Guidelines on Enforcement and

Compliance
 Table of Contents

Acknowledgment
1. Introduction........................................................................................................4
2. General..............................................................................................................5
2.1 Objective and nature of the Industrial Pollution
Prevention and Control Regulations....................................................5
2.2 Scope....................................................................................................5
3. The meaning of enforcement and compliance...................................................5
4. Basic principles of enforcement and compliance...............................................6
5. The Environmental Pollution Control proclamation proposed by EPA
and the Industrial Pollution Prevention and Control Regulations .....................7
5.1 Salient features of the Environmental Pollution Control Proclamation.......7
5.2 Major features of the Industrial Pollution Prevention
and Control Regulations.............................................................................8
6. Authorities responsible for the implementation of the
Industrial Pollution Prevention and Control Regulations..................................10
6.1 The appropriate environmental authority..................................................10
6.2 The supervising body...............................................................................11
6.3 Public health authorities...........................................................................12
6.4 National Metrological Services Agency....................................................12
6.5 Competent Water and Sewerage Authorities...........................................13
6.6 Investment and Business licensing Organs.............................................13
6.7 Prosecutor's Office and Courts................................................................14

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7. Measures to promote compliance....................................................................14
7.1 Education and Information........................................................................15
7.2 Consultation on regulation development and review................................16
7.3 Environmental guidelines and codes of practice......................................16
7.4 Promotion of Environmental Audits..........................................................17
8. Compliance monitoring....................................................................................17
9. Inspection.........................................................................................................18

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Acknowledgment

The Environment Protection Authority would like to acknowledge the United

Nations Industrial Development Organization and the Royal Dutch Government
for their assistance under the Ecologically Sustainable Industrial Development
(ESID) Project US/ETH/99/068/Ethiopia in the preparation of these guidelines.

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1. Introduction
The Federal Government of Ethiopia has recently passed a number of
proclamations that are aimed at providing the legislative instruments for the
implementation of the national environmental policy objectives and strategies.
One of these legislations is the umbrella law on pollution, which is, Pollution
Control Proclamation No.300/2002. The coming into being of the pollution control
proclamation has created an enabling environment for the overall pollution
management in the country. In addition to the provisions on environmental
standards, Pollution control, management of hazardous wastes and others, the
proclamation has defined the powers and duties of environmental inspectors.
Environmental inspectors are meant to enforce the law.

Enforcement of the pollution control proclamation requires enactment of various

regulations. Therefore, to address the issue of industrial pollution management in
the country, a draft regulation called Industrial Pollution Prevention and Control
has been prepared by the Environment Protection Authority. The regulation has
based itself on the provisions of the pollution control law and the draft Industrial
environmental policy and strategy of Ethiopia. Combined implementation of the
law and the regulation is believed to bring about positive changes by enhancing
waste prevention and reduction at source in industrial facilities.

Environmental laws and regulations set standards for what people, facilities and
institutions must do to control or prevent pollution. But the question is, what if no
body obeys the laws and regulations? It is the responsibility of the appropriate
authorities to make sure that those whom the laws and regulations are enacted
for know what they must do to comply. Therefore, enforcement is needed to
implement the laws and regulations. Enforcement as defined in this guideline
depicts the taking of a set of measures that promote or ensure compliance with
the law, whereas compliance means the state of conformity with the law.” The
purpose of this guideline is to explain the important features and relationships of

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the different laws that are involved in the enforcement process of the
proclamation and the regulations, for inspectors and relevant appropriate
authorities.

2. General

2.1 Objectives and Nature of the Industrial Pollution Prevention and Control
Regulations

The main objective of having Industrial Pollution Prevention and Control

Regulations is to implement the Environmental Pollution Control Proclamation as
far as industrial releases and pollution are concerned. The Regulations aim at
fostering the beneficial use of industrial activities and environmentally sound
industrial development that protects health and the environment from damage
that may be caused by industries.

The Regulations not only stipulate requirements to control industrial releases and
pollution but also specify matters that help regulatory authorities and the
regulated industries achieve the desired objective, i.e. environmentally
sustainable industrial development.

