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Version 1.1c

Element 1 - Principles of Environmental Risk Management.

Overall Aims
On completion of this unit, candidates will have knowledge and understanding of:

reasons for managing environmental risk;

environmental hazard identification;
assessment of environmental risks;
control strategies for environmental risks;
awareness of the relationships between source, pathway and receptor when
assessing environmental risk and developing control strategies;
appreciation of environmental issues and their relevance to business.

Specific intended learning outcomes:

The intended learning outcomes are that candidates will be able to:

understand the principles of environmental hazard identification and risk assessment

and control;

advise management on the environmental hazards that may be associated with an

organisation's activities and the reasons for addressing them.

Hours of tuition and private study:

9 hours of tuition
3 hours of private study.
1.1 Introduction.
There are three main reasons for managing environmental risk. These reasons may already
be familiar to those who have studied health and safety. These reasons are moral, legal
and financial but there can be a substantial degree of overlap between them.
1.2 Reasons for Managing Environmental Risk.
Moral.
In general, the term 'environment' covers the physical surroundings that are common to
everybody including air, water, land, plants and wildlife. The definition used in the
Environmental Protection Act 1990 is that the environment '... consists of all, or any, of the
following media, namely the air, water and land'.

Because these media are common to all, the environment is everyones responsibility and
we all have a moral duty to protect it and our neighbours from environmental damage. Over
recent decades, we have become more informed and knowledgeable about our environment
and environmental issues have been championed by pressure groups.
Information about the environment has become readily available and easily accessible
though the internet and television. Government bodies conduct regular polls to gauge our
opinions on the environment and our environmental concerns (DEFRA website). Commercial
and industrial organisations have also had to adopt strategies to protect the environment, not
just for legal reasons but for moral ones too, so that they may attract more investment. There
has been a huge emphasis on the ways manufacturers use valuable raw resources in
production.
1.2.1 Legal.
Legal.
The environment is protected by legislation. It is important that organisations
take responsibility for ensuring that they are aware of all existing legislation and the arrival
and implications of new laws. They also need to understand how to comply with
that legislation in their day-to-day operations. As we shall discover in Unit B, environmental
legislation covers the principal areas of environmental protection including emissions to air,
water and land.
The main purpose of environmental legislation is to prevent damage to the environment.
Enforcement agencies can issue enforcement, prohibition or stop notices. It is through
environmental statutes that fines can be issued and imprisonment ordered. These last two
are known as punitive functions.
The legal reason for environmental management also interlinks with the financial reason
here in that the law can also have financial impact; for example, legislative requirements for
permits and consents have cost implications and clean-up costs may also be incurred.
1.2.2 Economic.
As we have learned from section 1.2, the legal and financial reasons for environmental
management interconnect. The company has to consider its shareholders to whom the
managers are responsible for running the company. Financial performance may be the main
focus of managers; however, equally important are the company image, eco-efficiency and
cost.
The direct costs of managing environmental risk are those incurred when complying with
legislation, the costs of non-compliance and the cost of permits.

Indirect costs would include the loss of company image, loss of customers and loss of
reputation both with stakeholders and regulatory bodies. Stakeholders may include the
media, the general public, customers, banks, employees, community groups and
environmental protection groups and insurers. Financial organisations have also shown
interest in the environmental performance of organisations.
Many are reluctant to invest in companies without an environmental policy or in companies
that have not been accredited by ISO 14001 (an environmental standard that was first
published in 1996 and specifies the requirements for an environmental management system.
It applies to those environmental aspects which the organisation has control and over which
it can be expected to have an influence. It can be employed by an organisation to measure
and document their environmental impact.)
Question 1.
Direct costs of managing environmental risks are those incurred when complying with
legislation and the costs of non-compliance
True/False (HP)
Answer 1: True
Response 1:
Jump 1: Next page
Answer 2: False
Response 2:
Jump 2: This page
2.0 Definitions.

Environmental Aspects and Impacts.

Hazard.
Risk.
Danger.
Sustainability.

Here we will outline some of the definitions used in Environmental Risk and Risk
Management.
2.1 Environmental Aspects and Impacts.
Aspects
ISO 14001 defines environmental aspects as elements of an organisations activities,
products and services which can interact with the environment.
Environmental Aspects include the following:

Emissions to air of particulates (smoke and dusts), carbon monoxide, nitrogen

oxides, sulphur dioxide, volatile organics, benzene, lead.
Discharges to water of solvents, heavy metals, pesticides, organic matter, litter, oil,
hazardous substances.
Waste disposal with the generation of volume of contaminated solid and liquid
wastes and the disposal of wastes that could be used as material inputs, hazardous
wastes and radioactive wastes.

An organisation can have a large number of actual and potential aspects. Effluent

discharges, leaks and spills resulting from an organisation's activity can enter rivers, lakes,
seas and oceans, as well as the land (through ground water) and therefore result in a
number of impacts. It is important that significant environmental aspects and impacts are
identified and prioritised. Significant environmental aspects are generally defined as those
which have a demonstrable impact on the environment, are of particular concern to
stakeholders and are subject to regulatory control or a code of practice to which
the organisation is a signatory.
Impacts
The term 'Environmental Impact' is used in management standards such as BS EN ISO
14001:2004, and legislation such as the Environmental Impact Assessment Regulations
(EIA) 1999. It is used In order to assess the environmental significance of a process or
substance.
ISO 14001 defines an `environmental impact` as
any change to the environment, whether adverse or beneficial, wholly or partially resulting
from an organisations environmental aspects
Therefore the term 'environmental impact' essentially refers to significance. Environmental
impacts can be positive or adverse and be identified and assessed on a local, regional or
global level.
Environmental changes due to an aspect impacting on the environment

Examples of environmental impacts

1.People living near airports have to contend with the immediate effects of aircraft noise, air
quality problems and increased congestion on local roads. Urbanisation sometimes
associated with airport development such as new hotels, retail outlets and transport
infrastructure can also have adverse impacts on landscape and habitat.
2.Climate change poses the most serious long-term threat to wildlife in the UK and globally.
The UK government have set a target to source 15% of electricity from renewable sources
such as solar and wind energy, by 2015. However, evidence from the US and Spain
confirms that poorly-sited wind farms can cause adverse impacts and severe problems for
birds through disturbance, habitat loss/damage or collision with turbines.
3.Consumption of non-renewable resources can also impact the environment.
4.Damage to buildings can occur through the emission of acidic gases.
5.Pollution of water by poor storage of wastes, chemical or oils.
6.Damage to and depletion of forests and vegetation can be caused by the formation of
ozone and other reactive chemicals as a result of emissions from organic compounds and
unsustainable forestry practice.
7.Changes to the landscape by quarrying or mineral extraction.
8.Damages to lakes and coastal waters as the result of excessive deposition of airborne
substances containing nitrogen or phosphorus.
At the global level, the greenhouse gases emitted from aircraft engines into the atmosphere
make a significant, and growing, contribution to climate change. In general, emissions of
greenhouse gases such as carbon dioxide, methane, nitrous oxide, hydrofluorocarbons,
perfluorocarbons, and sulphur hexafluoride can contribute to global warming and climate
change.
The Kyoto Protocol (1997) is an international treaty which brings together many of the
world's developed nations (with the notable exception of the United States) in an effort to
limit greenhouse gas emissions and reduce the effects of global warming.
To eliminate or minimise risks that may occur from an organisations interaction with its
environment, it is important that risks are identified, prioritised and reduced.
Question 2.
Environmental aspects are the elements of an organisations activities, products and services
which can interact with the environment and include ...
Multiple Choice (HP)
Answer 1: Discharges to water
Response 1:
Jump 1: This page
Answer 2: Waste disposal
Response 2:
Jump 2: This page

Answer 3: Emissions to air

Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
Question 3.
Environmental impacts are any change to the environment whether adverse
of beneficial, wholly or partially resulting from an organisation's
environmental aspects
True/False (HP)
Answer 1: True
Response 1:
Jump 1: Next page
Answer 2: False
Response 2:
Jump 2: This page
2.2 Hazard, Risk and Danger.
Hazard
This is defined as the property or ability of a substance or activity to cause harm.
Risk
Risk is the probability or likelihood of the hazard actually causing harm or damage and the
severity or consequence of it. Some definitions add a time component. One definition states
that risk is 'the probability that a hazard may be realised at any specified level in a given
span of time'.
Harm
So, what do we mean by the term 'harm'?
Harm is defined by the UK Environmental Protection Act (1990) as meaning:
'harm to the health of living organisms or other interference with the ecological systems of
which they form part and, in the case of man, includes offence caused to any of his senses
or harm to his property`.
Danger
Danger is defined as:
Exposure or vulnerability to harm, injury or loss or `imminent contact with a hazard`.
2.3 Sustainability.
The most commonly-accepted definition of sustainable development was published in the

report Our Common Future by the WCED (World Commission on Environment and
Development), chaired by the then prime minister of Norway Gro Harlem Brundtland in 1987.
Members from the Brundtland Commission came from 21 nations, more than half of those in
the developing world. The Bruntdland Commission called for an international conference to
be convened within an appropriate period after the presentation of its report to review
progress and create a follow-up structure (the United Nations on Conference on
Environment and Development (UNCED or the Earth Summit) was held in Rio de Janeiro
Brazil in 1992).
The definition published in the report Our Common Future came to be known also as the
'Brundtland definition'; sustainable development is:
`development that meets the needs of the present without compromising the ability of future
generations to meet their own needs.`
A UK definition appeared later in `This Common Inheritance' in 1990, namely:
living on the Earths income rather than eroding its capital. It means keeping the
consumption of renewable resources within the limits of replenishment. It means handling
down to successive generations not only man-made wealth, but also natural wealth.
As these definitions clearly show, sustainability is a goal but sustainable development is a
process. This consists of three main environmental components which we need to maintain:
1. Biodiversity: the variety of species, populations, habitats and ecosystems.
2. Ecological integrity: the general health and resilience of natural life support
systems, including their ability to assimilate wastes and withstand stresses such as
climate change and ozone depletion.
3. Natural capital: the stock of productive soil, fresh water, forests, clean air, oceans
and other renewable resources that underpin the survival, health and prosperity of
human communities.
A prime example of a sustainable system is the earth, and is highly relevant in
understanding what sustainability means for humanity.
Earths ecosystems have evolved over billions of years to maintain physical resources
through the use of solar energy. The biosphere consists of links of complex and intertwined
food chains and the waste products of each link form the food for subsequent links in those
chains. The earth must not be viewed solely as an inheritance from the past to be enjoyed in
our lifetime, but regarded as something that is passed on to future generations.
The growth in the human population is one of the major drivers of todays environmental
concerns, and the number of inhabitants has mushroomed in the past century from
1,750,000,000 in 1910 to somewhere in the region of 6,800,000,000 today. This figure is
predicted to rise to over 9,000,000,000 by the middle of the 21st century. This increases the
demands they make on the planets resources.
The link below provides a useful interactive map which shows the impact of human society
on the ecosystems of the world.
http://globalis.gvu.unu.edu/

