Monitoring Checklist Guides – Annex 1

Republic of the Philippines

Department of Environment and Natural Resources
MINES AND GEOSCIENCES BUREAU
North Avenue, Diliman, Quezon City

GUIDE FOR THE CONDUCT OF MONITORING OF MINING PERMITS/CONTRACTS

AND ACCOMPLISHING THE MONITORING CHECKLIST
(TENEMENT AND SHES COMPLIANCES)

To ensure the efficient monitoring of Tenements, Safety and Health, Environmental

Management, and Social Development (T-SHES) compliance requirements, the
following guides for the conduct of monitoring and accomplishing the Monitoring
Checklists (Tenement-Exploration, Tenement-Development/Operating, Safety and
Health, Environmental Management-Exploration, Environmental Management-
Development/Operating, Social Development-Exploration, and Social
Development-Development/Operating) are hereby provided for the guidance of
all concerned:

1. Procedures for the Conduct of Monitoring of Mining Permits/Contracts

The Mines and Geosciences Bureau (MGB) Regional Office (RO) personnel shall
undertake the following procedures prior, during and after the monitoring to
ensure that the monitoring of Mining Permits/Contracts are efficiently and
effectively conducted:

A. Prior to the Conduct of Monitoring

The MGB personnel/monitoring team shall undertake the following

activities prior to the conduct of the monitoring of the Mining
Permits/Contracts to ensure that the actual monitoring shall be
accomplished in a successful manner:

1. Gather documents and pertinent information pertaining to the Mining

Permits/Contracts and others:
a. Site details, technical description, and maps;
b. Legal provisions, such as RA No. 7942, DAO No. 2010-21 and others;
c. Previous monitoring/validation reports and/or Multi-Stakeholders
Team Report;
d. Accomplishment reports submitted by the Contractor/
Permittee/Permit Holder;
e. Compliance history (i.e., Post requirements under its renewal and/or
Mining Permit/Contract; findings/recommendations from previous
monitoring/validation reports and others);
f. Safety and Health/Environmental/Social issues (from investigation
reports on complaints, etc.); and
g. Previous communications concerning the Contractor/
Permittee/Permit Holder (refer to the database or carpeta).
2. Identify the scope of the monitoring (period covered);
3. Prepare a highlight/summary of the documents and pertinent
information gathered;
4. Accomplish the Monitoring Checklist with the available information and
print the same; and
5. Prepare the necessary travel documents and resources/tools for the
monitoring (field notebook, netbook/tablet, GPS, camera, drone and
others).

B. During the Conduct of Monitoring

Upon arrival at the mine site, the monitoring team shall undertake the
following:

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1. Conduct an opening conference with the officials/representative of

the Contractor/Permittee/Permit Holder and undertake the following:
a. Introduce the field team;
b. Explain the purpose of the visit, scope and criteria of the monitoring,
and methods and procedures that will be used in the monitoring;
c. Agree on a schedule during the monitoring and request for the
company head or a representative to be available during the
monitoring and exit conference;
d. Request for pertinent documents; and
e. Determine and discuss safety and security problems/ protocols.
2. Gather information by:
a. Interviewing personnel concerned and other stakeholders to obtain
firsthand information and issues/concerns. The following may be
interviewed:
i. Contractor/Permittee/Permit Holder’s staff/laborers;
ii. Community leaders;
iii. Residents/Students/Academe;
iv. Entrepreneurs;
v. Representatives of the Local Government Unit; and
vi. Others
b. Conducting field/onsite inspection to determine actual
accomplishments of the Work Programs;
c. Documenting through pictures of the accomplishments/ variances
and other concerns. Geotagged pictures are most preferred; and
d. Reviewing documents provided by the Contractor/Permittee/
Permit Holder to determine compliance with the pertinent terms and
conditions of the Mining Permit/Contract. Additional
documents/information/data may be requested, if necessary.
3. Evaluate available information and fill-up/complete the Monitoring
Checklist. Include observed activities/omissions which are not included
in the Monitoring Checklist. Print the filled-up/completed Monitoring
Checklist indicating the members of the monitoring team and the
representative of the Contractor/Permittee/Permit Holder.
4. Conduct an exit conference by:
a. Discussing the findings of the monitoring;
b. Raising any observed serious non-compliance or omission that is
causing serious damage to the safety of its human resources, the
environment or the community;
c. Providing information/suggestion/recommendation on any findings
that needs immediate action;
d. Requesting the representative of the Contractor/Permittee/ Permit
Holder to affix his/her signature to the filled-up Monitoring Checklist;
and
e. Thanking the representative of the Contractor/Permittee/ Permit
Holder.

