B. Contingency/Emergency Response Plan
C. Risk Management Program
D. Abandonment Plan (when applicable)

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E. Environmental Monitoring Plan

(This section shall discuss actual and applicable environmental management
and monitoring plan including any EMS.)
X. ENVIRONMENTAL GUARANTEE AND MONITORING FUND
XI. COMMITMENTS AND AGREEMENTS
XII. BIBLIOGRAPHY/REFERENCES
A. Attachments or Annexes
B. Photos or plates of project site, impact areas and affected areas and
communities
C. Documentation of Environmental Performance (including the
appropriate laboratory results)

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ANNEX D
Recommended Format for an EPRMP

I. TABLE OF CONTENTS
II. EXECUTIVE SUMMARY
A. Brief Introduction
B. Brief Project Description
C. Brief Description of Critical Environmental Conditions
D. Brief Description of Environmental Performance
E. Matrix of Environmental Management Plan with Summary Discussion
F. Matrix of Environmental Monitoring Plan with Summary Discussion
G. Proposal of Environmental Guarantee and Monitoring Fund Scheme
(when applicable)
III. INTRODUCTION
A. Project Background
B. List of Resource Person/s or Responsible Officers/Personnel
IV. PROJECT DESCRIPTION
A. Project Rationale
B. Project Location
C. Project Description (including its operations)
This section shall include a detailed comparative description of the
proposed project expansion and/or process modification with
corresponding material and energy balances in the case of process
industries
V. CRITICAL ENVIRONMENTAL CONDITIONS
A. Physical Environment
1. Geology and geomorphology
2. Hydrology and hydrogeology
3. Pedology and land use
4. Water quality and limnology
5. Meteorology
6. Air and noise quality
7. Oceanography
B. Biological Environment
1. Terrestrial flora and fauna
2. Marine biology
C. Socio-Cultural, Economic and Political Environment

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(The coverage of this section may be refined in accordance with the

agreements during the technical scoping.)
VI. ENVIRONMENTAL PERFORMANCES
A. Physical Environment
1. Land
2. Water
3. Air
(This section shall include discuss the actual and applicable impacts
of the Project. Monitoring results for the preceding six months
[minimum] should also be included.)
B. Biological Environment
1. Terrestrial flora and fauna
2. Aquatic flora and fauna
(This section shall discuss actual and applicable impacts on the
biological environment based on actual inventories or monitoring
activities. Anecdotal documentations may only be used with prior
approval of DENR-EMB.)
C. Socio-Cultural and Economic Environment
1. Population
2. Labor and employment
3. Housing and social services
4. Infrastructure and public utilities
5. Health and education
6. Culture and lifestyle
7. Livelihood and income
8. Archeological/anthropological/historical sites
9. Aesthetic and Visual Impacts
(This section shall discuss actual and applicable impacts on the social
environment based on actual or incremental effects [both positive and
negative] for the preceding year.)
VII. ENVIRONMENTAL RISK ASSESSMENT (WHEN APPLICABLE – this
section shall also discuss the safety records of the preceding two years.
Highlights of the hazard assessment/analysis, QRA or other safety studies
should also be discussed.)
VIII. ENVIRONMENTAL MANAGEMENT PLAN
A. Social Development Program
B. Contingency/Emergency Response Plan
C. Risk Management Program
D. Abandonment Plan (when applicable)
E. Environmental Monitoring Plan

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(This section shall discuss actual and applicable environmental management

and monitoring plan including any EMS.)

X. ENVIRONMENTAL GUARANTEE AND MONITORING FUND

XI. COMMITMENTS AND AGREEMENTS
XII. BIBLIOGRAPHY/REFERENCES
A. Attachments or Annexes
B. Photos or plates of project site, impact areas and affected areas and
communities
C. Documentation of Environmental Performance (including the
appropriate laboratory results)

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ANNEX E
Recommended Format for an IEE

I. TABLE OF CONTENTS
II. EXECUTIVE SUMMARY
III. INTRODUCTION
A. Project Background
B. EIA Process Documentation
C. EIA Methodology
D. EIA Team
E. EIA Study Schedule
IV. PROJECT DESCRIPTION
A. Project Rationale
B. Project Location
C. Project Information
D. Description of Project Phases
1. Pre-construction/Operational phase
2. Construction phase
3. Operational phase
4. Abandonment phase
V. DESCRIPTION OF ENVIRONMENTAL SETTING AND RECEIVING
ENVIRONMENT
A. Physical Environment
B. Biological Environment
C. Socio-Cultural, Economic and Political Environment
D. Future Environmental Conditions without the Project
VI. IMPACT ASSESSMENT AND MITIGATION
A. Summary Matrix of Predicted Environmental Issues/Impacts and their
Level of Significance at Various Stages of Development
B. Brief Discussion of Specific Significant Impacts on the Physical and
Biological Resources
C. Brief Discussion of Significant Socio-economic Effects/Impacts of the
Project
VII. ENVIRONMENTAL MANAGEMENT PLAN
A. Summary Matrix of Proposed Mitigation and Enhancement Measures,
Estimated Cost and Responsibilities
B. Brief Discussion of Mitigation and Enhancement Measures
C. Monitoring Plan

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D. Contingency Plan (if applicable)

E. Institutional Responsibilities and Agreements
VIII. BIBLIOGRAPHY/REFERENCES

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ANNEX F
Recommended Format for a Project Description

I. INTRODUCTION
II. PROJECT DESCRIPTION
A. Project Rationale
B. Proposed Project Location
C. Description of Project Operations
1. Process Flow
2. Material and Energy Balance
3. Production capacity and descriptions of raw materials, by-
products, products and waste materials
D. Description of Project Phases
1. Pre-construction/Operational phase
2. Construction phase
3. Operational phase
4. Abandonment phase
E. Project Capitalization and Manpower Requirement
III. ENVIRONMENTAL MANAGEMENT PLAN – discussion of the residual
management scheme among others
A. Air
B. Water
C. Land
IV. ATTACHMENTS
It should be noted that CNC applications does not require any other
attachments aside from those needed to provide additional information or
details on project descriptions. Specifically, barangay clearances or permits,
LGU endorsements, and similar documents are not required.