2.3.1 Sustainability (Cont.).

Different countries held different ideas on sustainable development depending upon the type
of resources that they used, whether or not these were renewable or non-renewable. A
global North-South divide developed, with the North concerned about climate change and
the depletion of the ozone layer and the South concerned with poverty and food supplies.
The United Nations commissioned a global agenda for change in 1983 in the face of a
looming environmental crisis, for which the evidence was by then abundantly clear. Under
the title of 'Our Common Future' (see section 2.3, above), the World Commission on
Environment and Development (WCED) reported in 1987. As a direct result there have been
worldwide initiatives to deal with environmental problems.
The targets of 'Our Common Future' were multilateralism and interdependence of nations in
the search for a sustainable development path. The report sought to recapture the spirit of
the United Nations Conference on the Human Environment - the Stockholm Conference
1972 - which had introduced environmental concerns to the formal political development
sphere and established The United Nations Environment Programme (UNEP) . 'Our
Common Future' placed environmental issues firmly on the political agenda; it aimed to
discuss the environment and development as one single issue.
The publication of 'Our Common Future' and the work of the WCED laid the groundwork for
the convening of the 1992 Earth Summit and the adoption of Agenda 21 , the Rio
Declaration and to the establishment of the Commission on Sustainable Development .
The Montreal Protocol 1987 dealt with depletion of the ozone layer by setting a timetable
for phasing out the use of ozone-depleting chemicals, notably the CFCS
(chlorofluorocarbons). At the United Nations Millennium Summit, UN Secretary-General Kofi
Annan emphasised to delegates the basic services that the natural environment affords us,
including protection from the suns ultraviolet rays provided by the ozone layer in the earths
atmosphere. He warned that, in many cases, people are degrading the ability of the
environment to provide these life-sustaining services, but went on to praise the Montreal
Protocol as perhaps the most successful environmental agreement to date. Since the
1970s, scientists began to see evidence that certain man-made chemicals - including those
used in common products such as refrigerators, air conditioners, aerosol cans, cushions,
packaging materials, insulation and cleaning solvents - were rising into the stratosphere and
damaging the earths natural shield against ultraviolet radiation.
Increased ultraviolet radiation levels lead to higher rates of skin cancer, cataracts and
damage to peoples immune systems. Even small increases in ultraviolet radiation can
diminish the productivity of important food crops and adversely affect levels of plankton in
the ocean.
After the adoption of the Montreal Protocol, industrialised countries discontinued the use of
the most damaging ozone-depleting substances; developing countries were given more time
to phase out their use of these chemicals.
Agenda 21 was a comprehensive plan of action to be taken globally, nationally and locally
by organisations of the United Nations System, Governments and major groups in every
area in which humans impact on the environment. The programme highlighted the pressures
on the natural environment from population growth and associated poverty in the developing
world and unsustainable patterns of consumption in the industrialised world.
Agenda 21, the Rio Declaration on Environment and Development, and the Statement of

principles for the Sustainable Management of Forests were adopted by more than 178
Governments at the United Nations Conference on Environment and Development
(UNCED) (The Earth Summit) held in Rio de Janerio, Brazil, 3rd to 14th June 1992.
A global plan of action entitled `Local Agenda 21` (referring to the 21st Century) was aimed
at local government with the urgent and evocative message to `think global, act local`. Local
Agenda 21 has subsequently served to unlock creativity at the local scale in addressing
specific sustainability challenges.
The Earth Summit resulted in 27 principles for sustainable development which were not
legally binding but prompted further treaties and declarations such as A Framework
Convention on the Atmosphere (Climate Treaty).
The Commission on Sustainable Development (CSD) was created in December 1992 to
ensure effective follow-up of UNCED and to monitor and report on implementation of the
agreements at the local, national, regional and international levels. It was agreed that a fiveyear review of Earth Summit progress would be made in 1997 by the United Nations General
Assembly meeting in special session. These included ratification of several international
agreements such as the 1997 Kyoto Protocol that deals with global climate change,
assigning mandatory emission limitations for the reduction of greenhouse gas emissions to
the signatory nations, as well as integrating and setting specific time targets for plans to deal
with issues such as health, children, water and poverty.
2.3.2 Sustainability (Cont.).

The full implementation of Agenda 21, the Programme for Further Implementation of Agenda
21 and the Commitments to the Rio Principles were strongly reaffirmed at the World Summit
on Sustainable Development (WSSD) held in Johannesburg, South Africa from 26th August
to 4th September 2002.
This was in fact a ten-year follow up to the original Rio Earth Summit and the goals were to

strengthen global commitment on sustainable development.

The UK published its strategy for sustainable development in 1999 'A Better Quality of Life'.
It meant meeting four objectives at the same time, in the UK and the world as a whole:

social progress which recognises the needs of everyone;

effective protection of the environment;
prudent use of natural resources; and
maintenance of high and stable levels of economic growth and employment.

http://www.defra.gov.uk/sustainable/government/
The UK Government launched its new strategy for sustainable development, 'Securing The
Future', in conjunction with a Strategic Framework on 7th March, 2005. This updates and
builds on the strategy published in 1999. It takes account of new policies since 1999 and it
highlights the renewed international push for sustainable development from the World
Summit on Sustainable Development in Johannesburg in 2002. The lead Department,
DEFRA, chairs a Programme Board to oversee delivery of the Strategy, but all UK
Departments share responsibility for making sustainable development a reality.
Key trends in the UK environment can be found on the DEFRA website. The trends include
all the environmental indicators from the set of headline indicators of sustainable
development in the UK and various case studies.
To get a general feel of environmental statistics, see
http://www.defra.gov.uk/evidence/statistics/index.htm
The Department of Energy and Climate Change (DECC) was created on 3rd October
2008 to take over some of the functions of the Department for Business, Enterprise and
Regulatory Reform (energy) and Department for Environment, Food and Rural Affairs
(climate change). It was retained by the new government after the May 2010 elections. In its
initial year, it published a Low Carbon Transition plan (large file) and a Renewable Energy
Strategy.
For sustainable development to work, the issues of environmental, economic and social
performance need to be addressed.
Organisations also need to ensure that their activities and production do not undermine their
ability to function in the future. In environmental terms, if the consumption of natural capital
(resource depletion and degradation by waste and pollution) exceeds the ability to renew,
then this condition is not sustainable.
There are many approaches to sustainable development which can be placed in hierarchical
order. Firstly, an organisation could choose solutions at the end of a production process (end
of pipe solutions). Secondly, cleaner technologies could be adopted in order to minimise
pollution and waste. Thirdly, a cradle-to-grave analysis could consider the total of disparate
elements that make up the process and their costs to the environment.
The importance of sustainability has been highlighted by the introduction in Jund 2002 of a
sustainability matrix produced by Morley Fund Management. This ranked the UKs 100
largest companies from A to E for business sustainability on environmental and social issues
and from one to five for management vision and practices on sustainable development and
corporate responsibility. The companies scoring the highest rankings on the Morley Fund

Management sustainability matrix in 2002, with their scores, were:

AstraZeneca (A2)
GlaxoSmithKline (A2)
Pearson (A3)
Smith& Nephew (A3)
Reed International (A4)

Companies with the lowest rankings, with their scores, were:

BAT (E3)
Enterprise Oil (E3)
Rolls-Royce (E3)
BAE Systems (E3)
Gallaher (E4)
Imperial Tobacco (E4)

Low-scoring companies attacked the exercise, accusing the fund manager of carrying out
insufficient research and overly simplifying a complex issue. Others, while supportive of the
process, criticised Morleys approach in that it excluded certain activities. Regardless of the
truth of the matter, this clearly demonstrates that the perception of a company's
environmental credentials has now become very important, both to outside stakeholders and
to those companies themselves.
3.0 Environmental Hazard Identification.
The UK has a very long history of industry and commerce. It also has the longest
established history of industrial regulation. However, its knowledge of the environment is
historically poor; in the past, there were few controls and legislation tended to be in response
to a particular issue (as opposed to the anticipatory and preventative legislation we have
today). The country also has a legacy of industrial pollution, caused for a large part by lack
of understanding and the nave opinion that somehow nature would deal with waste
and emissions, etc. Some industries have a greater effect than others; in the table below are
some examples of how industries can affect the environment.
Industry/Process
Agriculture
Brick manufacture

Construction
Food production
Metal finishing

Offices
Timber

Potential Environmental Impact

Use of pesticides, herbicides, fertilisers, wastes.
Quarrying (landscape changes, noise, dust, transport, water run-off,
visual effects, loss of natural resources, etc.), manufacture, noise,
dust, energy use, transport, gaseous emissions.
Dust nuisance, noise nuisance, use of raw materials, contaminated
water run-off.
Effluent containing food solids and fats, cleaning chemicals, solid
food waste, combustion gases, packaging, transport, etc.
Acids, alkalis, effluent containing toxic metals, energy use, fumes,
VOCs, detergents, toxic metals, waste water, cakes or sludges
contaminated with toxic metals, combustion gases from boilers, etc.
Use of energy including air conditioning systems, hardwood
furniture, paper use.
Sustainability of raw materials, noise, dust, transport.

Environmental Hazards and Industrial Processes - how different industries can affect
the environment.

Industries such as agriculture have potential impacts on the environment through the use of
pesticides and fertilisers. The impacts from construction are also well-documented. The
activities of the construction industry cause nuisance, in particular noise and dust. The use
of raw materials on site can easily lead to contaminated water run-off causing the
contamination of nearby water courses.
Asbestos was also used in common industrial activities such as domestic appliances,
storage heaters, gas warm air heaters and in catalytic converters, as well as sprayed in
applications or insulating boards in buildings, and as lagging for boilers and pipework and in
the production of fire blankets, ropes, yarns and friction products. It can cause air pollution
and - as a class 1 carcinogen - it is harmful to health. 25% of those who die from asbestosrelated diseases each year are workers in the building trade. Health and safety disasters
such as Bhopal and Chernobyl also caused harm to the environment, people and the food
chain.
3.1 Direct Effects on the Health & Safety of People Outside the Workplace.
We have seen previously that health and safety and the environment share some strong
correlations, and as such it makes sense for the Health and Safety Executive (HSE) and the
Environment Agency to work together. This is so in the case in the Control of Major Accident
and Hazards (Amendment) Regulations (COMAH) 2005.
The environment may be defined as the air, water and land and a hazard is 'harm to the
health of living organisms or other interference with the ecological systems of which they
form part and, in the case of man, includes offence caused to any of his senses or harm to
his property'.
There are many different types of environmental hazard including fires and explosions,
chemical spills, hazardous substances in land fill sites, low river flows, releases of harmful
gases that do adversely affect the air, land and water that can also cause harm to people
outside the workplace..
Hazardous Substances
The Control of Substances Hazardous to Health Regulations 2002 (COSHH) interprets
substances hazardous to health as including:
Substances which under The Chemicals (Hazard Information and Packaging) Regulations
(CHIP 3) 2002 are in categories of very toxic, toxic, harmful, corrosive or irritant.
Under these regulations, employers are required to carry out a risk assessment (Regulation
6), Control exposure (Regulation 7), maintain control measures (regulation 9) and monitor
exposure (regulation 10). However, people are not likely to be exposed to risks from
hazardous substances necessarily in the workplace alone, but also outside of the workplace
in the environment.
Hazardous substances can affect people outside of the workplace, for example with effluent
outfalls from factories, refineries and waste treatment plants directly into watercourses and
urban water supplies and the uncontrolled waste which could cause indirect pollution of the
land or water.
On the next few pages are examples of environmental incidents which have brought about
the introduction of further health and safety legislation to prevent their recurrence.
3.1.1 Minimata Bay Japan 1953-1960.