C. After the Conduct of Monitoring

After conducting the monitoring and upon arrival at the MGB office, the
Monitoring team shall:
1. Prepare a Monitoring Report within thirty (30) working days after the
monitoring, which shall contain the following contents/information:
a. Executive Summary, to contain brief information of the monitoring
and should include the Contractor/Permittee/ Permit Holder’s level
of compliance, "remarkable effort/s" and “areas for
improvement/s;"
b. Introduction (Shall contain the Travel Order Number and Date,
Monitoring Period, Name and designation of the team members;
Level of scope and intent achieved);

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c. Summary and discussion of findings based on the Monitoring

Checklist (to be attached to the Report);
d. Comments and Recommendation/s; and
e. Annexes (proofs of compliances, photo documentation, and other
documents gathered during the monitoring).
The Monitoring Report shall be prepared in A4 size paper, Century
Gothic Font, size 12 and single spaced. A softcopy in PDF format shall
also be provided for repository.
2. Discuss the Monitoring Report with the supervisor/s (Section Chief
and/or Division Chief), focusing on the variances in the
accomplishments/ compliances and issues/concerns; and
3. Prepare a Memorandum-Report to the Regional Director endorsing the
Monitoring Report. A draft Letter to the Contractor/Permittee/Permit
Holder informing them about the result of the monitoring with
suggestion/s or recommendation/s should also be attached for
consideration/approval of the Regional Director.

The findings during the monitoring are strictly confidential. The information
cannot be released to any person without the permission of the Regional
Director of the Mines and Geosciences Bureau Regional Office concerned.

2. Instructions in Accomplishing the Monitoring Checklist

Provided in the Order are the seven (7) Monitoring Checklist, as follows:

• Tenement (Exploration) Monitoring Checklist – for monitoring of tenement

compliance requirements for Mining Permits/Contracts under the
exploration period;
• Tenement (Development/Operating) Monitoring Checklist – for monitoring
of tenement compliance requirements for Mining Permits/Contracts under
the development/operating period;
• Safety and Health Monitoring Checklist – for monitoring of safety and
health compliance requirements during the exploration or
development/operating period;
• Environmental Management (Exploration) Monitoring Checklist – for
monitoring of environmental management compliance requirements
during the exploration period;
• Environmental Management (Development/Operating) Monitoring
Checklist – for monitoring of environmental management compliance
requirements during the development/operating period;
• Social Development (Exploration) Monitoring Checklist – for monitoring of
social development compliance requirements during the exploration
period; and
• Social Development (Development/Operating) Monitoring Checklist – for
monitoring of social development compliance requirements during
development/operating period.

To accomplish the said Monitoring Checklists, the following should be followed:

A. Prior to the Conduct of the Monitoring

The following information should be inputted to the Monitoring Checklist

before the conduct of monitoring (while at MGB RO) to minimize errors in
data/information:
1. Monitoring Information requirements such as the
name(s)/designation(s) of the members of the Monitoring Team,
planned date of the field monitoring activity, and period coverage of
the monitoring activity.