2.2 Scope

The Regulations are applicable to industrial activities that generate industrial

releases. The prime responsibility for controlling industrial releases and pollution
rests upon owners and operators of industries or on the industries themselves.

3. The Meanings of Enforcement and Compliance

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Enforcement depicts the taking of a set of measures that promote or ensure
compliance with the law, whereas compliance means the state of conformity with
the law.

Enforcement activities include:

 Inspection and monitoring to verify compliance;

 Investigation of violations;
 Measures to promote compliance without resorting to formal court action,
such as directions by inspectors or orders by higher authorities; and
 Measures to promote compliance through court action, such as
injunctions, prosecution, court orders upon conviction, and civil suit for
recovery of damage or costs.

4. Basic Principles of Enforcement and Compliance

The application of the Environmental Pollution Control Proclamation and the

Industrial Pollution Prevention and Control Regulations shall be based on the
following basic principles:
a) Compliance with the Proclamation and Regulations is mandatory.
b) Enforcement agencies throughout Ethiopia will apply the Proclamation and
the Regulations in a manner that is fair, predictable and consistent.
c) Enforcement agencies will administer the laws with an emphasis on
prevention of damage to the environment that may be caused by industrial
pollution.
d) Enforcement agencies will investigate every suspected violation of the
laws of which they have knowledge and will take action according to the
laws.

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e) Enforcement agencies will encourage cooperation and common
understanding with industries, as well as reporting to them of suspected
violation arising from accidents or otherwise.

5. The Environmental Pollution Control Proclamation Proposed by EPA and

the Industrial Pollution Prevention and Control Regulations

It is assumed that the Environmental Pollution Control Proclamation which has

been developed by Environmental Protection Authority (EPA), will represent a
framework pollution law based on which specific regulations such as the present
ones will be developed and adopted.

5.1 Salient Features of the Environmental Pollution Control

Proclamation

The Environmental Pollution Control Proclamation has the following elements:

 A general rule prohibiting pollution resulting from violation of the limits

specified in relevant environmental standards;
 A provision establishing the mandate of Environmental Protection
Authority or Regional environmental agencies to take administrative or
legal measures against violators;
 A general rule prohibiting the generation, transportation, treatment or
disposal of hazardous wastes without permit;
 A provision requiring EPA to formulate environmental standards, in
consultation with the competent agencies;

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  Provisions regarding the appointment of environmental inspectors by EPA
and Regional environmental agencies, as appropriate, including their
powers and duties;
 A provision on the right to appeal against measures taken by inspectors to
the head of EPA or the Regional environmental agencies, and the right to
judicial review as well;
 A provision on the right of any person to submit a complaint or petition to
EPA or Regional environmental agency against any alleged damage to
the environment without the need to demonstrate any vested interest in
the sense of the Ethiopian Civil Procedure Code; and
 Provisions relating to offences and penalties segregating natural persons
from legal persons.

5.2 Major Features of the Industrial Pollution Prevention and Control

Regulations

The Industrial Pollution Prevention and Control Regulations comprise the

following major provisions that require:
 A general duty of care to prevent damage to health or the environment
during industrial operation;
 Industries to develop and implement contingency or emergency plans in
case of accidents;
 Industries to apply environmentally sound means and ways in industrial
operation;
 Industries to exercise sound industrial releases management practices,
including treatment of the releases;
 Please note that there is a specific provision that prohibits disposal
of solid industrial release (waste) in municipal landfill. This is
because that in Ethiopia no segregation of wastes exists or is
followed by waste collecting and disposing agencies and no
regulation exists in this regard;