A severe environmental incident occurred in Minamata city in Kumamoto prefecture, Japan

in 1956. It was caused by the release of methyl mercury in the industrial wastewater from the
Chisso Corporation 's chemical factory, which continued from 1932 to 1968.
This highly toxic chemical bioaccumulated in shellfish and fish in Minamata Bay and the
Shiranui Sea, which - when eaten by the local populace - resulted in mercury poisoning. As
of March 2001, 2,265 victims had been officially recognised (1,784 of whom had died) and
over 10,000 had received financial compensation from Chisso.
Lawsuits and claims for compensation continue to this day.
Minamata disease, sometimes referred to as Chisso-Minamata disease, is a neurological
syndrome caused by severe mercury poisoning. Symptoms include

ataxia,
numbness in the hands and feet,
general muscle weakness,
narrowing of the field of vision and
damage to hearing and speech.

In extreme cases, insanity, paralysis, coma and death follow within weeks of the onset of
symptoms. A congenital form of the disease can also affect foetuses in the womb.
3.1.2 Flixborough, England 1974.
On 1st June 1974, Flixborough was at the centre of the UK's worst industrial accident when
the Nypro Works chemical plant was devastated by an explosion. Twenty-nine people died
and more than 100 were injured with around 100 homes in the village itself being destroyed
or badly damaged.
The chemical plant, owned by Nypro (UK) (a joint venture between Dutch State Mines and
the British National Coal Board ), and in operation since 1967, produced caprolactam, a
precursor chemical used in the manufacture of nylon. The process involved oxidation of
cyclohexane with air in a series of six reactors to produce a mixture of cyclohexanol and
cyclohexanone. Two months prior to the explosion, a crack was discovered in the number 5
reactor. It was decided to install a temporary 50 cm (20 inch) diameter pipe to bypass the
leaking reactor to allow continued operation of the plant while repairs were made.
Residents of the village of Flixborough were not keen to have such a large industrial
development so close to their homes and had expressed concern when the plant was first
proposed. Their prescient concern was well-founded.
At 16:53 on Saturday 1st June 1974, the temporary bypass pipe (containing cyclohexane at
150 C (302F) and 1 M Pa ) ruptured, possibly as a result of a fire on a nearby 8 inch (20
cm) pipe which had been burning for nearly an hour. Within a minute, about 40 tons of the
plant's 400 ton store of cyclohexane leaked from the pipe and formed a vapour cloud 100
200 metres (320-650 feet) in diameter. The cloud, on coming in contact with an ignition
source (probably a furnace at a nearby hydrogen production plant) exploded, completely
destroying the plant. Around 1,800 buildings within a mile radius of the site were damaged.
The fuel-air explosion was estimated to be equivalent to 15 tons of TNT (60 gigajoules) and
it killed all 18 employees in the nearby control room. Nine other site workers were killed, and
a delivery driver died of a heart attack in his cab.

Observers have said that had the explosion occurred on a weekday, more than 500 plant
employees would likely have been killed. Resulting fires raged in the area for over 10 days. It
was Britain 's biggest ever peacetime explosion until the Buncefield Depot explosion in 2005.
Substantial destruction of property was recorded in Flixborough itself, as well as in the
neighbouring villages of Burton-on-Stather and Amcotts. Significant structural damage
affected Scunthorpe (eight miles away) and the blast was heard (and felt) twenty-five miles
away in Grimsby.
Although the area was quite remote, graphic images of the disaster were soon shown on
television due to a film crew who had been covering a Gala in Scunthorpe that afternoon.
The official inquiry into the accident determined that the bypass pipe had failed due to
unforeseen lateral stresses during a pressure surge. The bypass had been designed by
engineers who were not experienced in high-pressure pipework, no plans had been
produced or calculations produced, the pipe was not pressure-tested, and was mounted on
temporary scaffolding poles that allowed the pipe to twist under pressure. These
shortcomings led to a widespread public outcry over industrial plant safety and significant
tightening of the UK government's regulations covering hazardous industrial processes.
Despite protests from the local community the plant was re-built but due to a subsequent
collapse in the price of nylon, it closed down a few years later. The site was demolished in
1981 although the administration block still remains. The site today is home to the
Flixborough Industrial Estate, occupied by various businesses.
3.1.3 Seveso, Italy 1976.
Seveso made world headlines when, on July 10th, 1976, storage vessels at the ICMESA
chemical plant ruptured, releasing several kilogrammes of the dioxin TCDD (2,3,7,8tetrachlorodibenzo-p-dioxin) into the atmosphere. Tens of thousands of farm animals and
pets died or were later deliberately slaughtered, though it is believed that there was not a
single human death directly attributable to the incident. The event came later to be known as
the Seveso disaster, so named because Seveso was the community most affected.
The industrial plant was owned by the company ICMESA ( Industrie Chimiche Meda Societ
), a subsidiary of Givaudan which in turn was a subsidiary of Hoffmann-La Roche (Roche
Group).
The factory building was many years old and the local population did not perceive it as a
potential source of danger. Moreover, although several industrial accidents involving dioxins
had occurred before, they were of a more limited scale.
The accident occurred as 2,4,5-trichlorophenol (TCP), a herbicide, was being produced from
1,2,4,5-tetrachlorobenzene by the nucleophilic aromatic substitution reaction with sodium
hydroxide. It is thought that some 1,2,4,5-tetra chlorobenzene had formed a solid cake on
the upper parts of the reaction vessel. As the temperature increased, this melted and
entered the sodium hydroxide containing mixture. The addition of more 1,2,4,5tetrachlorobenzene increased the rate of heat production. The 2,4,5-trichlorophenol was
intended for use as an intermediate in the production of hexachlorophene, a medical
disinfectant. An unintended byproduct of the manufacture of TCP is TCDD in trace amounts,
measured in ppm (parts per million). Due to human error, an uncontrolled reaction (thermal
runaway) occurred bursting the security disk of the chemical reactor and an aerosol cloud
containing sodium hydroxide, ethylene glycol, sodium trichlorophenate, and somewhere
between a few hundred grammes and up to a few kilogrammes of TCDD was released over

an 18 km area.
The affected area was split into zones A, B and R in decreasing order of surface soil
concentrations of TCDD. Zone A was further split into 7 sub-zones. The local population was
advised not to touch or eat locally-grown fruits or vegetables.
Zone A had a TCDD soil concentration of > 50 microgrammes per square metre (g/m). It
had 736 residents.
Zone B had a TCDD soil concentration of between 5 and 50 g/m and about 4,700
residents.
Zone R had negligible or a TCDD soil concentration of < 5 g/m and 31,800 residents.
Within days, a total of 3,300 animals were found dead, mostly poultry and rabbits.
Emergency slaughtering commenced to prevent TCDD from entering the food chain. By
1978, over 80,000 animals had been slaughtered. 15 children were quickly hospitalised with
skin inflammation.
By the end of August, Zone A had been completely evacuated and fenced, 1,600 people of
all ages had been examined and 447 were found to suffer from skin lesions or chloracne.
Industrial safety regulations were passed in the European Community in 1982; they were
called the Seveso Directive and imposed much harsher industrial regulations. The Seveso
Directive was updated in 1999, amended again in 2005 and is currently referred to as the
Seveso II Directive (or COMAH Regulations in the United Kingdom).
3.1.4 Love Canal, Niagara, USA.
The roots of the disaster can be traced back to the 1920s when an old canal which had been
dug to link the Upper and Lower Niagara rivers was turned into a municipal and industrial
chemical dumpsite.
In 1942, Hooker Chemical and Plastics Corporation (a subsidiary of Occidental Petroleum)
expanded use of the site, and, by 1947, acquired the land for its own private use. In the
subsequent five year period, the company buried about 22,000 tons of toxic waste in the
area. Once the site had been filled to capacity in 1952, Hooker closed the site to further
disposal, back-filled the canal and covered it over with 4 feet of impermeable clay. The local
authorities, desperate for land, made several attempts to buy the old canal site; Hooker at
first refused, citing the presence of toxic waste but eventually gave in and sold it for one
dollar, with a seventeen-page caveat detailing the nature of the site.
During the 1950s and 1960s, about 100 homes and a school were built at the
site. Continued construction work disturbed the ground, including the clay seal laid down by
Hooker. The building of a highway restricted the run-off of rainwater to the Niagra river,
causing more potential for pooling.
In early 1977, heavy winter and spring rains caused pools of oily and coloured water in yards
and gardens in the area. Surveys in 1978 revealed that 82 different compounds, 11 of them
suspected carcinogens had been percolating upward through the soil, their drum containers
rotting and leaching their contents into the backyards and basements of homes and a public
school. It was estimated that of the children born in the area during the 1974-1978 period,
56% had some kind of birth defect.

The local residents had a long fight on their hands, as neither Occidental nor local
government seemed particularly interested in investigating the reports. By 1978, Love Canal
had attracted the attetnion of the national media.
On August 7th, 1978, President Jimmy Carter announced a federal health emergency, called
for the allocation of federal funds and ordered the Federal Disaster Assistance Agency to
assist the City of Niagara Falls to remedy the Love Canal site. This was the first time in
American history that emergency funds were used other than for a natural disaster. Carter
had trenches built that would transport the wastes to sewers and had home sump pumps
sealed off.
At first, scientific studies did not conclusively prove that the chemicals were responsible for
the residents' illnesses, and scientists were divided on the issue, even though eleven known
or suspected carcinogens had been identified, one of the most prevalent being benzene.
There was also dioxin (polychlorinated dibenzodioxins) in the water, a very hazardous
substance. Dioxin pollution is usually measured in parts per trillion; at Love Canal, water
samples showed dioxin levels of 53 parts per billion.
In 1979, the Environmental Protection Agency announced the result of blood tests that
showed high white blood cell counts, a precursor to leukemia, and chromosome damage in
Love Canal residents. In fact, 33 percent of the residents had undergone chromosomal
damage, while in a normal population, this should be at 1 percent. Other studies were
unable to find harm.
Eventually, the government relocated more than 800 families and reimbursed them for their
homes, and the United States Congress passed the Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA), or the Superfund Act, that holds
polluters accountable for their damages. In 1994, a judge ruled that Hooker/Occidental had
been negligent, but not reckless, in its handling of the waste and sale of the land. Occidental
Petroleum was sued by the EPA and in 1995 agreed to pay $129 million in restitution.
Residents' lawsuits were also settled in the following years.
3.1.5 Bhopal, India 1984.
The Bhopal Disaster took place in the early hours of the morning of December 3rd, 1984,in
the heart of the city of Bhopal, India, in the state of Madhya Pradesh.
It was caused by the release of 40 tons of methyl isocyanate (MIC) gas from a Union
Carbide India Limited pesticide plant owned by Union Carbide. The International Medical
Commission on Bhopal was established in 1993 to respond to the disaster.
The BBC gives the death toll as nearly 3,000 people dead initially, and at least 15,000 from
related illnesses since. Greenpeace cites 20,000 total deaths as its conservative estimate.
Bhopal is frequently cited as the world's worst industrial disaster.
The Union Carbide plant was established in 1969 and had expanded to produce carbaryl in
1979; MIC is an intermediate in carbaryl manufacture.
In November 1984, most of the safety systems were not functioning. Many valves and lines
were in poor condition. Tank 610 contained 42 tons of MIC, much more than safety rules
allowed. During the nights of 2nd3rd December, a large amount of water entered tank 610.
A runaway reaction started, which was accelerated by contaminants, high temperatures and
other factors. The reaction generated a major increase in the temperature inside the tank to
over 200 C (400 F). This forced the emergency venting of pressure from the MIC holding

tank, releasing a large volume of toxic gases.