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2. Depending on the type of Monitoring Checklist, the following basic

information, such as:
a. Tenement No. (EP, MPSA or FTAA Number);
b. Contractor/Permittee/Permit Holder (Name of the EP, MPSA or FTAA
holder);
c. Operator, if any (based on an approved Operating Agreement;
d. Contract Area – current hectarage of the contract area; indicate
also the original contract area and relinquished area if there was
relinquishment of the contract area;
e. Location of the Contract Area - name of barangay/s,
city/ies/municipality/ies and province/s where the contract area is
located;
f. Area under Exploration, Development or Operating Period -
hectarage of the portion of the contract area under the
Development or Operating Period or covered by an approved
partial Declaration of Mining Project Feasibility (DMPF);
g. Location of the Area under Operating Period - name of barangay/s,
city/municipality/ies and province/s where the portion of the
contract area is under the Development/ Operating Period;
h. Mineral Commodity/Product - e.g., nickel ore, gold
bullion/ore/concentrate, etc.
i. Mining Method – specific surface mining method (e.g. open pit) or
underground mining method (e.g. cut-and-fill, block caving, etc.)
being used;
j. Type of Processing, if any - e.g. crushing, grinding, flotation,
cyanidation, etc.
3. For the Tenements (Exploration) Monitoring Checklist, the following
specific information based on the Exploration Work Program (ExWP),
reportorial requirements, and other Terms and Conditions of the Mining
Permit/Contract:
a. Date of Approval of Exploration Period/Exploration Permit;
b. Conditions on the approval/renewal, if any;
c. Period coverage and Term of the ExWP;
d. Target/Budget per exploration activity, eg. hectarage, number of
samples collected, number of trenches/adits, number of drill holes,
depth of drill holes, etc.. Note that the activities and units of work
measure in the Monitoring Checklist may not be similar to those in
the approved ExWP. Hence, the activities and units of work measure
indicated in the approved ExWP shall be inputted instead;
e. Status of the Environmental Work Program, Community
Development Program, and Safety and Health Program;
f. Compliance with the submission of reports indicating the date of
submission of each report;
g. Compliance with the payment of taxes and fees; and
h. Other information such as facilities, housekeeping, manpower,
technical/key personnel, relinquishment, General Information Sheet,
proof of project presentation with the Sanggunian concerned, etc.
4. For the Tenements (Development/Operating) Monitoring Checklist, the
following information based on the approved Three-Year
Development/Utilization Work Program (3YDUWP), reportorial
requirements, and compliance with other Terms and Conditions:
a. Date of approval of the 3YDUWP;
b. Period coverage of the 3YDUWP, e.g. CYs 2016-2018;
c. Production volume/tonnage (MT/cubic meter) target;
d. Budget
e. Mine/Mill design parameters such as bench height, bench width,
bench slope, pit slope, recovery, concentration ratio, etc.
f. Mine and Mill Activities, such as stripping of waste/ overburden,
extraction of ore, development of haulage road/stockpile, etc.
Note that the activities and units of work measure in the Monitoring

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Checklist may not be similar to those in the approved 3YDUWP.

