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1.0. Purpose
1.1. To be able to evaluate the compliance performance of the Projects consistent
with the issued permits, clearances, agreements and other legal documents
1.2. To ensure compliance with applicable Environmental and Social laws
1.3. To monitor and evaluate the compliance status and performance of the
contractor and its subcontractors with applicable environmental laws
1.4. To be able to evaluate the need for improvement and to implement necessary
action plans to ensure compliance with applicable environmental and social laws
1.5. To provide guidance to Project Managers, Construction Managers and
contractors on the compliance requirements related to the project implementation

2.0. Scope
This document shall cover inspection, monitoring and reporting of the compliance status
and performance of the project and its contractor based on the environmental and other
social requirements relevant to the project implementation.

3.0. Terms and definitions

Abbreviation Full Name Definition

ESCA Environmental and Social is the project inspection conducted by
Compliance Audit the Project Environment and Social
Safeguard Manager/Specialist to assess
the overall status of Manila Water
projects in terms of compliance with
environmental and social
requirements. Frequency of which
shall depend on the status of each
project and its contractor or as
instructed by Top Management
CAC Compliance Audit Checklist A list of what needs to be present in
the project site based on the applicable
law, issued permits and clearances and
signed agreements.
CM Construction Manager

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 Reference No

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ENVIRONMENTAL AND SOCIAL COMPLIANCE AUDIT Page 2 of 5

Contractor/Sub-Contractor
IP Indigenous Peoples
PESSM/ Project Environment and Social Is the one in charge of conducting ESCA
PESSS Safeguards Manager/Specialist based on the assigned schedule
PM Project Manager
PSED Project Stakeholder Is the PMG Department in charge of
Engagement Department monitoring and ensuring compliance of
all Manila Water Projects with the
applicable Environmental and Social
laws
SE Site Engineer
DENR Department of Environment Primary government agency
and Natural Resources responsible in the management,
conservation and development of the
country’s natural resources
LLDA Laguna Lake Development
Authority
NCIP National Commission on
Indigenous Peoples

Prepared by: Reviewed by: Recommending Approval: Approved by:

RENA ANGELA S. BAUTISTA BERNADETTE DEL ROSARIO Group Director

Projects Environment and Project Stakeholder Dept. Head
Social Safeguards Mgr

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4.0. Responsibilities
4.1. The PSED Head shall be responsible for facilitating the proper implementation of this
procedure
4.2. The PESSM/PESSS shall:
4.2.1. Prepare the Environmental and Social Compliance Audit (ESCA) Plan
of Manila Water Projects
4.2.2. Conduct ESCA based on the assigned schedule
4.2.3. Communicate results of the ESCA after the inspection/audit to the
PMs/CMs/SEs/Contractors, all concerned/ relevant functions,
Department Heads and PMG Director.

4.2.3.1. Discuss the completed results of checklist to the process

owner right after the inspection and acquire commitment of
action and implementation from process owner for all non-
critical issues/findings
4.2.3.2. Issue a Compliance Action Report (CAR)
4.2.3.2.1. Non conformities requiring immediate attention
and or identified as critical issue to the project
4.2.3.2.2. Non conformities relating to conditional situation
or relating with cost and time consideration
4.2.3.2.3. Repeated or widespread non conformities of
similar nature within the project site
4.2.4. Provide copy of checklist and corrective action monitoring report to
process owners either through softcopy or hardcopy as means of
their reference.
4.2.5. Maintain records such as collected CAC, necessary pictures of the
project activities, internal/external communications through email,
results of ESCA and other any references relevant to project ESCA.
4.2.6. Analyze the report of ESCA and report its results to Department Head
4.2.7. Establish a database for status of the project based on the
environmental and social compliance
4.2.8. Make summary report including the percentage of the checklist
remarks and/or comments
4.2.9. Conduct training on the use of checklist and basic requirements of
environmental and social standards as necessary.
4.2.10. Revised the checklist, as necessary

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5.0. Procedure

Activity Responsibility Notes/References

1. The schedule of audit could vary
(monthly, quarterly, semi-
START PESSM / PESSS annually) depending on the
results of the previous ESCA or as
instructed by Management

Prepare schedule of ESCA to all 2. ESCA will be unannounced to

Projects ensure readiness and to confirm
the actual status and condition of
the project site
PESSM / PESSS
Discuss the result of ESCA to 3. After the ESCA, results shall be
Process Owners and/or immediately discussed to process
Personnel on duty during ESCA owners and commitment from
them on the necessary actions
and timeline of implementation
shall be acquired and noted on
For findings not requiring a PESSM / PESSS the checklist used. Copy of the
CAR, acquire corresponding checklist shall be emailed and/or
actions, DRI and timeline of given to process owners after
implementation from Process PESSM / PESSS ESCA
Owner. These shall be noted
on the checklist
4. However, for critical findings that
were identified to be issued with
CAR, the procedure for CAR shall
PESSM / PESSS
For findings requiring a CAR, be followed
discuss it to process owners. A
CAR will be issued within 48 5. The ESCA monitoring reports and
hours from ESCA excel file will be shared to all
concerned PMs, CMs, PDO/PDA,
SEs, Headlines and other
Update the ESCA monitoring concerned sections located via
database (located via one drive one drive. All details and
updates shall be recorded in the
database. Process owners can
access the file and view their
A status

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 PESSM / PESSS

Send the results of ESCA by

providing the copy of CAC and
CAR monitoring report to
process owners

Verify the action

implementation for all ESCA
findings: Finding without CAR is
through actual checking on the PESSM / PESSS
next scheduled ESCA;Findings
with CAR will be on the
committed date provided in the PESSM / PESSS
CAR and/or next scheduled ESCA

6. Reporting of overall
Report the overall results and performance of the Project and
performance of the Project to its contractor is via email or
PSED Head, Headlines and GD during Quarterback or as
monthly or as required required by the Management

END

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