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ANNEX G
Scoping Report

I. Project Name or Title

II. Name and Address of Proponent
III. Project Description
A. Goals and Objectives
B. Rationale
C. Project Area and Location
D. Project Components
E. Project Activities
1. Pre-Construction Phase
2. Construction Phase
3. Operation and Maintenance Phase
4. Abandonment Phase (if applicable)
IV. Pre-Scoping Activity (summary documentation of social preparation activities)
V. Scoping Process (process documentation of the actual scoping activity)
VI. Summary of Agreed Upon Scope including a brief description of issues or
impacts identified or perceived during the various phases of project
development categorized into physical, biological and socio-economic
environment.
VII. Summary of agreed upon studies to be undertaken and methodology
VIII. Agreed Upon Scope of Participation of Stakeholders

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ANNEX H
Scoping Checklist
SCOPING DOCUMENT NO : S-__ __ __ __ - __ __ __

EIA FORM RRA 1-A : F I R S T L E V E L S C O P I N G C H E C K L I S T FOR ENVIRONMENTAL IMPACT

STATEMENTS (EIS)
Project Title; ______________________________________Project Location ______________________

Project Proponent:________________ Address:_____________________Tel.No. __________________________ Contact Person :

______________________________________

EIS Consultant:___________________________Address________________Tel. ___________________

Contact Person : ___________Date of Scoping : _________________Place:______________________________

EMB/DENR Representative/s : _________________________________________________________

GENERAL (“MUST”) REQUIREMENTS

REQUIREMENT SPECIFIC REQUIREMENTS /SPECIAL INSTRUCTIONS

Table of Contents 
Executive Summary
 Brief Description of the project including project cost 
 Brief Description of the Data Gathering, scope of study, duration / 
period, team, methodology, documentation.
 Brief Description of the project environment (focus on main 
conclusions and their basis)
 Tabulated summary and discussion of major impacts, main mitigating  Impacts must consider the project’s effects to the
measures, main components of the Environmental Management Plan, direct, primary and secondary impact areas
etc.
 Tabulated Summary of the Environmental Monitoring Plan.  Must include cost of monitoring activities to ensure
that proper funds are allocated for its implementation.
Project Description
 Basic project information – project name, type, coverage, address and  Must include also include consultant’s name,
cost, and proponent‟s address, contact no. and contact person address, contact person and contact number

 Project location – barangay, municipality, province, etc.; indicate  Presented in legible maps :
geographic coordinates
Regional and provincial, Land use map, Vicinity map
(showing major landmarks, exiting industries, settlements,
etc)
Showing title, legend, scale, project location and political
boundaries; delineation of areas of primary and secondary
impact areas,
 Project Rationale (in terms of environmental, economic and social 
parameters in relation to nat‟l economic dev‟t)
 Technology and siting alternatives considered selection criteria Include discussion on site selection procedures conducted
applied (how the project site was selected)
 Project Components (include Physical Plan/Site Development Map)  Include project components in the site development map

 Description of Project Phases / Specific Activities 

- Pre-construction/Commissioning/Mobilization
- Construction
- Operation Process Description (include material and energy
balance-if appropriate)
- Abandonment/Decommissioning/Demobilization
Environmental Management / Monitoring Plan
 Impact/s Mitigation Program 
 Detailed Monitoring Plan with Costing (amt. of EMF) 
 IEC and Social Development Program 
 Environmental Risk Management and Emergency Response Program  ( include specific emergency programs in case of fire,
to include designation of buffer zones spills, ground water contamination)
 Abandonment / Rehabilitation Plan  since the area is leased, determine if the encapsulated

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REQUIREMENT SPECIFIC REQUIREMENTS /SPECIAL INSTRUCTIONS

sludge will be removed or not, if not, what is the

responsibility of the proponent and the land owner
 Institutional Plan

 Proposed Amount of EGF/CLRF showing computation and its basis.

Accountability Statement from the EIS Consultants and Project  Include List of EIS Preparers with specified fields of
Proponent expertise
Certificate of Zoning Viability 
DA Certificate of Viability for Conversion (if in agricultural land and If applicable only
conversion is necessary)

Land Title/ Proof of Land Jurisdiction/Ownership (lease agreement)

PAWB Endorsement (if w/in protected area or NIPAS area) If applicable
SEC Registration 

NWRB Water Use Permit/Certificate of Water Availability  (if the proponent will utilize ground water for its water
requirement.
Review Fund 

Electronic File of the EIS including maps 

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ENVIRONMENTAL IMPACT IDENTIFICATION, ASSESSMENT AND MITIGATION / MANAGEMENT

SCOPE OF STUDY

TEMPORAL SCOPE GEOGRAPHICAL SCOPE

PRE-CONST. / CONSTRUCTION OPERATION PHASE ABANDONMENT PHASE AND BEYOND (delineation of 1 and 2impact
ENVIRONMENTAL PARAMETER
PHASE areas)

Yes No Remarks Yes No Remarks Yes No Remarks

1. Land Features and Uses

1.1. Land use  

1.2. Topography/ Physiography  

1.3. Geology/Soils  

1.4 Aesthetics  

2. Species and Ecosystems

2.1 Terrestrial Fauna 

2.2 Terrestrial Flora 

2.3 Aquatic Fauna  If the project site is

near an major water
body

2.4 Aquatic Flora 

3. Air and Water

3.1 Air Quality 

3.2 Surface Water Quality 

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3.3 Groundwater Quality 

4. Socio-Economic Considerations

4.1 Population/Settlement/Migration 

4.2 Employment/Livelihood 

4.3 Health 

4.4 Cultural and Historical Value 

4.5 Resource use competition 

ENVIRONMENTAL RISK ASSESSMENT (if applicable)

RECEPTOR Require SOURCE OF RISK (Hazards) SCENARIOs TO BE CONSIDERED METHODOLOGY*/MODEL TO BE USED

d?

Y N

People

Socio-Economic

Water Quality

Air Quality

*Essential Components of the ERA Study : System Description, hazard identification, consequence analysis, frequency analysis, risk estimation, risk management and emergency preparedness
and response plan)

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BASELINE ENVIRONMENTAL CONDITION

Technical Requirements Req’d ? SCOPE / SPECIAL INSTRUCTIONS / ACCEPTABLE SOURCE / SAMPLING METHODOLOGY
MAP SCALE
Y N

1.0 Physical Environment

1.1 Geology

1.1.1. Regional/General Geological Map

1.1.2. Geological Cross-Sections

1.1.3. Sequence Stratigraphic Column of Rock Units

1.1.4. Geomorphological Map

1.1.5. g factor Contour Map for Rocks

1.1.6. g factor Contour Map for Medium Soils

1.1.7. Seismicity Map

1.1.8. Differential Settling Hazard Map

1.1.9. Bathymetric and Morphostructural Map

1.1.10. Results of Petrographic and Mineragraphic

Analyses
1.1.11. Results of Geochemical Analyses of Rock
Samples
1.2 Pedology

1.2.1. Topographic Map showing Drainage System

1.2.2. Slope and Elevation Map

1.2.3. Soil Investigation Report including maps on the

following :
 Soil Erosion
 Soils Types

 Soil Fertility
 Vegetation

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BASELINE ENVIRONMENTAL CONDITION

Technical Requirements Req’d ? SCOPE / SPECIAL INSTRUCTIONS / ACCEPTABLE SOURCE / SAMPLING METHODOLOGY
MAP SCALE
Y N

1.2.4. Laboratory Results of Soil Sample Analysis

1.3 Hydrology

1.3.1. Regional Hydrogeologic Map

1.3.2. Streamflow Measurements/ Mean Monthly Flow

Data
1.3.3. Flood Peaks, Volumes, frequency rating curves
and Stormwater flow estimates
1.3.4. Spring and Well Inventory

1.4 Oceanography

1.4.1. Predicted Tides

1.4.2. 24-Hour Tidal Cycles

1.4.3. Surface Current System

1.5 Water Quality

1.5.1. Physico-Chemical Characteristics of Wells and

Springs
1.5.2. Physico-Chemical Characteristics of Inland
Surface Waters
1.5.3. Physico-Chemical Characteristics of Coastal
Waters
1.5.4. Bacteriological Characteristics of Wells and
Springs
1.5.5. Bacteriological Characteristics of Inland Surface
Waters
1.5.6. Bacteriological Characteristics of Coastal
Waters
1.5.7. Sampling Site Map