The reaction was sped up by the presence of iron from corroding non-stainless steel
pipelines. It is known that workers cleaned pipelines with water. They were not told by the
supervisor to add a slip-blind water isolation plate. Because of this, and the bad
maintenance, the workers consider it possible for water to have accidentally entered the MIC
tank. UCC maintains that a "disgruntled worker" deliberately connected a hose to a pressure
gauge.
The timeline of the disaster was as follows:
At the plant
21:00 Water cleaning of pipes starts.
22:00 Water enters tank 610, reaction starts.
22:30 Gases are emitted from the vent gas scrubber tower.
00:30 The large siren sounds and is turned off.
00:50 The siren is heard within the plant area. The workers escape.
Outside
22:30 First sensations due to the gases are felt - suffocation, cough, burning eyes and
vomiting.
1:00 Police are alerted. Residents of the area evacuate. Union Carbide director denies any
leak.
2:00 The first people reached Hamidia Hospital. Symptoms include visual impairment and
blindness, respiratory difficulties, frothing at the mouth, and vomiting.
2:10 The alarm is heard outside the plant.
4:00 The gases are brought under control.
7:00 A police loudspeaker broadcasts: "Everything is normal".
Charges
On 7th June 2010 seven former employees of the Union Carbide subsidiary, all Indian
nationals and many in their 70s, were convicted of causing death by negligence and each
sentenced to two years imprisonment and fined. All were released on bail shortly after the
verdict. The CEO of Union Carbide, Warren Anderson absconded India whilst on bail and
fled to the US. He has never faced justice for his part in the incident.
3.1.6 Chernobyl Ukraine 1986.
The Chernobyl disaster was a major accident at the Chernobyl Nuclear Power Plant on April
26th, 1986 at 01:23 am, consisting of an explosion at the plant and subsequent radioactive
contamination of the surrounding geographic area. The power plant is located near Pripyat,
Ukraine (which, at the time of the disaster was in the Soviet Union.)
It is regarded as the worst accident ever in the history of nuclear power. A plume of
radioactive fallout drifted over parts of the western Soviet Union, Eastern and Western
Europe, Scandinavia, the UK, Ireland and eastern North America. Large areas of Ukraine,
Belarus, and Russia were badly contaminated, resulting in the evacuation and resettlement
of over 336,000 people.
About 60% of the radioactive fallout landed in Belarus, according to official post-Soviet data.

The accident raised concerns about the safety of the Soviet nuclear power industry, slowing
its expansion for a number of years, while forcing the Soviet government to become less
secretive. The now-independent countries of Russia, Ukraine and Belarus have been
burdened with the continuing and substantial decontamination and health care costs of the
Chernobyl accident. It is difficult to tally accurately the number of deaths caused by the
events at Chernobyl, as the Soviet-era cover-up made it difficult to track down victims.
Lists were incomplete, and Soviet authorities later forbade doctors to cite "radiation" on
death certificates. Most of the expected long-term fatalities, especially those from cancer,
have not yet actually occurred, and will be difficult or even impossible to attribute specifically
to the accident.
However, estimates and figures vary widely. The 2005 report prepared by the Chernobyl
Forum, led by the International Atomic Energy Agency (IAEA) and World Health
Organization (WHO), attributed 56 direct deaths (47 accident workers, and nine children with
thyroid cancer), and estimated that as many as 9,000 people among the approximately 6.6
million most highly exposed may die from some form of cancer (one of the induced
diseases). Nearly 20 years after the disaster, according to the Chernobyl Forum, no
evidence of increases in the solid cancers and, possibly more significantly, none of the
widely expected increases in leukaemia have been found in the population.
http://www.chnpp.gov.ua/eng/articles.php?lng=en&pg=28
3.1.7 Camelford, Cornwall 1988.
A contamination incident occurred in Camelford, a small town of about 2,500 people,
situated in Cornwall. The incident occurred in July 1988 when a contractor dumped 20 tons
of aluminium sulphate into the wrong tank at the Lowermoor treatment plant operated by
South West Water. The plant was an unmanned installation and the contractor was a relief
driver, unfamiliar with the plant layout and delivery procedures.
The resultant acidic water entered the supply directly, causing public complaints about the
taste, skin irritation and corrosive effects on plumbing and fixtures. However, the cause of
the problem was not determined for two days. The public were assured by a spokesman for
the water authority that the water, while tasting slightly acidic, was safe to drink.
Consumers were exposed for up to three days to water with pH as low as 3.9 to 5.0. An
aluminium content of up to 620 milligrammes per litre and a sulphate concentration of up to
4,500 milligrammes per litre were recorded in the water supply. Once the cause of the
problem was determined, a programme of flushing reduced levels rapidly to 1 milligramme
per litre.
Over the following months, more than 400 of the town's residents complained of a range of
symptoms including skin rashes, arthritic pains, sore throats, loss of memory and general
exhaustion. These complaints were investigated by health authorities and the government
appointed the Lowermoor Incident Health Advisory Group to report on the health effects of
the incident. In two reports delivered in 1989 and 1991, the Advisory Group concluded that
there was no convincing evidence that harmful accumulation of aluminium had occurred, nor
that there was a greater prevalence of ill-health due to the toxic effects of the contaminated
water. The report also stated that the Advisory Group recognised that the incident and
subsequent events had led to real suffering in the community, but attributed this to anxiety
rather than direct health effects; a conclusion which angered many residents.
There were suspicions at the time that the full truth about the incident was being supressed

to avoid derailing the government's planned sell-off of the water industry.

Since the incident, over 700 claims for damages have been paid with individual amounts
ranging as high as 10,000. The South West Water Authority was prosecuted for causing a
public nuisance, fined 10,000 and ordered to pay 25,000 in costs.
A new group was set up in 2001 to conduct a full inquiry into the incident, and in
January 2005, the Lowermoor Sub-group (LSG) published the draft report into the incident. It
concluded that it was unlikely that the chemicals involved in the incident would have caused
any delayed or persistent health effects.
The Subgroup noted that many individuals locally were concerned and distressed about the
possible health consequences of the incident. No conclusive link was found between the
incident and the chronic symptoms and diseases reported to the Subgroup. However, the
available information led the Subgroup to recommend further work on the following long term
health effects:

Effect of contaminants on neurological health. This is due to problems with design of

previous studies.
Effects on the development of those under 1 year old at the time of the incident.
The incidence of diseased joints in the affected area.

The Subgroup was chaired by Professor Frank Woods and included experts in toxicology,
epidemiology, and child health as well as representatives of the local community. In addition
to reviewing scientific research, the Subgroup heard evidence throughout its period of work
from people who considered their health to be affected by the incident, as well as local GPs
and other relevant professionals.
3.1.8 BP and the Deepwater Horizon Oil Spill.
The BP Deepwater Horizon was a 9-year-old semi-submersible mobile offshore drilling unit,
a massive floating, dynamically positioned drilling rig that could operate in waters up to 8,000
feet (2,400 m) deep and drill down to 30,000 feet (9,100 m).
During March and early April 2010, several platform workers and supervisors expressed
concerns with well control. At approximately 9:45 p.m. CDT on April 20th, 2010, methane
gas from the well, under high pressure, shot all the way up and out of the drill column,
expanded onto the platform, and then ignited and exploded. Fire then engulfed the platform.
Most of the workers were evacuated by lifeboats or were airlifted out by helicopter, but
eleven workers were never found despite a three-day Coast Guard search operation, and
are presumed to have died in the explosion. Efforts by multiple ships to douse the flames
were unsuccessful. After burning for approximately 36 hours, the Deepwater Horizon sank
on the morning of April 22nd, 2010.
On the afternoon of April 22nd, a large oil slick began to spread at the former rig site. Two
remotely operated underwater vehicles (ROVs) unsuccessfully attempted to cap the well. On
April 24th, the US Coast Guard announced that a damaged wellhead was indeed leaking oil
into the Gulf and described it as "a very serious spill". BP has not given a cause for the
explosion. According to the US Congressional investigation, the rig's blowout preventer, a
fail-safe device fitted at the base of the well had a hydraulic leak and a failed battery, and
therefore failed.
Volume and extent of oil spill
According to the Flow Rate Technical Group, the leak amounted about 4.9 million barrels of

oil, exceeding the 1989 Exxon Valdez oil spill as the largest ever to originate in U.S. waters
and the 1979 Ixtoc I oil spill as the largest spill in the Gulf of Mexico.
Spill flow rate
After the explosion, BP and the United States Coast Guard initially estimated that the
wellhead was leaking only 1,000 barrels per day. This was a massive underestimate.
Outside scientists quickly produced higher figures. Official estimates increased as follows:

1,000 to 5,000 barrels per day on April 29th.

12,000 to 19,000 barrels per day on May 27th.
25,000 to 30,000 barrels per day on June 10th.
35,000 to 60,000 barrels on June 15th.

Internal BP documents, released by Congress, estimate the flow could be as much as

100,000 barrels if the blowout preventer and wellhead were removed and if restrictions were
incorrectly modeled.
Spill area and thickness
The oil's spread was initially increased by strong southerly winds caused by an impending
cold front. By April 25th, the oil spill covered 580 square miles (1,500 km2) and was only 31
miles (50 km) from the ecologically sensitive Chandeleur Islands. An April 30th estimate
placed the total spread of the oil at 3,850 square miles (10,000 km2). The spill quickly
approached the Delta National Wildlife Refuge and Breton National Wildlife Refuge.
Oil sightings
Oil began washing up on the beaches of Gulf Islands National Seashore on June 1st. By
June 4th, the oil spill had landed on 125 miles (201 km) of Louisiana's coast, had washed up
along Mississippi and Alabama barrier islands, and was found for the first time on a Florida
barrier island at Pensacola Beach.
Capping of the wellhead
The wellhead was capped on July 15th and by July 30th the oil appeared to have dissipated
more rapidly than expected. Scientists believe the rapid dissipation of the surface oil may
have been due to a combination of factors that included the natural capacity of the region to
break down oil (petroleum normally leaks from the ocean floor by way of thousands of
natural seeps and certain bacteria are able to consume it.); winds from storms appeared to
have aided in rapidly dispersing the oil, and the clean-up response by BP and the
government helped control surface slicks. As much as 40% of the oil may have simply
evaporated at the ocean surface, and an unknown amount remains below the surface.
The Deepwater Horizon spill is the second-largest in history. The dubious honour of being
the largest belongs to the Lakeview Gusher in Kern County, California in 1910 which lasted
eighteen months and released an estimated nine million barrels of crude oil.
4.0 Definitions Ecotoxic and Ecotoxins.
Ecotoxic - this term is applied to substances or waste which, if released into the
environment, may present immediate or delayed adverse impacts to the environment.
The Ecotoxic label specifically recognises substances that are harmful to the environment,
although in practice, most substances which are labelled toxic, harmful, corrosive, etc. are
also capable of doing harm to the environment if they are released in an uncontrolled

manner.
Ecotoxins - these are hazardous by means of bioaccumulation and/or their toxic effects
upon biotic systems; they can accumulate in the tissues of animals or plants to a
concentration higher than the surrounding environment and have toxic effects when
absorbed by a living organism.
CHIP refers to the Chemicals (Hazard Information and Packaging for Supply) Regulations
2009. These are sometimes also known as CHIP4. CHIP is the law that applies to suppliers
of dangerous chemicals. Its purpose is to protect people and the environment from the
effects of those chemicals by requiring suppliers to provide information about the dangers
and to package them safely. CHIP requires of the suppliers of a dangerous chemical to
identify the hazards of the chemical (classification), give information about the hazard to their
customers and package the chemical safely.

