4. Registered environmental auditors to conduct audit
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National Environment (Audit) Regulations
Current version · as at 3 March 2006
About this Act
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In force
Full text of the Act
9 parts · 21 sections
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Uganda
National Environment (Audit) Regulations
[This is the version of this document at 3 March 2006.]
Part II
5. Preparation of environmental audit report
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6. Content of environmental audit report
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7. Submission of environmental audit report
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Part VI
24. Environmental compliance agreement
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25. Repeat of violations within two years
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Part I
1. These
Regulations may be cited as the National tate lEnvironment (Audit) Regulations,
2. In
these Regulations, unless the context otherwise in-- : requires- "Act" means the National Environment Act, Cap "Authority" means the National Environment Management Authority established by section 4 of the Act; "enforcement environmental audit" means a compulsory environmental audit required by these Regulations: "environmental audit" means a systematic, documenuxt periodic and objective evaluation carried out to determine how well a facility and its management and equipment are performing in conserving the environment and its resources; and to deteimmo the compliance status with environmental regulatory requirements, the enviionmental management system and the overall cnviionmenml risk of the facility;
"environmental auditor" means a person certified an registered to conduct environmental audits i_ SI. No. 85 accordance with the National Environmcrs= of 2003. (Conduct and Certification of Environmental Practitioners) Regulations, 2003; "environmental audit report" means a report made on ar~ environmental audit and includes an enforcement environmental audit report and a voluntary- environmental audit report; "environmental compliance agreement" means an agreement between the owner and the Authority as provided for by Part VI of these Regulations; "environmental inspector" means an inspector appointed under section 79 of the Act; "environment management system" means a J documented system that defines the manner in which a facility manages its environmental activities by developing, implementing, reviewing and monitoring compliance to environmental regulations and requirements; "Executive Director" has the meaning given to it by the Act and includes, for the purpose of these Regulations, an environmental inspector or any person who is duly authorised by the Executive Director to act on his or her behalf, or who has been delegated to perform the functions of the Authority under section 6(2) of the Act; "facility" includes any activity or part of an activity, field, farm, garden, place, premises, project, vessel, ship, motor vehicle, aeroplane, means of communication, storage facility, factory, production-process or consumption-method which is the subject or potential subject of an environmental audit;
"operator" means any person operating or responsible for supervising or in charge of an activity or operation of a facility; "owner" means, the proprietor, chief executive officer or overall manager of a facility; "voluntary environmental audit" means an audit carried out by the owner or operator without the demand or direction of the Authority, a lead agency, a third party or an order of a court of law; "voluntary environmental audit privilege" has the meaning given to it in regulation 21.
3. These Regulations apply to- Application
of Regulations. (a) the enforcement of section 3(3)(c) of the Act;
(b)
all environmental audits required by section 22 of the Act; (c) all environmental audits required by the National Environment (Environmental Impact Assessment) 153-1. Regulations; (d) voluntary environmental audits;
(e)
such other environmental audits as may be required or prescribed.
Part II
4. (1)
A person shall not carry out an environmental audit Registered unless that person has been duly certified and registered in mental accordance with the National Environment (Conduct and auditors to conduct Certification of Environmental Practitioners) Regulations, 2003. audit. S.l. No. 85 (2) Notwithstanding subregulation (1), an environmental of 2003. inspector may carry out an enforcement environmental audit in the manner provided by regulation 14.
Preparation of environ
5. (1)
An environmental audit report shall be prepare mental audit under the general direction of an environmental auditor whreport. shall head a team of environmental auditors.
(2)
Any changes in the scope of work during tte- preparation of the environmental audit report shall be agreec upon by the parties to the environmental audit.