1.6 Meteorology/Climatology

1.6.1. Monthly Average Rainfall of the Area

1.6.2. Climatological Normals/Extremes

1.6.3. Wind Rose Diagrams

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BASELINE ENVIRONMENTAL CONDITION

Technical Requirements Req’d ? SCOPE / SPECIAL INSTRUCTIONS / ACCEPTABLE SOURCE / SAMPLING METHODOLOGY
MAP SCALE
Y N

1.6.4. Frequency of Tropical Cyclones

1.7 Air Quality /Noise

1.7.1. Ambient Air Quality (TSP, SO x, NO x, PM10,

etc.) 24-Hour Sampling
1.7.2. Noise Levels

1.7.3. Sampling Station Map (air and noise)

1.7.4. Air Dispersion Diagrams/Isophlet

2.0 Biological Environment

2.1. Vegetation, Wildlife and Insect Profile

2.1.1. Flora and Fauna Species Inventory or Survey

2.1.2. Summary of Endemicity /Conservation Status

2.1.3. Summary of Abundance, Frequency and

Distribution
2.1.4. Site Observation/ Transect Walk Map

2.2 Aquatic Fresh/Marine Environment

2.2.1. Abundance/Densities/Biomass of
Seagrasses/Seaweeds
2.2.2. Density/Abundance of Planktonic and Benthic
Algae
2.2.3. Benthic Fauna Population and Density of
Benthic Organisms
2.2.4. List of Fish Species/Estimated Biomass

2.2.5. Ranks and Proportion of Commercially and

Non-commercially Important Indicator
Species
2.2.6. Seabottom Cover Map showing Coral &
Seagrass Beds,etc.
2.2.7. Sampling Site Map

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BASELINE ENVIRONMENTAL CONDITION

Technical Requirements Req’d ? SCOPE / SPECIAL INSTRUCTIONS / ACCEPTABLE SOURCE / SAMPLING METHODOLOGY
MAP SCALE
Y N

3.0 Socio-Economic and Cultural Environment

3.1 Demography

3.1.1. Settlement Map and Population Distribution

Map
3.1.2. Land Use Map (include locations of ecological,
military reserves, scenic spots and areas of
religious, historic and cultural significance)
3.1.3. Population Growth Rate

3.1.4. Number of Households and Household Size by

Barangay
3.1.5. Summary of Demographic data per Barangay to
be directly affected: Land Area, Population,
Population Density, Main Sources of Income,
Sex and age Composition, Literacy, Highest
Educational Attainment, Employment Status
3.1.6. Household Profile based on results of the
Survey
3.1.7. IPs/Vulnerable Groups

3.2 Health

3.2.1. Morbidity and Mortality Rates (Infants and Adults)

from Direct Impact Areas
3.2.2. 5-Year Trend in Morbidity and Mortality

3.2.3. Notifiable Diseases in the Area including

Endemic Diseases
3.2.4. Local Health Resources (Government and Private)

3.2.5. Environmental Health and Sanitation Profile: water

supply, human excreta management, waste
management and disposal systems and food
hygiene
3.3. Other Social Services/Utilities

3.3.1. Water Supply and Demand

3.3.2. Transportation

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BASELINE ENVIRONMENTAL CONDITION

Technical Requirements Req’d ? SCOPE / SPECIAL INSTRUCTIONS / ACCEPTABLE SOURCE / SAMPLING METHODOLOGY
MAP SCALE
Y N

3.3.3. Power Supply and Demand

3.4. Public Participation and Social Acceptability

3.4.1. Public Perception Survey Questionnaire and

Results Summary
3.4.2. Endorsement / Proof of consultation with LGUs
/RDC
3.4.3. Endorsement / Proof of consultation with NGOs
/ POs

4.0 Others

SCOPED BY : EIARC MEMBERS

NAME EXPERTISE SIGNATURE NAME EXPERTISE SIGNATURE

EIA PERSONNEL REPRESENTATIVE/S OF THE PROJECT PROPONENT

_________________________ _______________________ ____________________________ _________________________________

Signature over Printed name Signature over Printed name Signature over Printed name Signature over Printed name

NOTED BY: EIA CONSULTANTS:

________________________ ___________________________ ___________________________________

EIA Division Chief/ Chief, R&A Section Signature over Printed name Signature over Printed name

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Scoping Document No : S-__ __ __ __ - __ __ __

EIA FORM RRA 1-B: Report on the conduct of Second Level (Site) Scoping
Project Title : ____________________________________ Project Location :___________________________________Project Proponent :______________________

Address : __________________________________ Tel.No. ______________ Fax No. ________________ Contact Person : _____________

EIS Consultant : ____________________________ Address : _________________________Tel. No.______________Fax No.____________ Contact Person : _____________

Date of 2nd Level Scoping : ______________________Venue :___________________________________EMB/DENR Representative/s : _________________ _________________________________

ISSUES / CONCERNS TO BE INCLUDED IN THE SCOPE OF THE EIA STUDY

Environmental Resource Issues Stakeholder who raised the issue/concern

CONSTRUCTION/ OPERATION PHASE ABANDONMENT PHASE AND BEYOND
PRE-CONSTRUCTION PHASE

Land Features and Uses

Species and Ecosystems

Socio-Economic
Considerations

Air and Water

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SCOPED BY :

EIARC MEMBERS

NAME EXPERTISE SIGNATURE NAME EXPERTISE SIGNATURE

EIA PERSONNEL REPRESENTATIVE/S OF THE PROJECT PROPONENT

_________________ ___________________ ______________________ ____________________

Signature over Printed name Signature over Printed name Signature over Printed name Signature over Printed name

NOTED BY : EIA CONSULTANTS :

___________________ ________ _______________________ ________________________

EIA Division Chief/ Chief, R&A Section Signature over Printed name Signature over Printed name

STAKEHOLDER REPRESENTATIVE/S:

______________________________ ________________________________ ____________________________________

Signature over printed Name Signature over printed Name Signature over printed Name

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SCOPING DOCUMENT NO : S-__ __ __ __ - __ __ __

EIA FORM PRA 1-A : F I R S T L E V E L S C O P I N G C H E C K L I S T FOR PROGRAMMATIC ENVIRONMENTAL
IMPACT STATEMENTS (PEIS)
Project Title : ________________________________Project Location :____________________________

Project Proponent : _______________Address _________Tel.No. ____________ Fax No. ______________ Contact Person :
________________________ EIS Consultant : ________________________________________

Address:_______________Tel. No. _________ Fax No. __________ Contact Person : _______________________ Date of Scoping:
_________ Venue : __________ EMB/DENR Representative/s : ____________________

REQUIREMENT SPECIFIC REQUIREMENTS /SPECIAL INSTRUCTIONS

Table of Contents

Executive Summary

 Brief Description of the project including project cost

 Brief Description of the Data Gathering, scope of study, duration / period, team,
methodology, documentation.
 Brief Description of the project environment (focus on main conclusions and their
basis)
 Tabulated summary and discussion of major impacts, main mitigating measures,
main components of the Environmental Management Plan, etc.
 Tabulated Summary of the Environmental Monitoring Plan.