Harmful to the environment

4.1 Risk Phrases.
R50
R50/R53
R51
R51/R53
R52
R52/R53
R53
R54
R55
R56
R57
R58
R59

Very Toxic to aquatic organisms

Very toxic to aquatic organisms, may cause long-term adverse effects in the
aquatic environment
Toxic to aquatic organisms
Toxic to aquatic organisms, may cause long-term adverse effects in the aquatic
environment
Harmful to aquatic organisms
Harmful to aquatic organisms, may cause long-term adverse effects in the
aquatic environment
May cause long-term adverse effects in the aquatic environment
Toxic to flora
Toxic to fauna
Toxic to soil organisms
Toxic to bees
May cause long-term adverse effects in the environment
Dangerous for the ozone layer
4.2 Incidents Causing Harm to the Environment.

Basel, Switzerland 1986

In November 1986, a chemical warehouse accident occurred at the Sandoz facility. The
warehouse was built in 1967. It was part of a large Sandoz chemical complex in
Schweizerhalle, a small community six miles east of Basel on the Rhine's left bank. Because
the fire was not discovered until it was already large and being fed by a warehouse full of

highly flammable chemicals, it was accepted from the start that the warehouse would be a
total loss. Attention was focussed on stopping exposure as barrels of flammable chemicals
were hurtling through the air. The fire fighting was defensive to begin with and massive
amounts of water were used to stop the spread of the fire.
The fire water volume applied has been estimated to be of the order of 20,000m3. The fire
resulted in substantial releases of chemicals, which - when combined with fire water drained into the nearby water course. Thirty tons of toxic material washed into the Rhine
River along with the water used to fight the warehouse blaze.
By the time the chemicals, mostly pesticides, had travelled 500 miles down river, half a
million fish were dead, several municipal water supplies were contaminated and the Rhine's
ecosystem was badly damaged with virtually all marine life and a large proportion of microorganisms wiped out.
The chemical slick, now approximately 25 miles long, drifted slowly downstream from the
Swiss border to the North Sea. It contained about 30 tons of insecticides, herbicides, and
mercury-containing pesticides and threatened the North Sea's Winter Cod Harvest.
Not only were there significant challenges in fire-fighting tactics emergency response
management and crises communications with the two nearby countries (France and
Germany), there were also the challenges of air and water pollution in a densely-populated
area.
4.2.1 Allied Colloids Site, Bradford, England 1992.
The seat of the fire was located in a raw materials warehouse at the Allied Colloids site in
Low Moor, Bradford. The warehouse itself had two rooms allocated for the storage of
oxidising and flammable products known as No.1 and No. 2 oxystores. No. 2 oxystore had
steam heating as it was originally designed to store frost-sensitive products.
On the morning of the incident, steam-heated blowers in the warehouse had been turned on
to dry out moisture. It is thought that a steam condensate line was responsible for heating a
number of AZDN kegs, which were stored at height in the No. 2 oxystore. The heating effect
caused two or three of the AZDN kegs to rupture and spill white powder all over the floor. A
passing employee thought that the powder was smoke and raised the alarm. It was
determined that no immediate hazard was present and the AZDN data sheet was referred to
before a clean-up plan was devised. While waiting for confirmation from the appropriate
vacuum cleaner manufacturer, an employee noticed a plume of smoke/vapour and a hissing
noise coming from a bag of SPS that was located underneath the AZDN kegs. Before the
employee could douse the SPS with water, the vapour plume ignited and became a jet flame
of about 300 mm in length. Within a few seconds, the jet flame became a flash fire which
was transmitted all around the room.
It was determined later that the AZDN powder probably mixed with unintended spills of SPS
and other oxidising products. AZDN in contact with SPS is likely to have been ignited by an
impact, possibly from a lid and associated metal ring closure from one of the damaged
AZDN kegs falling onto a bag or the floor.
The fire spread throughout the warehouse and smoke was blown towards nearby
motorways. The fire was contained that day and the fire brigade was not stood down until 18
days later due to risk of re-ignition during clean-up. Considerable environmental damage to
the Aire and Calder rivers resulted from the firewater run off.
4.2.2 Milford Haven, Wales 1995.

On the morning of Thursday 15th February 1995, Texaco informed the Millford Haven Port
Authority that there was a berth available at its docks and that the Sea Empress supertanker
carrying crude oil should be allowed to proceed to port. A pilot was sent out alongside the
tanker, and one hour and 20 minutes before low tide, the ship began steaming towards the
Haven. On that same evening, the Sea Empress ran aground at St Anns Head in the
entrance to the Milford Haven waterway.
Milford Haven lies within the Pembrokeshire Coast National Park, and the main spill area
affected 35 sites of special scientific interest, two national nature reserves (at Stackpole and
Skomer), and one of the UK's three marine nature reserves (Skomer).
Over the next seven days, approximately 72,000 tons of light crude oil were released, mainly
at low tide, and 480 tons of heavy fuel oil escaped whilst the vessel was being re-floated and
towed to a jetty within the waterway.
Despite a rapid clean-up response at sea, oil came ashore along 200km of coastline in an
area of international importance for wildlife and natural beauty. The worst affected areas
were Milford Haven and the south coast of Pembrokeshire, towards the beaches of
Carmarthen Bay, Tenby and Pendine.
The total cost of the accident is estimated at 45 million for the clean-up and salvage
operations, 90 million in economic costs, and 29 million in environmental impacts.
Included in the casualty list were fish - whose eggs and larvae are extremely sensitive to oil
pollution - and 25 different species of birds. At least half the population of migrant Scoter
Ducks was killed, as were thousands of Guillemots, Cormorants, Oyster Catchers, Gulls,
Shags and Red Throated Divers. A conservative estimate is that up to 20,000 birds died
either from drowning, hypothermia or swallowing toxic oil whilst preening.
A report by Friends of the Earth found that "the massive kill of marine animals will cause
long-term ecological changes, including a change in species diversity and species and
population numbers."
The Marine Pollution Control unit estimated, in its report on the accident (1997), that less
than 5,000 tons of oil came ashore, and the main amenity beaches were cleared by Easter.
The clean-up operation was a close collaboration between central government, local
authorities, public bodies, private companies and voluntary organisations.
4.2.3 Aznacllar Mine, Spain 1998.
In 1995 two workers at the Aznacllar Mine alerted authorities to the condition of the mines
dam and the possibility that the Guadiamar river could become contaminated if the dam
collapsed. However the Swedish-Candadian mine owners, Boliden Apirsa, responded to
this by saying that the dam was safe.
The dam did collapse over two years later on the 25th of April 1998. The dam contained
stagnant, toxic waste water from the Aznacllar Mine. Five million cubic metres of heavymetal laden water broke free and flowed into the Guadiamar river, directly polluting more
than 4,400 hectares of land and wiping out almost all life in the river.
Doana National Park , a UN World Heritage Area and home to six million migratory birds as
well as the habitat for rare species such as lynx, otters and imperial eagles was
situated close to the mine and this caused anxiety over the severity of the toxic overflow.
The wetland areas were not polluted although a huge area of land was contaminated,

endangering humans and wildlife. Work to eliminate the toxic sediments continued many
years later. Experts designated by Spains Higher Council of Scientic Investigation have
studied the river. Results show that the severe metal and arsenic contamination of the
Gaudiamar Rivers mud and sediments has diminished and the fish are just recovering.
However, the metal concentrations in aquatic organisms remains above normal and some
invertebrate species still show severe concentrations of heavy metals and a high degree of
toxicity.
Question 4.
The Chemicals (Hazard Information & Packaging for Supply) Regulations 2002 (CHIP)
requires the supplier of a dangerous chemical to.....
Multiple Choice (HP)
Answer 1: Package chemicals safely
Response 1:
Jump 1: This page
Answer 2: Give information about the hazard to the customers
Response 2:
Jump 2: This page
Answer 3: Identify the hazards of the chemicals
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
5.0. Fire and Explosion.
Fires and explosions can cause harm to people on- and off-site, and to the environment.
They have the potential to cause widespread pollution as pollutants will be dispersed over
large areas. It is for this reason that industrial plants using large volumes of substances,
where fire and explosion are a particular risk, are subject to the Control of Major Accident
Hazards (Amendment) Regulations 2005 (COMAH). Such operations are also required to
specifically assess the likelihood, consequences and risk reduction measures associated
with a Major Accident To The Environment (MATTE).
It is not the purpose of this course to describe the mechanisms used in the chemical industry
to assess the risks associated with chemical processes methods such as HAZOPs,
HAZANs and FMEAs have already been covered in other health and safety training courses.
However, these techniques will be used to determine potential for failures which could lead
to fire and explosions and will also identify and demonstrate potential hazards to the
environment.
5.1 Fire.
Fire or uncontrolled combustion can pose a substantial threat to the environment because:

Chemicals can be released into the air which disperse over many tens of square
miles at concentrations above the background; dispersion effects may be felt several
hundred metres beyond the accident location.
New chemicals can be created as part of the oxidation and pyrolytic process (the
products of combustion can vary during the course of the fire).

Firewater can disperse pollutants to water. It can also pollute groundwater.

Extinguishing media are often themselves capable of causing environmental
damage.
A fire may release other substances (such as asbestos) from the building structure.

As well as the long distance dispersion of pollutants, there may be local deposition at high
concentrations and fires can also cause flows of released materials, resembling a spill.
5.2 Explosion.
Explosions can pose a risk to the environment because large amounts of substances will be
released suddenly. They can also initiate either a fire or a spill. Explosions that cause large
quantities of toxic materials to be released into the air can cause considerable damage to
sensitive sites, vegetation or birds. Explosions which lead to a release of a cloud of material
could pose a considerable threat under stable atmospheric conditions, as the cloud could
travel a large distance before dispersing.
The material released will depend on the type of industry, but could include gases, vapours,
chemicals and inert substances, which are thrown out as a result of the event. The COMAH
Regulations cover certain requirements in respect of major accidents and require among
other things, the preparation of a Site Safety Report.
Such a report will cover:

major hazards arising from the consequences of potential accidents, especially to the
possible extent and severity of an accident;
maps showing land use and the location of sensitive parts of the environment;
description of the environment and surroundings of the establishment;
the ecotoxicology of substances that might be released in an accident;
protection and intervention methods designed to limit the consequences of accidents;
provisions made to mitigate post-accident impacts and aid the recovery of the
environment;
a review when circumstances, including environmental ones, change in important
ways.

There is also a requirement within COMAH to assess the effects of potential Major
Accidents To The Environment (MATTE), which could occur as a result of an explosion
involving certain dangerous substances.
An explosion could also cause the release of a non-hazardous substance, for example by
rupturing a pipeline or causing the collapse of a drain, which could have devastating effects
on a sensitive environment or a watercourse.
Radiation may be released as a result of a fire or explosion. It poses some unique hazards
to the environment and to people outside the workplace.
6.0 Radiation.
Radiation is a form of energy and the types of radiation are labelled according to the amount
of energy they have. Some of these forms of energy are transmitted by waves called
electromagnetic waves or particles emitted by radioactive materials which are known as
alpha particles, beta particles, electrons, positrons, protons and neutrons.
Electromagnetic spectrum

Radiation can be arranged according to its frequency or wavelength:

Wavelength is the distance between wave peaks.
Frequency is the number of wave peaks in a given point in one second.