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 Industries with releases (wastes) designated as hazardous to deal with
such releases based on authorization from EPA, though it is anticipated to
have a separate law on hazardous wastes management;
 Licensing agencies such as investment organs or industry regulators to
issue licenses to industrial investments or businesses only upon the
submission of a written clearance to them obtained by the applicant from
the appropriate environmental authority;
 Industries to use the best practicable techniques in their industrial
processes.
 The term "best practicable techniques" is defined in the Regulations
as the most environmentally sound, affordable and accessible
methods or techniques, as well as technology to be used in
carrying out industrial activities in an economically and technically
viable or realistic manner. In other words, the techniques or the
technology that will be used in industrial operation should be:
 Most environmentally sound;
 Affordable; and
 Accessible by the industry;
 Industries to design and implement internal environmental management
systems. In developing such systems industries could benefit from the
relevant ISO guidelines and standards such as ISO 1400 series in relation
to environmental management systems;
 Compliance with industrial releases or waste standards and the need to
obtain permit before discharging industrial releases;
 Government to provide for enabling measures such as fiscal incentives,
and the establishment of industrial support fund, information system and
emergency preparedness and response systems; and
 The establishment or the designation of a pollution monitoring unit by each
industry, submission of reports, and observing notices issued by
inspectors.

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6. Authorities Responsible for the Implementation of the Industrial
Pollution Prevention and Control Regulations

The following authorities have a primary responsibility for the implementation of

the Pollution Control Proclamation and the Industrial Pollution Prevention and
Control Regulations.

The term "competent agencies" used in the Regulations refer to all authorities
that are responsible to regulate or control industrial releases by virtue of other
laws as well as the Environmental Pollution Control Proclamation.

6.1 The Appropriate Environmental Authority

The Environmental Protection Authority is generally responsible for industries

designated for federal or central control, and its responsibilities include:

 Authorization of industries to keep, treat or dispose hazardous wastes

(hazardous industrial releases) irrespective of their designation as federal
or regionally supervised industries;

 Consulting the Ministry of Water Resources in cases where applications

for permit to release or discharge industrial wastes into water resources is
submitted to the latter according to Article 11(i) (d) of the Ethiopian Water
Resources Management Proclamation No. 197/2000) and Articles 12(1)
and (2) of the Regulations;

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  Developing an integrated information system on industrial resources
consumption, pollution, generation, transfer and disposal of industrial
releases or wastes and on best practicable techniques available;

 Issuing permit to discharge industrial releases into the air or land;

 Cooperating with the Ministry of Industry to establish a national

emergency preparedness and response system to accommodate
industrial accidents;

 Conducting inspection and ensuring coordinated inspection among

competent agencies;

 Issuing enforcement and prohibition notices as appropriate; and

 Maintaining public registers on industrial releases and pollution.

 Regional environmental agencies should generally be responsible for

controlling industries of which supervision falls under the jurisdiction of
respective Regional governments and implement the provisions of the
Environmental Pollution Control Proclamation and the Regulations, as
appropriate.

6.2 The Supervising Body

According to the Water Resources Management Proclamation No. 197/2000, the

Ministry of Water Resources is the supervising body in case of matters pertaining
to waters at central level and hence to issue permits for the release or discharge
of wastes into water resources. Any organ delegated by the Ministry is also a
supervising body regarding matters that do not fall under the domain of the
Ministry.

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Accordingly, permits to discharge industrial releases into water resources shall
be issued by the supervising body according to Articles 2(1), and 11 (1)(d) of the
Water Resources Management Proclamation and Articles 12 (1) and (2) of the
Regulations.

6.3 Public Health Authorities

The Public Health Proclamation No. 200/2000 defines public health authorities as
the Ministry of Health or the Health Bureau of a Regional State or of a city
accountable to the Federal Government.

These authorities have the mandate to appoint inspectors that conduct

inspections and take measures to implement the provisions of the Proclamation
by prohibiting disposal of solid, liquid or any other waste in a manner that
contaminates the environment or affect the health of the public.

The Regulations, therefore, require those authorities to advice the supervising

body or the appropriate environmental authority in relation to the health aspects
of issuing industrial release permit, as appropriate. (Article 12 (5) of the
Regulations).

It is good to note that despite their power to inspect, public health authorities are
not mandated to issue permits to discharge wastes to any of the environmental
media.