Project Description

 Basic project information – project name, proponent, address, cost, etc.

 Project location – barangay, municipality, province, etc.; indicate geographic

coordinates.
 Project Rationale (in terms of environmental, economic and social parameters in
relation to nat‟l economic dev‟t)
 Technology and siting alternatives considered selection criteria applied

 Project Components (include Physical Plan/Site Development Map)

 Description of Project Phases / Specific Activities

- Pre-construction/Commissioning/Mobilization
- Construction
- Operation Process Description (include material and energy balance-if
appropriate)
- Abandonment/Decommissioning/Demobilization
Environmental Management / Monitoring Plan

 Impact/s Mitigation Program

 Detailed Monitoring Plan with Costing (amt. of EMF)

 IEC and Social Development Program

 Environmental Risk Management and Emergency Response Program to include

designation of buffer zones
 Abandonment / Rehabilitation Plan

 Institutional Plan

 Proposed Amount of EGF/CLRF showing computation and its basis.

Accountability Statement from the EIS Consultants and Project Proponent

Certificate of Zoning Viability

DA Certificate of Viability for Conversion (if in agricultural land and conversion is

necessary)

Land Title/ Proof of Land Jurisdiction/Ownership

PAWB Endorsement (if w/in protected area)

SEC Registration

NWRB Water Use Permit/Certificate of Water Availability

Review Fund

Electronic File of the EIS including maps

Envt’l track record (for expansion projects)

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GENERAL (“MUST”) REQUIREMENTS

CARRYING CAPACITY ANALYSIS AND ENVIRONMENTAL IMPACT IDENTIFICATION, ASSESSMENT AND MITIGATION / MANAGEMENT

SCOPE OF STUDY
ENVIRONMENTAL PARAMETER
PRE-CONST. / CONSTRUCTION PHASE OPERATION ABANDONMENT

Yes No Remarks Yes No Remarks Yes No Remarks

3. Land Features and Uses

1.4. Land use

1.5. Topography/ Physiography

1.6. Geology/Soils

1.5 Aesthetics

4. Species and Ecosystems

2.1 Terrestrial Fauna

2.2 Terrestrial Flora

2.3 Aquatic Fauna

2.4 Aquatic Flora

5. Air and Water

3.4 Air Quality

3.5 Surface Water Quality

3.6 Groundwater Quality

6. Socio-Economic Considerations

4.6 Population/Settlement/Migration

4.7 Employment/Livelihood

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4.8 Health

4.9 Cultural and Historical Value

4.10 Resource use competition

ENVIRONMENTAL RISK ASSESSMENT (if applicable)

RECEPTOR Require SOURCE OF RISK (Hazards) SCENARIOs TO BE CONSIDERED METHODOLOGY*/MODEL TO BE USED

d?

Y N

People

Socio-Economic

Water Quality

Air Quality

*Essential Components of the ERA Study : System Description, hazard identification, consequence analysis, frequency analysis, risk estimation, risk management and emergency
preparedness and response plan)

ECOLOGICAL PROFILING

Technical Requirements Req’ SCOPE / SPECIAL INSTRUCTIONS / ACCEPTABLE SOURCE / SAMPLING METHODOLOGY
d? MAP SCALE

Y N

1.2 Physical Environment

1.3 Geology

1.1.12. Regional/General Geological Map

1.1.13. Geological Cross-Sections

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ECOLOGICAL PROFILING

Technical Requirements Req’ SCOPE / SPECIAL INSTRUCTIONS / ACCEPTABLE SOURCE / SAMPLING METHODOLOGY
d? MAP SCALE

Y N

1.1.14. Sequence Stratigraphic Column of Rock Units

1.1.15. Geomorphological Map

1.1.16. g factor Contour Map for Rocks

1.1.17. g factor Contour Map for Medium Soils

1.1.18. Seismicity Map

1.1.19. Differential Settling Hazard Map

1.1.20. Bathymetric and Morphostructural Map

1.1.21. Results of Petrographic and Mineragraphic Analyses
1.1.22. Results of Geochemical Analyses of Rock Samples

1.8 Pedology

1.2.5. Topographic Map showing Drainage System

1.2.6. Slope and Elevation Map

1.2.7. Soil Investigation Report including maps on the following :

 Soil Erosion
 Soils Types

 Soil Fertility

 Vegetation
1.2.8. Laboratory Results of Soil Sample Analysis
1.9 Hydrology
1.3.5. Regional Hydrogeologic Map

1.3.6. Streamflow Measurements/ Mean Monthly Flow Data

1.3.7. Flood Peaks, Volumes, frequency rating curves and

Stormwater flow estimates

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ECOLOGICAL PROFILING

Technical Requirements Req’ SCOPE / SPECIAL INSTRUCTIONS / ACCEPTABLE SOURCE / SAMPLING METHODOLOGY
d? MAP SCALE

Y N

1.3.8. Spring and Well Inventory

1.10 Oceanography

1.4.4. Predicted Tides

1.4.5. 24-Hour Tidal Cycles

1.4.6. Surface Current System

1.11 Water Quality

1.5.8. Physico-Chemical Characteristics of Wells and Springs

1.5.9. Physico-Chemical Characteristics of Inland Surface Waters
1.5.10. Physico-Chemical Characteristics of Coastal Waters

1.5.11. Bacteriological Characteristics of Wells and Springs

1.5.12. Bacteriological Characteristics of Inland Surface Waters

1.5.13. Bacteriological Characteristics of Coastal Waters

1.5.14. Sampling Site Map

1.12 Meteorology/Climatology

1.6.5. Monthly Average Rainfall of the Area

1.6.6. Climatological Normals/Extremes

1.6.7. Wind Rose Diagrams

1.6.8. Frequency of Tropical Cyclones

1.6.5 Airshed Delineation
1.13 Air Quality /Noise

1.7.5. Ambient Air Quality (TSP, SO x, NO x, PM10, etc.) 24-Hour

Sampling
1.7.6. Noise Levels

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ECOLOGICAL PROFILING

Technical Requirements Req’ SCOPE / SPECIAL INSTRUCTIONS / ACCEPTABLE SOURCE / SAMPLING METHODOLOGY
d? MAP SCALE

Y N

1.7.7. Sampling Station Map (air and noise)

1.7.8. Air Dispersion Diagrams/Isophlet

4.0 Biological Environment

2.2. Vegetation, Wildlife and Insect Profile

2.1.5. Flora and Fauna Species Inventory or Survey

2.1.6. Summary of Endemicity /Conservation Status

2.1.7. Summary of Abundance, Frequency and Distribution

2.1.8. Site Observation/ Transect Walk Map
2.3 Aquatic Fresh/Marine Environment

2.2.8. Abundance/Densities/Biomass of Seagrasses/Seaweeds

2.2.9. Density/Abundance of Planktonic and Benthic Algae

2.2.10. Benthic Fauna Population and Density of Benthic

Organisms
2.2.11. List of Fish Species/Estimated Biomass

2.2.12. Ranks and Proportion of Commercially and Non-

commercially Important Indicator Species
2.2.13. Seabottom Cover Map showing Coral & Seagrass
Beds,etc.
2.2.14. Sampling Site Map