6.1 Ionising and Non-ionising Radiation.

Gamma rays and X-rays to the left of the electromagnetic spectrum above contain the
greatest energy. They can remove the electron from the atom as they are so powerful, and
we call this ionisation. These rays are known as ionising radiation.
Radiowaves to the right of the electromagnetic spectrum above do not contain enough
energy to ionise; these are known as non-ionising radiation.
6.2 Ionising Radiation.

Ionising radiation is produced by unstable atoms which differ from stable atoms. These
unstable atoms are said to be radioactive.
Ionising radiation occurs as either electromagnetic rays (such as X-rays and gamma rays) or
particles (such as alpha and beta particles). It occurs naturally (e.g. from the radioactive
decay of natural radioactive substances such as radon gas and its decay products) and it
can also be produced artificially or emissions of radon gas and radiation can occur as a
result of fire or explosion. Everyone receives some exposure to natural background
radiation. Ionising radiation is used in medicine (for diagnosis and treatment), industry (for

measurement and other purposes as well as for producing electricity), research and
teaching.
6.3 Types of Ionising Radiation.
Types of ionising radiation include:
Alpha Particles
They are swiftly-moving nuclei of helium atoms and carry positive charges. They have very
little power of penetration and can easily be stopped by a sheet of paper or the outer layer of
the skin, depending upon the thickness of the skin and the energy of the alpha particle.
Ingestion of alpha particles or inhalation can cause damage.
Beta Particles
They are high-speed electrons and are smaller in mass and more penetrating than alpha
particles. A sheet of aluminium a few millimetres thick, Perspex or glass can stop beta
particles.
Neutrons
They are one of the constituents of the nucleus and do not carry any electric charge.
Hydrogen-rich materials, such as water or paraffin can shield against these particles more
effectively. Neutrons are emitted during nuclear fission and have greater penetrating power.
Thick shielding with substantial layers of concrete or water are required to prevent risks to
health.
Gamma rays
They are high-energy electromagnetic waves and can pass right through the body. Dense
materials such as steel, lead or concrete can absorb these rays more effectively. Gamma
rays are also emitted naturally in rocks and soils.
X-rays
They are very similar in their effects to gamma rays.
6.4 Non-ionising Radiation.
Non-ionising electromagnetic radiation (NIEMR) is the term used to describe the part of the
electromagnetic spectrum covering two main regions, namely optical radiation (ultraviolet
(UV), visible and infrared) and electromagnetic fields (EMFs) (power frequencies,
microwaves and radiofrequencies).
Some common sources of Optical Radiation are the sun, sunbeds and lasers, while some
typical sources of EMFs are generated by electrical supply equipment and
telecommunications systems.
6.5 Sources of Radiation.
The following list indicates the sources of radiation present in the UK :

Naturally-occurring radioactive gases - radon and thorium - which come up from

substrata and accumulate in buildings. The levels of these gases can vary across
different parts of the country, according to the nature of the underlying rocks.

Gamma rays emitted from naturally-occurring radioactive materials in rocks and soils.
The amount of this source present will also vary across different parts of the country
and tends to be highest in granite areas, e.g. Cornwall.
Internal sources, i.e. from naturally-occurring radioactivity in food and drink. Certain
foods contain higher levels of radioactivity than others.
Cosmic rays from the sun and from outer space. The radiation dose received from
this source will be higher the nearer one is to the poles, the higher one is above sea
level, the more time one spends in aircraft and the more time one spends outdoors.
Medical services, e.g. diagnostic X-rays and radiotherapy. The amount of radiation a
person receives from this source will obviously depend upon how frequently in the
course of a lifetime they are subjected to services of this kind.
Fallout from weapons tests, from waste from the nuclear industry and from nuclear
accidents.
Occupational sources, i.e. industrial and medical uses.
Miscellaneous, e.g. from ionisation chamber smoke detectors, luminous watches,
television sets, etc.

Sealed and Unsealed Sources

When radionuclides are employed, they are generally contained in such a way as to prevent
contamination of those handling them or of adjacent surfaces, breathing zones, etc. Such a
contained source is referred to as a sealed source of radiation. This term has been used
historically for electrical devices producing radiation, but they are now more correctly
referred to as radiation generators. A sealed source, though not a contamination hazard,
may still be dangerous because of the emission of penetrating radiation. When containment
of a radionuclide is not possible or desirable, it is referred to as an unsealed source of
radiation.
6.6 Hazards to People from Radiation.
When radiation interacts with the electrons in surrounding molecules, it can produce
changes in those molecules by ionisation. This process can cause a change in the physical
structure of DNA (the basic material which controls the functions of the cells that make up
the human body). This can cause adverse chemical reactions which could lead to the
destruction of the cell or the production of poison within it. This may then lead to biological
effects such as abnormal cell development, which may not be seen for some time after the
exposure to radiation.
The penetrating power of radiation and the hazards thus presented to humans will depend
upon the type of radiation emitted by the radioactive material.
Question 5.
Examples of non-ionising radiation include....
Multiple Choice (HP)
Answer 1: Electromagnetic rays (X-rays and Gamma rays) or particles such as
Alpha & Beta.
Response 1:
Jump 1: This page
Answer 2: Optical radiation (Ultra violet & Infrared) and Electromagnetic fields
Response 2:
Jump 2: Next page
7.0 Indirect Effects on the Health & Safety of People Outside the Workplace.

The environmental media are inter-related and an understanding of this interrelationship is

fundamental in appreciating the effects of health and safety of people outside the workplace.
Changes to the environment - either natural or caused by man - can have impacts on the
flora, fauna and human health.
Global, Regional and Local Pollution Effects
In order to understand the global, regional and location pollution effects, it is important that
we understand the ecosystem and earth's natural cycles. Here we will outline these main
principles.
Deforestation for example, is one human activity that can impose far-reaching effects on an
ecosystem. This occurs when the worlds forests are destroyed. This is done to clear land to
meet growing human needs such as grazing animals and growing crops, but also for
commercial logging purposes. As the human population grows, we need more fuel, water
and food and this is when ecosystems can be damaged.
We have seen that the environment can extend from the workplace to the global
environment (ISO 14001). Some environmental impacts may be observed locally, whilst
some spread as far as the global environment. Now consider as an example, two very
different air emissions: a nuisance dust and a solvent emission. The former may be confined
to being a local problem, whereas the latter has the potential to affect the global system
(although it does not follow that the solvent emissions from one particular factory can do this
on their own).
7.1 Food and Drinking Water Safety.
Water is essential for all life on earth. Humans can survive for weeks without food, but only
days without water. The water we drink in the UK comes from the surface waters and ground
water. Ground water is water located beneath the surface in soil pore spaces and in the
fractures of geological formations. A formation of rock or soil is called an aquifier when it can
yield a quantity of water. The water table is the depth at which soil pore spaces become fully
saturated with water. Both surface and ground water are vulnerable to pollution.
The Government has set legal standards for drinking water in the Water Quality
Regulations and their subsequent amendments. Most of these standards come directly from
a European law and are based on World Health Organisation guidelines. The Water Industry
Act 1991 sets out specific requirements to ensure that water companies supply water of
potable quality.
The term 'potable' refers to water of sufficient quality to serve as drinking water, whether it is
used as such or not.
Many fresh water sources are utilised by humans; some contain disease vectors or
pathogens and cause long-term health problems if they do not meet certain water quality
guidelines. The UK has additional standards to safeguard the already high quality of water in
England and Wales. The standards are strict and generally include wide safety margins. The
standards cover the way water looks and how it tastes, metals such as lead, chemicals such
as nitrate and pesticides and bacteria.
Drinking water quality in England and Wales is regulated by the government through the
Drinking Water Inspectorate (DWI). It is responsible for assessing the quality of drinking
water, taking enforcement action if standards are not being met, and appropriate action
when water is unfit for human consumption. The inspectorate was set up in 1990 after the

water industry was privatised to operate an independent body with staff experienced in all
aspects of the water supply. Their main job is to check that water companies in England and
Wales supply water that is safe to drink and meets the standards set in the Water Quality
Regulations.
Inspectors carry out technical audits of each water company. The two main parts include
inspections of the individual companies and an annual assessment of the quality of drinking
water supplied by the companies. Inspections are also carried out to ensure results are
reliable. In an inspection, there are various checks that are made. These include checks:

to ensure that consumers receive sound advice and help with queries and concerns;
that the right number of checks are carried out;
that samples are tested by trained staff using accurate methods;
that procedures used in sampling are satisfactory;
that consumers receive sound advice and help with queries and concerns;
that correct results are entered in the public record;
that sampling procedures are satisfactory;
that treatment processes and the water distribution system are operated and
maintained with safety in mind.

Section 70 of the Water Industry Act 1991 makes it a criminal offence for a water company
to supply water which is unfit for human consumption. The Inspectorate can bring
prosecutions in the names of either the Secretary of State for Environment, Food and Rural
Affairs or the National Assembly for Wales.
The Inspectorate will bring prosecutions

if it believes that it has evidence that water unfit for human consumption was
supplied;
if it believes that the company does not have a defence that it took all reasonable
steps and exercised all due diligence and
if such a prosecution is regarded as being in the public interest.

OFWAT stands for The Water Services Regulation Authority and is the economic regulator
of the water and sewerage industry in England and Wales. OFWAT works independently of
the government but works closely with the following;

the Secretary of State for Environment, Food and Rural Affairs and the Welsh
Assembly Government;
the Consumer Council for Water (CCWater), which is an independent organisation
that represents customers' interests;
the Drinking Water Inspectorate, which sets standards for the quality of drinking
water;
the Environment Agency, which regulates and enforces water abstraction consents
and quality standards in inland, estuarial and coastal waters; and
Natural England and the Countryside Council for Wales , on environmental issues.

OFWAT can

set price limits on what companies can charge their customers, ensuring companies
are able to carry out their responsibilities under the Water Industry Act 1991 as
updated by section 39 of the Water Act 2003;
protecting the standard of service;

encouraging companies to be more efficient;

meeting the principles of sustainable development; and
helping to encourage competition where appropriate.

For more information click on http://www.ofwat.gov.uk/

Food Safety
The Food Safety Act 1990 is the principal piece of legislation dealing with food safety and
defines food to include drink, articles and substances of no nutritional value which are used
for human consumption, chewing gum and other products of a like nature and use and
articles and substances used as ingredients in the preparation of food.
The main provisions of the act make it an offence to render food injurious to health, and of
selling or possessing for sale food that does not comply with food safety requirements. This
is food which is unfit for human consumption or is so contaminated that it would not be
reasonable to expect it to be used for human consumption. The Act gives ministers powers
to make emergency control orders prohibiting commercial operations in relation to food, food
sources or contact materials when there is an imminent risk of such food causing such injury
to health.
The Food and Environment Protection Act 1985 (FEPA) addresses problems associated
with pesticides and pollutants that can reach the food chain. The Secretary of State for
Environment, Food and Rural Affairs (and in Wales, the National Assembly) has a statutory
duty to control the deposit of articles or materials in the sea/tidal waters; the primary
objectives being to protect the marine ecosystem and human health, and minimising
interference and nuisance to others. This duty is exercised under powers conferred by the
Food and Environment Protection Act 1985 Part II (FEPA), which require that a licence be
obtained from the licensing authority to deposit any articles or substances in the sea or
under the seabed. This includes the burial of human remains at sea.
7.2 Pesticides.
What are pesticides?
Definition: a pesticide is any substance, preparation or organism prepared or used, among
other uses, to protect plants or wood or other plant products from harmful organisms; to
regulate the growth of plants; to give protection against harmful creatures; or to render such
creatures harmless. (Food And Environment Protection Act 1995 (FEPA)).
Pesticides are chemical or biological substances that are used to kill or control pests that
harm our food, health or environment. They are particularly used in food production because
pests can have devastating effects on the quantity and quality of crops. Pests include
rodents, insects, fungi and plants. Plant growth regulators, which are used to influence
particular growth processes in plants (for example, slowing down the growth of sprouts on
potatoes) are also regulated as pesticides.
Pesticides are used mainly in agriculture to keep crops healthy and prevent them being
wasted by disease and infestation. Pesticide residues are the small amounts of pesticides
that can remain in a crop after harvesting or storage and so can make their way into the food
chain. The Pesticides (maximum residue levels in crops, food and feeding stuffs) ( England
and Wales Regulations) 1999 are the principal Regulations in a series establishing a regime
for setting and controlling pesticides residues in crops, food and feeding stuffs.