Content of 6. (1) An environmental audit report shall include the mental audit followingreport. (a) the identity of the facility to be audited and in physical location; (b) the identity of the owner or operator or of his or he representatives who will take part in th: environmental audit and their specific roles; (c) the person commissioning the environmental audit; (d) the criteria, objectives, scope and methodology o: conducting the environmental audit; (e) the period covered by the environmental audit and the dates on which the audit was conducted; (f) the names and composition of the environmental audit team, including their qualifications, specific skills and relevance to specific subject matter; (g) a description of the client and the audited facility and the conditions pertaining in the facility before the environmental audit; including the control procedures and environmental compliance mechanisms in place; (h) a summary of the environmental audit process and any obstacles encountered in conducting the audit; (i) a description of the observable effects of the audited facility, including the exhibits;
(j)
a description of the environmental management system in place at the facility and the manner in which it operates; (k) consultations made with the members of the public affected or likely to be affected by the activities of the audited facility; (I) a statement of the confidential nature if any, of the contents of the information obtained or parts of the information; (m) a statement as to how far, in the opinion of the environmental audit team, the operation of the audited facility complies with the Act and with other relevant laws of Uganda, and the identity of persons liable for any violation; (n) the recommended remedial measures for restoring, eliminating or minimising the undesirable environmental impacts of the audited facility, including documents analysing any portions of the report;
(o)
identification of the gaps in knowledge and other limitations;
(p)
the resources required and the optimum time for introduction, monitoring and implementing the recommended remedial measures;
(q)
the findings of the environmental audit and a summary of any references to supporting evidence;
(r)
an implementation plan that addresses the correction of past environmental non-compliance, the improvement of current environmental compliance and prevention of future non-compliance; and
(s)
any other matter which may be identified in ti terms of reference agreed between the owner c- operator of the facility and the environment audit team and, where relevant-
(i)
any matter determined by the environment inspector, in the case of an environment enforcement audit.
(ii)
any matter agreed between the owner o operator of the facility and the Executiv. Director, in the case of a voluntar environmental audit; or
(2)
Where these Regulations require the owner c operator to prepare and submit an environmental audit report t the Executive Director, the operator or owner shall prepare art submit the report in quadruplicate.
(3)
An environmental audit shall be conducted r accordance with best available practices, taking into accou: advances in science and technology.
(4)
An environmental audit report shall-
(a)
be dated and signed by all the members of th. environmental audit team; (b) contain a declaration, dated and signed by all the members of the environmental audit team, statins that the audit was conducted in compliance with the S.I. No. 85 of 2003. National Environment (Conduct and Certificatior of Environmental Practitioners) Regulations, 2003 these Regulations and other relevant laws.
(5)
An environmental auditor shall ensure that the environmental audit report contains all the matters required by subregulation (1).
(6)
An environmental auditor who fails to comply with »ubregulation (1) shall be in breach of the Code of Practice and Professional Ethics prescribed by the National Environment S.l. No. 85 'Conduct and Certification of Environmental Practitioners) of 2003. Regulations, 2003, and shall be subject to disciplinary action as □rescried by those regulations.
(7)
An environmental auditor is under a duty to disclose mH facts pertinent to the environmental performance of the audited facility and to disclose the state of affairs found in the [facility in the course of the audit.
7. An environmental audit report shall be
submitted to the Submission of environ owner or operator of the facility within fourteen days after the mental audit completion of the audit. report.
Part III
8. (1) Every owner or operator of a facility whose Establish
ment of activities are likely to have a significant impact on the environ environment shall establish an environmental management mental manage ssystem in accordance with these Regulations. ment systems.
(2)
An environmental management system shall imclude, among other matters that the Executive Director may porescribe-
(a)
a corporate environmental management policy, which shall include a commitment by the owner or operator of the facility to implement it;
(b)
a plan for the implementation of the corporate environmental management policy;
(c)
a mechanism for developing capabilities and support systems necessary to achieve the objectives of the corporate environmental management policy; and
(d)
a mechanism for reporting, reviewing, monitoir and evaluating the environmental performance the facility. (3) A copy of the environmental management policy sh^ be displayed in a conspicuous place in the facility to which it applz (4) An owner or operator of a facility who fails to estabL an environmental management system commits an offence and liable, on conviction, to a fine of not less than three million shillin' and not more than thirty million shillings, or to imprisonment for term of not less than twelve months, or both. Facilities to have . (1) Without prejudice to regulation 8(1), the Executenviron irector may, from time to time, publish, by notice in the Gaza mental management an in a newspaper with national circulation in Uganda, a list. systems. categories or types of facilities that are required to he environmental management systems. (2) The Executive Director may, in the notice referred in su regulation (1), specify the name and location of eve a<^ re<-luired *° have an environmental management system and the time frame for the estabishment of the system. Powers of inspectors 10. An environmental inspector, acting within the powc in relation to environ presen d by section 80 of the Act, may enter any facility i mental etermme whether the facility has an environmental managems management systems. system and whether it is functioning well. Guidelines 11. The Executive Director may issue guidelines for lb for develop ment of development of environmental management systems. mental management systems.