5.0 Socio-Economic and Cultural Environment

3.3 Demography
3.1.8. Settlement Map and Population Distribution Map
3.1.9. Land Use Map (include locations of ecological, military
reserves, scenic spots and areas of religious, historic and
cultural significance)
3.1.10. Population Growth Rate

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ECOLOGICAL PROFILING

Technical Requirements Req’ SCOPE / SPECIAL INSTRUCTIONS / ACCEPTABLE SOURCE / SAMPLING METHODOLOGY
d? MAP SCALE

Y N

3.1.11. Number of Households and Household Size by Barangay

3.1.12. Summary of Demographic data per Barangay to be directly
affected: Land Area, Population, Population Density, Main
Sources of Income, Sex and age Composition, Literacy,
Highest Educational Attainment, Employment Status
3.1.13. Household Profile based on results of the Survey

3.1.14. IPs/Vulnerable Groups

3.4 Health

3.2.6. Morbidity and Mortality Rates (Infants and Adults) from Direct
Impact Areas
3.2.7. 5-Year Trend in Morbidity and Mortality

3.2.8. Notifiable Diseases in the Area including Endemic

Diseases
3.2.9. Local Health Resources (Government and Private)

3.2.10. Environmental Health and Sanitation Profile: water supply,

human excreta management, waste management and
disposal systems and food hygiene
3.4. Other Social Services/Utilities

3.3.4. Water Supply and Demand

3.3.5. Transportation
3.3.6. Power Supply and Demand

3.5. Public Participation and Social Acceptability

3.4.4. Public Perception Survey Questionnaire and Results

Summary
3.4.5. Endorsement / Proof of consultation with LGUs /RDC
3.4.6. Endorsement / Proof of consultation with NGOs
/ POs
4.0 Others

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SCOPED BY : EIARC MEMBERS

NAME EXPERTISE SIGNATURE NAME EXPERTISE SIGNATURE

EIA PERSONNEL REPRESENTATIVE/S OF THE PROJECT PROPONENT

_________________________ _______________________ _______________________ ______________________

Signature over Printed name Signature over Printed name Signature over Printed name Signature over Printed name

NOTED BY: EIA CONSULTANTS:

________________________ _______________________ _______________________

EIA Division Chief/ Chief, R&A Section Signature over Printed name Signature over Printed name

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Scoping Document No : S-__ __ __ __ - __ __ __

EIA FORM PRA 1-B: Report on the conduct of Second Level (Site) Scoping
Project Title : _________________________________________ Project Location :____________________________________________

Project Proponent : ______________Address :__________ Tel.No.___________ Fax No._____________ Contact Person : _______________________
EIS Consultant :_____________Address :_________________Tel. No.______________Fax No.____________ Contact Person : __________________
Date of 2nd Level Scoping :_______________________Venue:_________________________________________

EMB/DENR Representative/s : ___________________________________________________________________________________

ISSUES / CONCERNS TO BE INCLUDED IN THE SCOPE OF THE EIA STUDY

Environmental Resource Raised during 1st Level S ?(or Stakeholder who raised the
Issues ) issue/concern

Land Features and Uses

Species and Ecosystems

Socio-Economic Considerations

Air and Water

Others

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SCOPED BY :

EIARC MEMBERS

NAME EXPERTISE SIGNATURE NAME EXPERTISE SIGNATURE

EIA PERSONNEL REPRESENTATIVE/S OF THE PROJECT PROPONENT

________________________ _______________________ ______________________ ________________________

Signature over Printed name Signature over Printed name Signature over Printed name Signature over Printed name

NOTED BY : EIA CONSULTANTS :

________________________ ___________________________ ______________________________

EIA Division Chief/ Chief, R&A Section Signature over Printed name Signature over Printed name

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ANNEX I
Recommended Format for an EIARC Report

I. Brief project description

II. Summary matrix of significant project impacts and mitigation enhancement
measures
III. Summary of key issues or concerns plus the proponent‟s response to the
issue(s) raised
IV. EIARC evaluation to the proponent‟s response to the different issue(s) raised
V. A review summary based on the technical and substantive review criteria
VI. Report on compliance with social acceptability requirements
VII. Over-all findings of the review or evaluation
VIII. Recommendations
IX. Necessary conditions to be attached to the ECC

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Recommended Format for an EIARC Report -
 PROCEDURAL MANUAL FOR DAO 2003–30

ANNEX J
Recommended Format for a Review Process Report

I. Project Background/Information (Catalog/Case Number)

 Project Background and Significance
 Project Description
 Location
 Processes and Waste Streams
 Time frame of Implementation
 Estimated Project Cost
 Project Employment Generation
II. Documentation of Compliance with Procedural Requirements
A. Review Schedule Chart
B. Total Number of Review Days (Working Days)
C. Reasons for Delay (if applicable)
III. Technical Assessment
A. Summary of Environmental Impacts with the Proposed Mitigation and
Enhancement Measures
B. Key Issues/Concerns and Proponent‟s Response
 Summary of Additional Information Submitted
 Summary of Major Issues raised during the public hearing
IV. Commitments from the Proponents
A. Acceptability of the proposed EMP including the corresponding cost of
Mitigation, EGF and EMF (if required)
B. Other Submitted Documents
 Endorsements
 Research of relevant information materials
V. Key Basis for the Decision on the ECC Application
 Over-all findings of the Review or Evaluation
VI. Critical Conditions that should be Iincorporated in the ECC

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 PROCEDURAL MANUAL FOR DAO 2003–30

ANNEX K
Guidelines for the Conduct of Environmental Risk
Assessment

1. Levels of Coverage and Requirements

Risk Screening Level. The following activities are required to undertake a risk
screening exercise:
a. Facilities for the production or processing of organic or inorganic chemicals
using:
 alkylation
 amination by ammonolysis
 carbonylation
 condensation
 dehydrogenation
 esterification
 halogenation and manufacture of halogens
 hydrogenation
 hydrolysis
 oxidation
 polymerization
 sulphonation
 desulphurization, manufacture and transformation of sulphur-containing
compounds
 nitration and manufacture of nitrogen-containing compounds
 manufacture of phosphorus-containing compounds
 formulation of pesticides and of pharmaceutical products.
 distillation
 extraction
 solvation
b. Installations for distillation, refining or other processing of petroleum products.
c. Installations for the total or partial disposal of solid or liquid substances by
incineration or chemical decomposition.
d. Installations for the production or processing of energy gases, for example,
LPG, LNG, SNG.
e. Installations for the dry distillation of coal or lignite.
f. Installations for the production of metals or non-metals by a wet process or by
means of electrical energy.