The Pesticides Safety Directorate (PSD)

PSD is an organisation established by the Minister of Agriculture, Fisheries and Food to
assist him in the exercise of the powers conferred on him by and under Part III of the Food
and Environment Protection Act 1985 (FEPA) and EU Directives, in relation to controls over
pesticides. Pesticides are controlled in Great Britain mainly through a system of product
approval and consents covering the advertisement, sale, supply, storage and use of
pesticides laid down in Food and Environment Protection Act (FEPA) and the Control of
Pesticides Regulations 1986 (COPR) and their subsequent amendments (1997).
The PSD is an executive agency of the Department for Environment, Food and Rural Affairs
(DEFRA). Their aim is to ensure the safe use of pesticides and detergents for people and
the environment, to harmonise pesticide regulation with the European Community, and as
part of the strategy for sustainable food and farming, to reduce negative impacts of
pesticides on the environment.
The Trade Effluents (Prescribed Processes and Substances) Regulations
1989Schedule 1 state that pesticides may not be discharged into drains or watercourses.
Pesticides pose particular risks to the environment and their storage and use are tightly
controlled.
Some of the issues associated with pesticides are illustrated with regards to DDT and
related compounds.
DDT (Dichloro-diphenyl-trichloroethane) was first sythesised in 1874 but its insecticidal
properties were not discovered until 1939. It was used in the second half of World War II to
control malaria and typhus among civilians and troops. After the war, DDT was used as an
agricultural insecticide, and its production and use increased exponentially.
In 1962, American wildlife author and marine biologist Rachel Carson wrote a book entitled
Silent Spring. The book detailed the environmental impacts of indiscriminate DDT use in the
United States and raised questions about the practice of releasing large amounts of
chemicals into the environment without a full understanding their effects on the environment
or human health. Carson suggested that DDT and other pesticides could cause cancer and
that their use in agriculture was a threat to wildlife, particularly birds. Its publication caught
the public's imagination and has been credited as a major factor in the birth of the
environmental movement. It led to a 1972 ban in the US. DDT was subsequently banned for
agricultural use worldwide under the Stockholm Convention, but limited use in disease
vector control (which Carson never opposed) continues.
7.3 Landfill Gas.
A hazard associated with landfill gas is its flammability in concentrations in air of between
5% and 15% in confined spaces. Levels such as these can lead to a potentially explosive
situation. For this to occur, there needs to be generation of landfill gas and its migration into
a confined space.
In this example, the hazard is the flammability of the landfill gas and to understand the
likelihood of this hazard causing harm (risk), information needs to be gathered about the
landfill site and the surrounding environment.
http://www.landfill-gas.com/

Loscoe Explosion, Derbyshire 1986.

An explosion occurred in a bungalow adjacent to a landfill site at Loscoe on 24th March
1986. One bungalow was destroyed and the residents were severely injured. The resulting
investigation showed two more houses had been unfit for habitation for the preceding
months, and others for short periods.
The site was used as a brickworks from the mid-nineteenth century until the early 1970s.
The quarry in which it was situated comprised an elliptical hole with three stepped quarry
faces. The quarry was part-filled with inert waste products from the brick making which
ceased in 1971.
Permission was then granted for the tipping of inert materials only, and from 1973 to 1975 a
number of companies tipped at the site, until one firm acquired the sole rights and in 1978
purchased the site. During 1977 a licence had been granted to tip a wide variety of wastes,
including 50 tons per day of untreated domestic waste.
From 1977 to 1982, amendments to the licence were granted to increase the quantities of
domestic waste tipped, despite complaints from the residents of adjacent houses of vermin
and flies. Houses surrounded the site on all four sides; those on the fourth side were built in
the 1970s.
The first signs of gas generation were in 1984 when lawns and trees began to die in the
surrounding gardens. Later the soil around the affected areas began to heat up. This is
thought to be have been due to the presence of methane-feeding bacteria.
After the explosion, Derbyshire County Council monitored methane levels in the houses at
regular intervals and attempts were made to draw the gas out of the tip by horizontal and
vertical methane extraction wells. This proved only partially successful due to a perched
water table (Open University literature 1989).
Flow rates of landfill gas generated from the site measured subsequently were 150-200
cubic metres of gas per hour at a 30-35% methane content, with 3-4% oxygen or
approximately 45-70 cubic metres of methane per hour. After the explosion, the gas was
extracted by the use of 17 wells and was flared off through a purpose-built pump and flaring
unit.
8.0 Global, Regional and Local Environmental Effects.
Air and the ways in which it is polluted.
Air is essential to all life and we need a supply of clean air to function effectively. Polluted air
can directly affect our health as well as the environment.
The atmosphere (which at ground-level comprises approximately 79% nitrogen, 16% oxygen
and 3% inert gases), is a complex mixture of gases and vapours. Its depth is 8-15
kilometres, being deepest at the equator and shallowest at the poles. Without it, the Earths
temperature would be approximately 18C.
The layer nearest the ground is known as the troposphere and it has the most variation or
weather. Above the troposphere lies the stratosphere which is less turbulent.
Air pollution occurs generally in the troposphere and pollutants may be deposited by rainfall,
reaction or deposition relatively quickly. Conversely, pollutants in the stratosphere can be

very long-lasting; examples include the products of major volcanic eruptions.

8.1 Natural Emissions to the Air.
Most pollutants are emitted both by natural as well as by anthropogenic (human activity)
sources. Natural sources are not influenced by humans or by human-induced activities.
Volcanoes are a good example of this type of source and can emit large amounts of sulphur
dioxide and hydrogen sulphide. Natural emissions far exceed those made by humans.
Many emissions are biogenic, i.e, produced by living organisms, but these emissions are
very often influenced by mans activities. Nitrous oxide (N2O) is a greenhouse gas that is for
a large part emitted during nitrification and de-nitrification processes (the conversion of
ammonium to nitrate and of nitrate to N2O and ammonium respectively), which take place in
the soil. The largest N2O emissions are observed where nitrogen-containing fertiliser is
applied in agriculture.
The largest natural source of methane (a key global-warming gas) is the anaerobic
fermentation of organic materials, which takes place in rice paddies and in bog lands in the
northern hemisphere, plus the fermentation in the digestive systems of ruminants. Methane
is also released from coalmines and insects. Other hydrocarbons such as terpenes are
released directly by trees.
For the purpose of this course, we will concentrate for the most part on anthropogenic
emissions.
Air pollution and its trends are very important in the context of quality of life, urban planning
and air quality from a public health standpoint. Details of the legal requirements relating to
the air will be discussed later.
The following are key environmental effects observed on a global basis:

Global-warming (also known as climate change) - the greenhouse effect.

Depletion of the ozone layer.
Acid deposition.
Low-level ozone photochemical smog.
8.2 The Carbon Cycle.

The main component of a fossil fuel (coal, oil, wood, gas, petroleum) is carbon. Carbon
burns in the presence of excess oxygen to give carbon dioxide. Where there is reduced
oxygen, the result is carbon monoxide.
In general terms, carbon dioxide (CO2) is removed from the atmosphere by photosynthesis
in plants and released in the natural processes of respiration and decay. The process of
removal and release within the system should be roughly in balance. However, atmospheric
levels of CO2 are increasing together with other gases such as methane, nitrogen dioxide
and CFCs (chlorofluorocarbons) that together contribute towards greenhouse gases and
global climatic change.

Risk assessment and risk management techniques allow us to identify hazards that we face
and to set priorities, and form a key factor in public health and environmental management
decision making. Earlier, we looked at the definition of a hazard as the property of a
substance, or activity, to cause harm.

Natural Cycles: The Carbon Cycle

Gaseous carbon dioxide in the atmosphere is converted into organic compounds by the
process of photosynthesis in plants. The carbon is then stored in the biomass of the plants
during their life. Herbivores obtain organic carbon compounds by eating plants and
carnivores obtain organic carbon by eating herbivores. When the plants or animals die, the
dead organic matter is consumed by decomposer organisms, which return carbon dioxide to
the atmosphere.

Carbon moves from the atmosphere to plants.

In the atmosphere, carbon is attached to oxygen in a gas called carbon dioxide (CO2).
Through the process of photosynthesis, carbon dioxide is pulled from the air to produce food
made from carbon for plant growth.
Carbon moves from plants to animals.
Through food chains, the carbon that is in plants moves to the animals that eat them.
Animals that eat other animals get the carbon from their food too.
Carbon moves from plants and animals to soils.
When plants and animals die, the carbon that makes up their bodies, wood and leaves
decays in the ground. Some is buried and will become fossil fuels in millions of years.
Carbon moves from living things to the atmosphere.
Each time you exhale, you are releasing carbon dioxide gas (CO2) into the atmosphere.
Animals and plants need to get rid of carbon dioxide gas through a process called
respiration.
Carbon moves from fossil fuels to the atmosphere when fuels are burned.
When humans burn fossil fuels to power factories, power plants, cars and trucks, most of the
carbon quickly enters the atmosphere as carbon dioxide gas. Each year, five and a half
billion tons of carbon are released by burning fossil fuels. Of this massive amount, 3.3 billion
tons stay in the atmosphere. Most of the remainder becomes dissolved in seawater.
Carbon moves from the atmosphere to the oceans.
The oceans and other bodies of water absorb some carbon from the atmosphere. The
carbon is dissolved into the water. Marine animals are able to use the carbon to build their
skeletal material.
8.3 Effect of Human Activities.
Over time, human activities have contributed to the gradual increase in CO2 . Burning of

fossil fuel increased tenfold between 1900 and 1980 to 5.3 x 109 tons globally. Coupled with
deforestation at 1 x 109 tons per year, this has had a net effect of causing imbalances for
which the cycle cannot compensate. The rise in carbon dioxide coincides with the start of the
industrial revolution.
The World Climate Conference met in Geneva in 1990 and discussions were held on the UN
International Panel on Climate Change. The outcomes of the talks were that countries would
aim to reduce CO2 levels by:

stopping deforestation;
reducing fossil fuel burning;
increasing energy efficiency and conservation;
using alternative energy, i.e. gas, solar and wind.