Part IV
13. (1) The Executive Director shall, where he or she Deter
mination of determines, in accordance with regulation 12(3), that- enforcement (a) there is sufficient public interest and sufficient cause mental audit. to believe that a facility has or may have significant adverse impacts on the environment, order an environmental auditor to carry out the enforcement environmental audit, and the owner or operator shall bear the cost of carrying out the audit; and
(b)
there is sufficient public interest, order the owner e operator to carry out an enforceme environmental audit within a specified peno determined by the Executive Director;
(c)
there is no sufficient public interest for carrying 0. the enforcement environmental audit, reject th petition and give reasons in writing for th rejection.
(2)
Where it is ordered that an enforcement environment audit be earned out in accordance with subregulation (l)faj or (b. the Executive Director shall determine the terms of reference fa carrying out the audit.
Audits by 14. (1) An environmental inspector may conduct or causer mental be conducted an enforcement environmental audit on any facilio inspectors. where there is reasonable cause to believe that-
(a)
the activities being carried out at the facility violate or are likely to violate the Act or Regulations made under the Act;
(b)
the activities being conducted at the facility are likely to cause immediate danger and harm to human health, or have undesirable and irreversible impacts on the environment; (c) a violation of any other law relating to the environment, other than one referred to in paragraph (a), is taking place. (2) An environmental inspector shall-
(a)
in the case of subregulation (l)fez) or (b), serve the operator or owner of the facility with notice ii writing, at least forty-eight hours befon conducting the environmental audit;
(b)
in the case of subregulation (l)fcj, serve the operator or owner of the facility with a notice in writing, requiring the operator or owner of the facility to carry out an environmental audit within a period determined by the inspector.
15. An Environmental Inspector may, upon entering a Powers of
ffacility for the purpose of carrying out an enforcement mental ^environmental audit, and in addition to the powers prescribed by inspector upon entry ssection 80 of the Act- of facility.
(a)
order persons at the facility to assist in the carrying out of the audit; (b) have uninterrupted access to, and interview any staff employed at the facility; (c) examine, make copies of or retain all or any documents and records relating to the design, performance and effects of the activities conducted in the facility; (d) take samples and photographs and make audio or visual recordings; and (e) carry out any other activity necessary for the carrying out of the audit.
16. An environmental inspector may, in the conduct of an Public
involvement enforcement environmental audit, consult the members of the in enforce public affected or likely to be affected by the audited facility. ment mental audits.
17. (1)
An environmental inspector shall on completion of Enforce ment an enforcement environmental audit, submit an enforcement environ environmental audit report to the Executive Director and the mental audit report. report shall comply with the requirements of regulation 6.
(2)
An environmental inspector shall, in making an enforcement environmental audit report-
(a)
discuss with the owner or operator, r environmental issues identified at the facility; (b) make available to the owner or operator, a dra= report of the audit and require him or her to mak written comments within seven days after receip of the draft report; and (c) take into account the comments of the owner c operator and attach the comments as an annex i the final report. Recommend 18. An environmental inspector may, in the environme: ations of environ enforcement audit report, recommendmental inspector. (a) where he or she suspects that the owner or operate has committed a criminal offence, that the owne or operator be prosecuted; (b) that the owner or operator enter into £ environmental compliance agreement r accordance with regulation 24; or (c) that the owner or operator, in addition to enterirE into an environmental compliance agreement execute a refundable performance deposit bond t: guarantee environmental compliance it accordance with section 94 of the Act.
Part V
20. (1)
A voluntary environmental audit report is a Effect of voluntary confidential document belonging to the owner or operator and environ the owner or operator is not required to submit it to the Authority mental audit report. or to a lead agency.
(2)
Notwithstanding subregulation (1), an owner or operator who wants to benefit from the compliance agreement regime provided for by regulation 24, may submit the voluntary environmental audit report to the Authority in accordance with regulation 23.
21. (1)
A voluntary environmental audit report is a Privilege of voluntary privileged report and is not admissible as evidence in any civil, environ criminal or administrative proceeding, except as provided by mental audit report ssubregulations (2) and (3).