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g. Installations for the loading/unloading of hazardous materials as defined by

RA 6969 (or DAO 29)
Level 1 and Level 2 Threshold Inventory. The following threshold levels shall be
used to determine whether a proposed project or undertaking shall be required to
prepare a QRA and/or an emergency/contingency plan:

CATEGORY LEVEL 1 (tons) LEVEL 2 (tons)

Explosives 10 50
Flammable substances 5,000 50,000
Highly flammable substances 50 200
Extremely flammable substances 10 50
Oxidising substances 50 200
Toxic substances (low) 50 200
Toxic substances (medium) 10 50
Toxic substances (high) 5 20
Toxic substances (very high) 0.2 1
Toxic substances (extreme) 0.001 0.1
Unclassified (Type A) 100 500
Unclassified (Type B) 50 200

For purposes of clarity, the different categories of hazardous materials are defined as
follows:
A. Explosives (Reactivity)
1. a substance or preparation which creates the risk of an explosion by
shock, friction, fire, or other sources of ignition.
2. a pyrotechnic substance (or mixture of substances) designed to
produce heat, light, sound, gas, or smoke or a combination of such
effects through non-detonating self-sustained exothermic chemical
reactions.
B. Flammable, highly flammable and extremely flammable substances
1. Flammable substances are substances and preparations having a
flash point equal to or greater than 21*C and less than or equal to
55*C, capable of supporting combustion.
2. Highly flammable substances are substances and preparations which
may become hot and finally catch fire in contact with air at ambient
temperature without any input of energy, or substances which have a
flash point lower than 55*C and which remain liquid under pressure,
where particular processing conditions, such as high pressure or high
temperature, may create major-accident hazards.
3. Extremely flammable substances are liquid substances and
preparations which have a flash point lower than 0*C and the boiling
point (or, in the case of a boiling range, the initial boiling point) of
which at normal pressure is less than or equal to 35*C; gaseous

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substances and preparations which are flammable when in contact

with air at ambient temperature and pressure, whether or not kept in
the gaseous or liquid state under pressure; or, liquid substances or
preparations maintained at a temperature above their boiling point.
C. Oxidizing substances are substances which give rise to highly exothermic
reaction when in contact with other substances, particularly flammable
substances.
D. Low, medium, high, very high and extreme toxicity of substances or
preparation are classified as follows:
1. A substance shall be considered as a liquid if vapor pressure is less
than 1 bar at 20*C.
2. A substance shall be considered as a gas if vapor pressure is greater
than 1 bar at 20*C.
3. The sum of (a) and (b) as provided in Tables A-2 and A-3 shall
determine the toxicity class as contained in Table A-1.
E. Unclassified substances are substances or preparations that react violently
with water (Type A), and substances or preparations which release or liberate
toxic gas in contact with water (Type B).
Mixtures and preparations shall be treated in the same way as pure substances
provided they remain within the level set according to their properties or their latest
adaptation to technical progress unless a percentage composition to other
description is specifically provided for.

The bases for determination of the level are the maximum quantities
which are present or likely to be present at any one time.

The rule for the presence of several hazardous or dangerous substances in an

establishment shall be as follows:
Total indicative sum = q1/Q1 + q2/Q2 + q3/Q3 + * * * + qn/Qn
where: qx = the quantity of dangerous substance
Qx = the indicative threshold level of dangerous
substance x
If the computed Total Indicative Sum is greater than 1.0, then the project or
undertaking is covered and shall be required to prepare an ERA.

Table A-1. Table for values to determine Toxicity Class

a+b Toxicity Class
6 Low
7 Medium
8 High
9 very high
10 extreme

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Table A-2. Table for values of a based on LC50

LC50 rate 4 hour
Calculation number (a)
in ppm
0.01 – 0.1 8
0.1 – 1 7
1 – 10 6
10 – 100 5
100 – 1,000 4
1,000 – 10,000 3
10,000 – 100,000 2

Table A-3. Table for values of b based on physical properties

Calculation number
Physical Properties
(b)
Liquids < 0.05 bar 1
(vapor pressure) 0.05-0.3 bar 2
at 20C) 0.3-1 bar 3
Liquefied gas, > 265K 3
Compressed (BP) < 265K 4
Liquefied gas, > 245K 3
cooled (BP) < 245K 4
BP: Boiling Point

2. Formats and Other Requirements

An Environmental Risk Assessment (ERA) Report, which forms part of the EIS as a
separate chapter, is prepared to demonstrate the following:
 that a major accident prevention policy and a safety management system for
implementing it have been put into effect by the proponent;
 that major accident hazards have been identified and that the necessary
measures have been taken to prevent such accidents and to limit their
consequences for man and the environment;
 that adequate safety measures and reliability have been incorporated into the
design, construction, operation and maintenance of any installation, storage
facility, equipment and infrastructure connected with its operation which are
linked to major accident hazards inside the establishment;
 that an on-site emergency plan has been drawn up to implement the necessary
measures in the event of a major accident;
 that in case of major accident, decontamination, remediation and/or rehabilitation
measures will be undertaken; and
 that sufficient information is provided to enable decisions to be made in terms of
the siting of new activities or developments around existing establishments.
The ERA Report (e.g., risk screening, hazard analysis, QRA) shall be prepared as a
separate chapter of the EIS. It shall contain at least the following data and
information:
 Information relating to the operator and the establishment

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 the proponent‟s major accident prevention policy including the overall

aims and principles of action with respect to the control of major accident
hazards; and
 the proponent‟s conceptual framework for the safety management system,
including (if available), the criteria to evaluate or determine such identified
indicators.
 Information relating to the scope of analysis employed/used in the report
 coverage of the report, the methodology used in each of the stages of
analysis and assumptions made (if there are any) in coming up with the
results of analysis; and
 references shall likewise be acknowledged in the report, whether these are
historical data or generic information which aided the analysis attain more
reliable results.
 Information relating to every hazardous substance or situation present in the
establishment, in particular:
 the identification of the hazardous substance: chemical name, CAS number,
name according to International Units of Pure and Applied Chemistry (IUPAC)
nomenclature;
 the physical and chemical properties of the toxic/hazardous substance
present in the establishment (under normal conditions of use or under
foreseeable accidental conditions) and the maximum amount that could
possibly be present at any one time;
 the degree of purity of the substance, and the identification of the main
impurities and their percentages, if available;
 a description of the hazards, both immediate (acute effects) and delayed
(chronic effects) for man and the environment, which may be posed by the
substance or situation; and
 a description of the potential sources of a major accident and the conditions
or events which could be significant in bringing one about.
 Information relating to the consequences of major accidents, the probability of its
occurrence, and an estimation of the risk, namely
 detailed description of the possible major accident scenarios including a
summary of events which may play a role in triggering each of these
scenarios, the causes being internal or external to the establishment or
installation;
 a description of the methodology adopted, data used and results of analysis
in estimating the probable consequence(s) of the predicted major accident
that may result within the establishment with an estimate of the number of
people in the possible affected area who may be particularly exposed to the
hazards considered in the report as well as the major ecosystem that will be
affected;
 whenever possible, a discussion on the probability of occurrence of the
potential accident scenario(s) identified in the report; and
 an assessment of risk(s) associated with the activity inside the establishment.