Hence, the activities and units of work measure indicated in the
approved 3YDUWP shall be inputted instead;
g. Status of the Environmental Protection and Enhancement Program,
Final Mine Rehabilitation and/or Decommissioning Plan, Social
Development and Management Program, and Safety and Health
Program;
h. Compliance with the submission of reports indicating the date of
submission of each report;
i. Compliance with the payment of taxes and fees; and
j. Other information such as facilities, manpower, technical/key
personnel, list of equipment, mine plan/layout, survey plan of the
contract/mining area, financial statement/report, General
Information Sheet, proof of project approval by the Sanggunian
concerned, etc.
5. For the Safety and Health Monitoring Checklist, the following
information based on the Mandatory Safety and Health requirements,
approved Annual Safety and Health Program, Environmental Risk
Management, reportorial requirements and Accident Statistics, if
available:
a. Date of Approval of Annual Safety and Health Program;
b. Compliance with the Mandatory Safety and Health requirements,
eg. presence of Safety and Health Office, safety
Engineer/Inspector, Central Safety and Health Committee, etc.
c. Target/Budget for activities under the approved Annual Safety and
Health Program parameters such as Leadership and Administration,
Organizational Rules and Policy, etc.;
d. Target/Budget for activities in the Environmental Risk Management
including Emergency Response and Preparedness Program;
e. Compliance with the submission of reports indicating the date of
submission of each report; and
f. Accident Statistics.
6. For the Environmental Management (Exploration) Monitoring Checklist,
information regarding mandatory environmental management
requirement during the exploration, the approved Environmental Work
Program (EWP) and reportorial requirements during the exploration:
a. Mandatory environmental management requirements, particularly
on environmental programs;
b. Target/Budget for activities under the approved EWP. Note that the
activities and units of work measure in the Monitoring Checklist may
not be similar to those in the approved EWP. Hence, the activities
and units of work measure indicated in the approved EWP shall be
inputted instead;
c. Compliance with the submission of reports indicating the date of
submission of each report.
7. For the Environmental Management (Operating) Monitoring Checklist,
information regarding mandatory environmental management
requirement, the approved Annual Environmental Protection and
Enhancement Program (EPEP) and reportorial requirements:
d. Mandatory environmental management requirements, particularly
on environmental programs, environmental funds management,
environmental office and organization, and environmental
management system;
e. Target/Budget for activities under the approved Annual EPEP. Note
that the activities and units of work measure in the Monitoring
Checklist may not be similar to those in the approved AEPEP.
Hence, the activities and units of work measure indicated in the
approved AEPE shall be inputted instead;
f. Compliance with the payment of Mine Wastes ad Tailings Fee; and

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g. Compliance with the submission of reports indicating the date of

submission of each report.
8. For Social Development (Exploration) Monitoring Checklist, information
regarding mandatory community development requirements, the
Community Development Program (CDP), and reportorial
requirements:
a. Mandatory community development requirements, particularly
approved CDP, and presence of Community Liaison
Professional/Officer;
b. Target/Budget for activities under the approved CDP; and
c. Compliance with the submission of reports indicating the date of
submission of each report.
9. For the Social Development (Development/Operating) Monitoring
Checklist, information regarding mandatory social development and
management requirements, the Social Development and
Management Program (SDMP), and reportorial requirements:
d. Mandatory social development and management requirements,
particularly approved SDMP/Annual SDMP, establishment of
Community Relations Office, etc.
e. Target/Budget for activities under the approved Annual SDMP.
Note that the activities and units of work measure in the Monitoring
Checklist may not be similar to those in the approved Annual SDMP.
Hence, the activities and units of work measure indicated in the
approved Annual SDMP shall be inputted instead; and
f. Compliance with the submission of reports indicating the date of
submission of each report.

Data/information not available or are unreliable at the MGB RO shall be

noted for verification during the monitoring.

B. During the Monitoring

During the monitoring, particularly during the opening conference, the

name of the representative of the Contractor/Permittee/Permit Holder shall
be inputted to the Monitoring Checklist.

During the actual monitoring of compliances (after the opening

conference), information inputted in the checklist, particularly those
unavailable or are unreliable at the MGB RO, shall be verified by the
Monitoring Team by checking the documentary evidences, such as
reports, receipts, communications, etc. The Monitoring Team shall note any
discrepancies between the data/information available at the MGB RO
and the mining Contractor/Permittee/Permit Holder.

Data/Information on the accomplishments of the Work Programs shall be

noted by the Monitoring Team and inputted in the Monitoring Checklist.
Accomplishments shall be determined through ocular inspections, review
of documentary evidences and/or through interview with stakeholders
concerned. Any concerns on the implementation of the activities in the
Work Program shall be noted by the Monitoring Team.

Other findings may also be included in the Monitoring Checklist.

Recommendation for concerns that need immediate action shall likewise

be included in the Monitoring Checklist.

The finalized Monitoring Checklist shall then require the signature of the
representative of the Contractor/Permittee/Permit Holder.

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