(2)
The privilege for a voluntary environmental audit report provided for in subregulation (1) does not apply where-
(a)
it is waived expressly or by implication by the owner or operator of the facility, or by a court;
(b)
the report is released by the owner or operator to any buyer or seller or to a lead agency for purposes of negotiating, arranging or facilitating the sale, lease or financing of the facility, or a portion of the facility; (c) information in the report relating to the facility is obtained from a document, communication, data, report or other information required to be collected, developed, maintained, reported or otherwise made available to the Authority or to a lead agency or from an independent source in accordance with any law, permit or order; or
(d)
the information in the report is obtained observation, sampling or monitoring by a agency or the Authority. (3) A court or administrative tribunal shall require disclosure of material for which the privilege referred to subregulation (1) is asserted where the court or administrat- tribunal determines that-
(a)
the privilege is asserted for a fraudulent purpose;
(b)
the material is not subject to the privilege;
(c)
the material shows evidence of non-compliance wc any law; or ( ) the material contains, in the case of crimir proceedings, evidence relevant to the commissi; of an offence under the laws of Uganda.
Burden of proof for (1) A party asserting privilege of the volunti privilege. nrJr°nniuntal-aUdit rePort under regulation 21 has the burden c ng t e privilege, including adducing evidence of- (a) non-compliance with any law; and (b) proof that appropriate efforts to achieve complian: were promptly initiated and pursued wit reasonable diligence. envirnnm^t^ P^y seeking disclosure of the contents of a volunir nrovinp th th^ U report under these Regulations has the burden: P o that the pnvilege is asserted for a fraudulent purpose.
Submission of voluntary comnlian^? An OWner or operator who wants to benefit from th environ shalf with' agre.ement re8ime provided for by regulation ? mental audit report to environw t 7 completion of the voluntar Executive Director. renorXthP F ' 'I?™ * voluntary environmental aud report to the Executive Director.
(2)
In addition to the requirements of regulation 6, a loluntary environmental audit report shall be accompanied by a latement summarising the violations of the Act and of any other nw, and an action plan indicating the manner in which the owner ir operator proposes to correct the violations. (3) The action plan referred to in subregulation (2) shall contain- (a) actual actions and an exact time frame, acceptable to the Executive Director, for correcting the violations; and (b) an undertaking that the owner or operator shall adopt an improved environmental management system or other measures, to avoid the recurrence of the violations disclosed in subregulation (2). (4) The Executive Director may verify the contents of a 'oluntary environmental audit.
Part VI
24. (1) Upon the submission of a voluntary environmental Environ
mental .uidit report and the documents required by regulation 23(2), or compliance vlhere the comments of the owner or operator under regulation 19 agreement.
mdicate an intention by the owner or operator to comply with the a'w, the Executive Director may enter into an environmental compliance agreement with the owner or operator, specifying-
(a)
the measures required to bring the audited facility into compliance with the Act and these Regulations;
(b)
the time frame within which the measures will be undertaken;
(c)
the compensation to be paid to persons injured by the activities of the audited facility;
(d)
the restoration measures that must be undertaken t redress environmental damage in accordance wi; Part IX of the Act;
(e)
a refundable performance bond, if required, and thy nature of the bond; (7) the frequency of periodic reports to be submitted t the Executive Director; and fgj any other matter which the Executive Director nu consider necessary. (2) An environmental compliance agreement made undr is regulation has the same effect as an environmental improveme: order within the meaning of sections 80 and 95 of the Act. (3) Failure by an owner or operator of a facility who hi entered into an environmental compliance agreement to comp'. wit the agreement shall constitute a waiver of the voluntary environmental audit privilege provided for by regulation 21. Repeat of 25. Where the owner or operator has entered into r violations within two environmental compliance agreement, the occurrence of a ropes years. vio ation at the audited facility within a period of two years sha. constitute a waiver of the privilege referred to in regulation 21.
Part VII
27. A person aggrieved by the decision of the Executive Appeals
director or an environmental inspector may appeal to the High -ourt within a period of thirty days after the date on which the decision was communicated to him or her.
COL. KAHINDA OTAFIIRE, Minister of Water, Lands and Environment.
Original Laws of Uganda consolidation (as at 3 March 2006) — public-domain legislation, consolidated by ULII / Laws.Africa (CC BY 4.0). This is a point-in-time text and may not reflect later amendments; confirm against the latest Uganda Gazette before relying on it.