For QRA, the Report shall also contain:

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 a map, preferably topographic or population map, on a scale of 1:10,000 or

larger, which would show (whenever possible) significant locations including
risk contour lines identifying those positions outside the industrial site wherein
the probability of persons located there would die as a result of an unusual
occurrence in the industrial site equals 10-4, 10-5, 10-6, 10-7 and 10-8,
respectively; and
 a map, preferably topographic or population map, on a scale of 1:10,000 or
larger, which would show (whenever possible) other source/s or
establishments of significant risk within 10 km, including risk contour lines
identifying these sources and the computed total risk with the addition of the
establishment covered in the Safety Report.
 (for Level 1 and Level 2 coverage) Information relating to the safety
management system for the establishment, namely:
 a description of the measures taken to prevent, control, or minimize the
consequences and probability of any major accident;
 information about the emergency procedures laid down in dealing with a
major accident occurring at the site (a copy of the On-Site Emergency Plan
shall be attached);
 the monitoring scheme for the continuing assessment of compliance with the
objectives of the major accident prevention policy and safety management
system, and the mechanisms for investigation and taking corrective action in
case of non-compliance. The procedures shall cover the operator‟s system for
reporting major accidents or near misses, particularly those involving failure of
protective measures, and their investigation and follow-up on the basis of
lessons learned.
 the staffing arrangements for controlling the industrial activity with the name
of the person responsible for safety on the site and the names of those who
are authorized to set emergency procedures in motion and to inform outside
authorities;
 the arrangements made to ensure that the means provided for the safe
operation of the industrial activity are properly designed, constructed, tested,
operated, inspected and maintained, and the arrangements for training of
persons working on the site; and
 the audit and review scheme for periodic and systematic assessment of the
major accident prevention policy and the effectiveness and suitability of the
safety management system, including the documentation of review of
performance of the policy and the system and its updating by senior/top
management.
An Emergency Plan is prepared with the following objectives:
 to contain or control incidents so as to minimize the effects, and limit damage to
man, the environment and property taking into consideration the worst-case
scenario;
 to implement the measures necessary to protect man and environment from the
effects of major accidents;
 to communicate the necessary information to the public and to the emergency
service provider (such as fire protection, civil defense. disaster coordination and
other appropriate local government unit or agency) in the area; and

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 to provide for the restoration and clean-up of the environment following a major
accident.
The Emergency Plan shall be prepared as a separate chapter of the EIS for Level 1
Coverage (together with the Hazard Analysis study), or as an annex (of the QRA) for
Level 2 Coverage. It shall contain at least the following data and information:
 On-site Emergency Plan
 Names or positions of persons authorized to set emergency procedures in
motion and the person in charge of coordinating the on-site mitigatory action.
 Name or position of the person with responsibility for liaising with the authority
responsible for the off-site emergency plan.
 For foreseeable conditions or events which could be significant in bringing
about a major accident, a description of the action which should be taken to
control the conditions or events and to limit their consequences, including a
description of the safety equipment and the resources available.
 Arrangements for limiting the risks to persons on site including how warnings
are to be given and the actions persons are expected to take upon receipt of
a warning.
 Arrangements for providing early warning of the incident to the authority
responsible for setting the off-site emergency plan in motion, the type of
information which should be contained in an initial warning and the
arrangements for the provision of a more detailed information as it becomes
available.
 Arrangements for training the staff in the duties they are expected to perform,
and where necessary, coordinating this with off-site emergency services.
 Arrangements for providing assistance with off-site mitigatory action.
 Linkage with Off-Site Emergency Plan
 Names or positions of persons authorized to set emergency procedures in
motion and of persons authorized to take charge of and coordinate with off-
site emergency services.
 Arrangements for sending early warning of incidents, alert, and call-out
procedures.
 Arrangements for coordinating resources necessary to implement the off-site
emergency plan.
 Arrangements for assistance to provide the public with specific information
relating to the accident and the behavior which the public should adopt.
 Arrangements for the provision of information to the appropriate emergency
services of surrounding areas in the event of a major accident with possible
trans-boundary consequences.
The findings, recommendations and conclusions of the ERA must be integrated in
the Environmental Management Plan (EMP) as a safety management plan. Details
of the safety management system including proposed monitoring or auditing
protocols must be incorporated in the EMP.
Together with the EMP, a corresponding Safety Monitoring Plan should be prepared.
The plan should include the following information per project activity for each project
phase:
 parameters or criteria to be monitored;

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 location of monitoring activity;

 frequency of monitoring activity;
 cost of monitoring activity; and
 implementing or responsible group
The proponent is also strongly urged to maintain comprehensive records of safety
information (e.g., incidents, near-incidents, injuries, training, failure of
equipment/fixtures, etc.). The information will not only be helpful for regulatory
purposes, but also for corporate management – weak areas in terms of safety
management can be identified before grave incidents may occur.

3. Risk Criteria

The review of ERA studies shall be based on risk criteria discussed below.
A. Individual Risk Criteria
Individual risk criteria have been developed based on the principle that involuntary
risks due to industrial developments should not significantly increase the level of risk
to individuals living or working near such industry.
Location Specific Individual Fatality Risk (LSIFR) is the risk of death to an individual
person, if present 24 hours per day (in the open) at a particular location for a whole
year. It takes no account of the number of people affected by an event.
LSIR is normally represented in the form of risk contours. This is achieved by
plotting and connecting all points (locations) of similar individual risk, thus forming
risk contours (not dissimilar to isobars on a weather map). These contours can then
be overlaid onto a land-use map to show the level of individual risk in the various
land-use planning areas.
Individual risk criteria may be applied and measures taken to ensure that no single
individual living near to a hazardous activity bears an undue level of risk.
Without prejudice to the supplemental guidelines that may be issued by the DENR
Secretary, the acceptable individual risk criterion is set at 10 -6 fatalities per year.
Safety and/or mitigation measures should be incorporated such that hazard zones
and the 10-6 individual risk per year contour DO NOT encroach into residential (I.e.,
non-industrial/non-commercial) areas.
B. Societal Risk Criteria
The greater public concern for events causing a large number of deaths is best
reflected in terms of the societal risk criteria. The establishment of societal risk
criteria is a recognition that multiple fatality events should be regarded as more
serious than events capable of causing only a few fatalities.
Another point to be considered is the level of benefit society may derive from an
existing or proposed development. Care must be taken to ensure that the local
population does not suffer an unfair burden of risk in respect to the benefits of the
population at large.
Societal risk is another suitable basis for review of hazardous facilities. This has a
different emphasis from individual risk. Societal risk measures the number of
fatalities caused by a full range of more or less frequent incidents. These are
normally presented on a log-log plot of the cumulative frequency of incidents causing
N or more fatalities versus the number of fatalities, N.

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Societal risk criteria specify levels of societal (group) risk, which must not be
exceeded by a particular activity. These should ensure that a hazardous activity
does not impose a risk on society that is out of proportion to other types of hazards
and with the benefits the activity brings, which individual risk does not address.
Without prejudice to the supplemental guidelines that may be issued by the DENR
Secretary, the acceptable societal risk criterion is an FN curve with slope = –1 and
with intercept at N = 1 of 10 –3. In cases of co-located projects, the criterion may be
adjusted by DENR-EMB by one order of magnitude higher.