6.4 National Meteorological Services Agency

Since the National Meteorological Services Agency Establishment Proclamation

N0 201/1980 empowers the Agency to control air pollution and maintain the
natural balance of the air in the country, the Regulations require the appropriate

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environmental authority to seek the advice of the Agency before issuing permit to
discharge industrial releases into the air.

6.5 Competent Water and Sewerage Authorities

The Addis Ababa Water and Sewerage Authority Re-establishment Proclamation

No. 30/1995 describes the jurisdiction and areas of service of the Authority as all
areas within the limits of the City administration (Article 6(1)(a)). With the prior
consent of other concerned Regional Councils, the Authority's area of service
could also extend to all catchment's areas and places of water works and waste
water works or facilities and further to non municipal villages adjacent to the City
(Article 6(1)(b)).

The Authority has the power to determine the quantity and characteristics of
wastewater or sewage to be discharge into the sewerage system, and to enforce
quality and health standards criteria and conditions in respect thereof (Article
14(9) of Proclamation No. 30/1995).

In consistent with this provision, Article 12(4) of the Regulations requires an

owner or operator of an industry who intends to discharge industrial releases or
wastewater into a public sewerage system to obtain a permit to discharge from
the competent water and sewerage authorities.

6.6 Investment and Business Licensing Organs

The appropriate investment organ, as defined in the Investment Proclamation

No. 37/1996 and the appropriate authority as per the Commercial Registration
and Business Licensing Proclamation No. 67/1997 are required, in the discharge

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of their licensing responsibilities, to check whether an industry seeking such
licenses has obtained an authorization or environmental clearance from the
competent agencies (Articles 8 and 12 of the Regulations). This requirement is
also justified under both the Investment and the Business Licensing
Proclamations.

6.7 Prosecutors' Office and Courts

While the appropriate environmental authorities may lay charges for offences
under the Environmental Pollution Control Proclamation and the Regulations, the
ultimate decision of whether to proceed with prosecution of the charges rests
with the relevant federal or regional prosecutors' Office.

With respect to an application for an injunction or a civil suit for recovery of

damage in various circumstances in which such recovery is allowed under the
laws, the appropriate environmental authority will proceed with the injunction or
suit for recovery of damage.

The Courts make the final decisions regarding prosecutions, appeals by the
operator or owner of an industry against measures taken by the appropriate
environmental authority or by its inspectors, injunction applications and civil
actions for recovery of damages, including for environmental damage.

7. Measures to promote compliance

There is a general belief that promotion of compliance through education,

information provision and other similar means is an effective tool in securing
conformity with the law. One of the responsibilities of EPA is the promotion and
provision of non-formal education programmes that enhance awareness on the
environment. It is, therefore, important for EPA to undertake extensive public
education and information transfer measures.

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As part of the commitment to promote compliance through education and
information transfer, EPA may need to establish regular forums or channels of
communication with industry, other federal and Regional agencies,
environmental groups and other interested parties so that information and
concerns relevant to the Industrial Pollution Prevention and Control Regulations,
enforcement practices and compliance can be exchanged.

7.1 Education and Information

EPA should inform industries and relevant enforcement agencies, such as the
industry, health and water sectors about the existence of the Environmental
Pollution Control Proclamation and the present Regulations upon their adoption.
It should distribute copies of these instruments as well as the Industrial
Environmental Policy and Strategy, the accompanying Guidelines, and other
environmental guidelines and standards that are deemed to promote compliance.

EPA should also compile a list of administrative measures taken against any
industry by itself or by any Regional agency, as well as a list of court actions
arising from the enforcement of the Pollution Control Proclamation and these
Regulations and make this information available to the public. Injunctions,
convictions, orders or notices issued by inspectors, civil suits that may be
instituted by itself or a Regional environmental agency such as those to recover
clean-up costs or remedy environmental damage caused by industrial pollution or
waste, may be listed down and reported.

EPA in collaboration with the Cleaner Production Center should solicit, compile
and disseminate to industries technical information on:

 Pollution abatement or cleaner production techniques;

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  Measures to prevent or reduce discharges of polluting substances into the
environment; and
 Methods of pollution and waste analysis and monitoring

Dissemination could be done through publications, seminars, training

programmes and, where possible, through networking using electronic media.

7.2 Consultation on Regulation Development and Review

The practice of the past few years has shown that EPA believes that consultation
on the development of environmental laws and guidelines, and on their
amendment with those to be regulated as well as the beneficiaries of regulations,
results in better understanding and more effective implementation. EPA
recognizes that compliance with regulations is more likely when there has been
involvement by all stakeholders in their development or amendment.

EPA should consult with affected parties, the local people, relevant regulators,
the Ethiopian Private Industries Association, and with the Supervising Authority
of Public Enterprises, at earlier stage of establishing whether a problem exists
that requires resolution, in developing and amending the relevant laws.

7.3 Environmental Guidelines and Codes of Practices

Environmental guidelines such as EIA guidelines, these guidelines on

Enforcement and Compliance and other codes of practice where they exist, can,
although they lack the force of law, help achieve the objective of the Industrial
Environmental Policy and Strategy, the Pollution Control Proclamation and the
Regulations.

EPA will further develop other guidelines and codes of practices in consultation
with the Regions, City administrations, industry, environmental groups and other

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interested parties. Such guidelines and codes of practices, where available, can
assist efforts to put in place management practices that will result in an improved
economic competitiveness for industries and better protection for the
environment, thereby promoting compliance to the laws.

7.4 Promotion of environmental audits

Environmental audits are internal evaluations that may be conducted by public

authorities such as EPA and/or the industries themselves to verify the
compliance of the latter with legal requirements as well as their own internal
policies and standards.

Audits may be carried out by consultants outside of the industries or by public

authorities or their employers. They can identify compliance problems,
weaknesses in management systems, or areas of risk.

EPA should recognize the power and effectiveness of industrial environmental

audits as a management tool and promote their use by industry through
enhanced inspections and training. However, access to internal audit reports by
inspectors should be limited to situations where the inspector has reasonable
grounds to believe that an offence has been committed under the Pollution
Control Proclamation or the present Regulations and the findings sought are
deemed to be relevant to the particular violation cannot be obtained from other
sources.

8. Compliance Monitoring

Compliance monitoring will be conducted to verify that industrial activities that are
likely to cause pollution or generate industrial releases are carried out in
accordance with the Environmental Pollution Control Proclamation, the Industrial

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Pollution Prevention and Control Regulations; directives of EPA and industrial
release permit conditions.

Means to accomplish compliance monitoring include:

 Inspection by inspectors;
 Mandatory reporting as per Article 21 of the draft Regulations; and
 Sampling of industrial releases.

9. Inspection

Inspectors may examine industrial releases, substances or products, as well as

books, records or data kept by the industry and take samples or copies.

If, during inspection, inspectors discover violations, their response will be

determined by the nature of the offence, degree of harm or potential harm to the
environment and the compliance history of the industry.

If for example, the offence is unauthorized discharging of industrial releases

(Article 26(a), Regulations), inspectors may institute a case. The institution of a
court action, according to Article 9 (1) (h) of the draft Environmental Pollution
Control Proclamation, and the corresponding penalty will be as provided for
under Article 16 of the same Proclamation.

The inspector, however, may not proceed to court action in the event where the
concerned industry is taking all reasonable measures to prevent the release or to
prevent or correct resulting damage to the environment or human health. The

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inspector issues an enforcement notice to the industry as per Article 23(1) of the
Regulations.

Generally speaking, responses by inspectors or appropriate environmental

authority against violations and the remedies available constitute the following
steps:

 Enforcement Notice (Art. 9 (2) of Proclamation, and Art. 23 (1) of

Regulations);
 Prohibition Notice (Art. 9 (3) of Proclamation, and Art. 23 (3) of
Regulations);
 Seizure or closure (Art. 9 (i) and (j) of Proclamation);
 Instituting Court action (Prosecution) Art. 9 (1) (h), Proclamation); and
 Penalties and Court orders (Arts. 12 - 17, Proclamation).

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