Figure 1. Societal Risk Criteria

–3
10
Intolerable

–4
10
Frequency of N or more Fatalities per year (F)

–5
10

ALARP
–6
10

–7
10

–8
Acceptable
10
1 10 100 1,000 10,000
Number of Fatalities (N)

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ANNEX L
Conflict Resolution Process
The resolution of development issues is a complex problem, with significant short and long-
term social, economic and environmental consequences. In a conflict situation involving
resource use as well as access and allocation, private and public interests are not only
politically influenced but also have the capacity to change or stall decisions. However, they
also have the potential to ensure positive social, economic and environmental results.
In addition to providing opportunities for all parties to reach better decisions, conflict
resolution processes offer valuable fora for communication on controversial issues. In many
cases, public disputes or issues are confused with varying interpretations of “what is actually
going on” and a lack of information. Through the process, all parties are able to gain a
clearer understanding of what is actually going on.
Appropriate dispute or conflict resolution, as an option, may be conducted in the following
situations:
 when unresolved issues arise between the proponent and interest groups which prevent
the EIS review process from proceeding;
 when there is strong opposition from the majority of the stakeholders, but there are
negotiable points or issues; or
 when there are valid concerns or complaints by stakeholders regarding the project after
an ECC has been issued.
The above listed situation should not exclude other situations where the conflict resolution
processes may be appropriately utilized.

DENR-EMB, in consultation if the proponent and other major stakeholders,

shall nevertheless exert efforts to agree to adopt appropriate alternative
dispute or conflict resolution processes, including but not limited to mediation,
facilitated decision-making and negotiation, taking into consideration the
unique characteristics of the project, the issues, and the stakeholders.

A. Procedures in a Conflict Resolution Process

Depending on the peculiarities of the given circumstances, a good ADR process may have
the following activities:
 Presentation of Objectives
 Sharing of First Impressions
Begin by asking the participants to share their first impressions (feelings) of the situation
or problem, but never begin the discussion with an opinion; this is one way to “loosen up”
the participants and ensure them that their feelings and eventually, their opinions come
first and foremost in this forum.
 Exposition
This is the part when people start to bring out into the open what the issue or problem
really is which leads to the discovery of many issues and themes that were not known
before. However, the facilitator should see to it that the issue or theme is supported by
facts or evidence and not far-fetched. Themes or issues accepted by the group should
be listed down and numbered in the order of priority. Another way is for the group to

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decide which one should merit present consideration on the basis of relevance and
urgency.
 Exploration
In group fora, this refers to doing an exploratory study of the issue or problem by way of
analysis and association in order to come up with concrete proposals for actions. The
analysis should be able to bring out the factors that can be clearly seen and factors that
are present or existing, but are implicit and not evident.
 Summary
It is always important for the group to know where they are in the course of the
discussion. Hence, a summary of what has been shared and discussed would be most
valuable. This should be done regularly during the entire process.
In making a summary, point out matters that have been discussed and those which still
need to be explained.
 Action
If necessary, the group proceeds to making concrete agreements or proposals that
should include the implementation plan. Roles, functions and responsibilities are defined
and assigned at this stage.
 Process Evaluation
This does not only assess the forum or activity, but yields interesting tips for improving
subsequent meetings as well as results in added insights into how the process has either
served to strengthen relationships among the group members or allowed some negative
factors detrimental to group and community building to surface.
The process manager or facilitator must use his/her expert judgment in determining the
most appropriate mode in the conducting the ADR process taking into consideration the
uniqueness of the situation.
Process Questions that may be used in the Issue Analysis during a
negotiation
After identifying specific issues, it will be good to make participants choose
one issue in which they have some experience, and analyze this in terms of
the following:
 Who are the main actors involved? sectors? leaders? follower?
 What is the history of this issue? What are the elements making up this
issue? Who benefits? Who suffers?
 Does this issue presently affect me (positively or negatively)?
 Describe in terms of events or stories. If one is not affected now, how
about in the future?
 If the present situation continues, how will this affect me, my family, my
community, my region, and my country?
 What concrete and specific actions can be taken to solve the problems
and issues?
 What are the personal types of actions? What are the collective or
community types of action?
 What are the government forms of action?

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B. Results of a Conflict Resolution Process

At the conclusion of a conflict resolution process, agreements may be made in the form of:
 Memorandum of Agreement
Negotiated agreements on conflicts should be firmed up through a Memorandum of
Agreement (MOA) between the proponent, the DENR and affected stakeholders and
should be attached in the EIS as proof of social acceptability.
 Compensation of affected families may be granted in terms of:
 Payment of land and its improvement. Examples are land to be inundated or
converted into another use.
 Grant of house and residential lot package. Examples are families to be resettled
in another area.
 Grant of disturbance compensation. This shall be granted to relocatees for their
use to defray their daily expenses while adjusting to their new environment. The
amount is usually equivalent to twice their average monthly income in the locality (to
be affected) at the time of relocation.
 Resettlement site development
 Livelihood projects

C. Responsibility for the Conduct of the Conflict Resolution Process

The Proponent with the assistance of DENR shall be responsible for the conduct of the ADR
process. The proponent shall pay expenses incurred for the services of a conflict mediator.
The concerned parties (i.e., proponent, community groups), in cases of disputes arising from
unresolved issues, may suggest a neutral third party to act as facilitator or conflict mediator
in resolving the dispute.

D. Qualifications of a Conflict Mediator

The conflict mediator, as a general rule, must be a specialist in the following functions:
 As a diagnostician-processor, s/he conducts an extensive and accurate assessment of
the parties‟ problems and needs.
 As a designer-evaluator, s/he must know, where, and when to help the parties, and
choose the appropriate intervention strategies and build them into an action plan for the
negotiation process.
 As a teacher, s/he must transmit relevant information through simulated and actual
experiences.
 As a catalyst, s/he leads the opposing groups in their desire to resolve the conflict(s) and
coaches them to accept responsibility for what needs to be done and for doing it.
 As a linker, he brings together those people who possess the skills and knowledge that
are needed/helpful in solving the conflict (professional experts).
Therefore, the conflict mediator should have a general awareness of organization theory,
processes, strategies and themes of change and problem solving.

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E. Roles and Responsibilities of the Conflict Mediator or Facilitator

The conflict mediator or facilitator has the following roles and responsibilities:
 The facilitator as a member of the group (in conflict) has a major job of provoking and
ensuring fruitful and interpersonal communication among the participants.
 The facilitator must see to it that the parties to a dispute or conflict must be recognized
key stakeholders in the proposed project.
 The mediator creates an atmosphere where:
 everyone has a fair chance to speak;
 s/he manages the shy to speak;
 the subject is introduced with suitable questions;
 order is in place
 feelings and ideas are exchanged
 In the matter of content. Concerning the subject matter/issue under discussion, the
facilitator must be neutral and should never volunteer his or her own personal opinion. It
is to everyone‟s benefit if the facilitator does not reveal his or her thoughts or
preferences.
 In the matter of methodology. In order to keep the debate going, the facilitator has to be
firm in persuading participants to put their thoughts together, contribute their ideas, keep
to the point, go forward in developing the theme (issue), overcoming snags and avoid
getting lost.
 In the matter of personal feelings. It is very important to encourage good relations
between individuals at least during the actual confrontation (although this may be
difficult). One must take into account the reactions that are bound to occur in a group
discussion where people hold conflicting opinions.

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ANNEX M
Compliance Monitoring and Verification Report Outline

I. Executive Summary
II. Introduction
III. Methodology
IV. Results and Discussion
A. Review of Monitoring Reports
B. Third Party Audits
C. Limited Sampling and Measurements Activities
D. Complaints Verification and Management and Reports on Accidental Spills
and Releases
V. Recommendations
VI. Attachments

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