The UN Climate Change Conference held in Montreal in December 2005 aimed to

implement the Kyoto Protocol, which provided tighter binding targets and timetables to
reduce greenhouse gases.
The evidence for climate change is complex and sometimes conflicting, but it is generally
accepted that there are strong indications that air pollution is significantly altering the worlds
climate. Increased concentrations of certain gases in the atmosphere allow more of the
energy coming from the sun to be retained, thus giving rise to increased temperatures.
The Global Warming Potential (GWP) of a gas depends on how long it lasts in the
atmosphere and how strongly it absorbs infrared radiation. GWPs are ratios normally
expressed relative to the effect of CO2. Some Global Warming Potentials for common gases
are illustrated in the following table.
Substance
Carbon Dioxide
Methane
Dinitrogen Oxide
CFCs

GWP
1.0
24.5
320.0
4,000.0

11,700.0

Global Warming Potential (GWP)

Source: IPCC Third Assessment Report, 2001 Methane makes a 30% contribution to
greenhouse effects.
Carbon dioxide has increased by 25% over the 20th Century. At present rates, it will increase
by over 150% during the next century. CFCs contribute 15% of greenhouse effects.
Industrial activities release a number of gases besides carbon dioxide, including sulphur
dioxide and nitrogen dioxide from the burning of fossil fuel. When combined with
atmospheric water vapour, acids such as sulphuric acid and nitrogen acid are produced.
These are then washed out with the rain to form acid rain.

Question 6.
The World Climate Conference outcome in 1990 stated countries would aim to reduce
Carbon Dioxide levels by....
Multiple Choice (HP)
Answer 1: Using alternative energy
Response 1:
Jump 1: This page
Answer 2: Reduce fossil fuel for burning
Response 2:
Jump 2: This page
Answer 3: Stop deforestation
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
8.4 Acid Deposition.
Acid rain (or to be more accurate, deposition, since the rain may fall as snow) is caused by
sulphurous and nitrous gases from coal burning and internal combustion engines combining
with water vapour in the air.
All rain is naturally acidic, approximately pH 5.6, due to the dissolution of carbon dioxide in
the water vapour in the air. This produces a very mild acid, known as carbonic acid. This
is why the term acid rain is slightly misleading. However, in Eastern USA and Central and
North West Europe , the pH of rain is approximately 4.0-5.0. Whilst this may not seem
significant, it represents a tenfold increase in acidity, as the pH scale (a measure of acidity
and alkalinity) is logarithmic.
The reason for the high acidity is the dissolution of sulphur and nitrogen oxides in the water

vapour. These give rise to the much more powerful sulphuric and nitric acids.
Environmental impacts include: forestry damage; groundwater, surface water and soil
acidification; damage to buildings; decline in fish and other ecosystem damage.
Smog
There has been great emphasis on the control of smoke and sulphur dioxide emissions in
the UK. This arose from the London smog which lasted from 5th to 9th December 1952.
Reports at the time put the death toll at 4,000 but modern research indicates that it could
have been closer to 12,000 although this takes into account those who died subsequent to
the four-day smog itself.
Smog was caused by low level emissions from coal burning during weather conditions that
did not disperse the pollutants, i.e. still foggy conditions. Taken together, the smoke and
sulphur dioxide had an adverse effect on human health. Consequently, with the passage of
the Clean Air Act of 1956, air quality standards were developed, the use of smokeless fuel
was made compulsory and there was increased control on domestic and industrial
emissions. Dramatic decreases in smoke and sulphur dioxide have been seen since the
1960s.
8.5 Ozone.
A feature, particularly of diesel vehicles, is that they produce very small particles in their
exhausts. These are known as PM10 particles, because they are 10 microns (or less) in
diameter. This is sufficiently small to be unaffected by our natural defences (the respiratory
escalator) and so they can pass directly to the lungs, where they may cause inflammation. At
present, there is much discussion as to whether PM10 particles (and the even smaller PM5
particles) may be responsible for the huge rise in respiratory ailments, such as childhood
asthma.
Depletion of the Stratospheric Ozone Layer
In 1984-1985, so-called ozone holes were discovered over Antarctica. The international
outcry resulted in the Montreal Protocol in 1987, which called for cuts in CFC
(chlorofluorocarbon) production within five years.
Ozone (O 3 ) is found naturally in the stratosphere, 20-30 km above the Earth and it results
from the interaction of UV light and oxygen.
Ozone is naturally depleted. However, this natural depletion is accelerated by human
activities, especially the production and use of CFCs which enter the stratosphere, where
they break down to produce free chlorine ions which react with the ozone. CFCs are
naturally very stable but will break down over time. The effects of releases of some CFCs
will be felt for decades, although there is some recent evidence that the polar ozone holes
have stopped increasing in size.
It was estimated by the US Environmental Protection Agency that for every 1% reduction in
ozone in the stratosphere, there will be a corresponding 2% increase in UV light reaching the
Earths surface. As well as contributing to climate change, it is predicted that this will result in
an 8% increase in certain forms of skin cancer.
Low Level Ozone and Photochemical Smog

Whilst ozone in the upper atmosphere is essential for the well-being of the planet, ozone is a
gas that is toxic to both animal and plant life. It is found in the lower atmosphere as a result
of photochemical processes.
Photochemical smogs have high levels of ozone produced by reactions between certain
chemicals released by man into the atmosphere, i.e. oxides of nitrogen and VOCs
(hydrocarbons) that react together in the presence of the UV in sunlight.
Today, this smog occurs in such localities as Mexico City, Los Angeles and Rome, where
cars are banned in an attempt to reduce the photochemical smog during high-pressure
weather systems. Low-level ozone can also be a problem in UK cities, in certain weather
conditions.
In the UK, higher ozone concentrations are often found in rural, rather than urban areas.
This is because ozone is not produced directly, but results from a complex chemical
reaction, which may occur significant distances away from the source of pollution. Ozone is
produced in sunny conditions, in air rich in nitrogen oxides and volatile organic carbon
compounds (VOCs) which are a component of vehicles exhausts, but are also released from
other processes.
8.6 The Nitrogen Cycle.
The ultimate source of nitrogen is the atmosphere. Biological processes at the Earths
surface capture the nitrogen in a cycle. Micro-organisms in the soil oxidise and fix the
nitrogen to form ammonia. This in turn is converted to nitrite and nitrate by other microorganisms in a process involving oxygen, called nitrification. Under low oxygen conditions in
the soil, the nitrate is changed to ammonia and the nitrification cycle can begin again.

8.7 Effect of human activities on the Nitrogen Cycle.

Nitrogen is a vital element and although it is one of the most common gases, it is often in
short supply in the soil. Soil nutrients are vital to plant growth and where they are

lacking, fertilisers are added. Excessive use of fertilisers on crops, together with surface runoff, can lead to eutrophication. It is estimated that 50% of the nitrogen applied to crops is lost
to water.
Eutrophication is the enrichment of watercourses by certain plant nutrients, which results in
the growth of algal bloom on water courses. Fertilisers are added to increase crop yield
and contain nitrogen and phosphorous. The latter causes increases in algal growth. The
algae produce a thick, cloudy cover which prevents photosynthesis and causes the bottomdwelling plants to die. The oxygen is therefore depleted due to the lack of photosynthesis.
This level is then further depleted by the dead plants being decomposed by bacteria, which
use up oxygen. Consequently, other organisms in the water are affected, resulting in fish
mortality and stagnant waters with reduced species diversity.

The Atmospheric Cycle of a Pollutant

Pollutants are emitted from sources and removed from the atmosphere by sinks. A typical
cycle is illustrated above. Although many pollutants can have both natural and man-made
sources, the latter tend to dominate at a local level. Sink processes include:

dry deposition which removes gases and particles to land and water surfaces without
rain or snow;
wet deposition through incorporation within the clouds and washout (or scavenging)
via rain or snow;
chemical reactions changing one pollutant to another, i.e. ozone.
8.8 Phosphorus Cycle.

Phosphate (PO4), is released in energy to be used by organisms in the construction of

proteins and muscles. Phosphorus is used by invertebrates like calcium in the formation of
teeth and bones. Phosphorus is also known to be important in the frework that holds DNA
together.

This cycle differs from the other types of cycles we have discussed as there is no gaseous
phase, as there is not much phosphorus gas present in the atmosphere, most is held within
sedimentary rocks. Acid rain does however contain a slight amount of phosphoric acid but
due to the temperature and pressure experienced on Earth phosphorous is not a gas.
The phosphorous cycle begins in these sedimentary rocks, where it is then removed via
weathering, to the soils and underground water. The plants take up the phosphorous form
the soil and when eaten by herbivores, is passed to their system and finally into the
carnivore systems when the herbivores are themselves then eaten.
The cycle is then completed when the phosphorus is then returned back to the soil from
faeces, urine or decomposition of the dead animals.
Phosphorus is not soluble so it adheres and binds to soil particles and then enters the
aquatic environment when soil run-off occurs. Other ways by which phosphorus can enter
the aquatic environment is through industrial waste and run-off, leaks from sewerage
systems as well as from fertilisers, which can also run-off directly to water sources.
In the aquatic environment the phosphorus settles to the bottom and is often stirred up and
absorbed by the water plants and introduced to the aquatic food chain. Excessive amounts
of phosphorus in surface waters can lead to eutrophication, the overgrowth of aquatic plants
which blocks sunlight to the bottom and suffocates marine life.
Much of the phosphorous found in the aquatic environment comes from agricultural
fertilisers. Many crops cannot absorb the amount of fertiliser so much runs off to the nearest
waterways.

8.9 Natural Systems The Water Cycle.

Water is a vital natural resource, essential for all human existence. It is in great demand and
moves around the Earth through a system known as the hydrological cycle. For water to
complete the full cycle can take thousands of years.
Water is transferred to the atmosphere by evaporation from water bodies, such as lakes,
seas, rivers and release from vegetation. Water vapour gathers, rises and begins to cool to
form clouds that eventually release the water in the form of rain, sleet or snow.

The Natural Water Cycle

There are 5 major main constituents in the global water cycle

the atmosphere,
the land surface,
surface drainage,
ground water and
the seas and oceans.

Water vapour condenses and falls to the earth's surface (land or sea) as sleet, rain, snow or
hail. On reaching the land surface, the water is absorbed into the ground or is retained in soil
and plants. It runs off the surface to enter streams or rivers and evaporates or is transpired
back to the atmosphere. The cycle can begin again.
When the water drains from the surface into streams and rivers towards the sea, it is
evaporated back into the atmosphere, or is stored in ponds and lakes.
Water from the ground (groundwater) will seep through the ground and be taken up by the
roots of plants or be stored in aquifers.
The seas and oceans receive some of the precipitation directly from the atmosphere and as
water flow from the streams and rivers. The water is transported by currents and tides and
evaporates from the seas, continuing the water cycle.
Disruption to the water cycle is caused from global climate change, human activity such as
the use of hydroelectric systems, water extraction and drainage of wetlands. Also, the
accumulation of pollutants can occur with the use of water catchment areas.
Contaminated land can cause pollution of the groundwater supply, if the contaminants are in
sufficient quantity, are mobile and the geology is permeable. Contaminants may be diluted
within the water, float on the surface or sink to the bottom of the groundwater store, and
move with or against the groundwater direction.

8.10 Water Catchment Areas.

A catchment is the whole system that drains into a particular river or river system. Hence we
have the Severn catchment, or the Thames catchment. This will include all the springs,
streams and tributaries which drain into those rivers.
Point and Diffuse Sources of Water Pollution
A point source is a single point of entry to the water system, such as a discharge pipe. A
diffuse source applies to entries to a water system, which are spread over wide areas.
Examples of these may be pesticide spraying, contaminated land or land pollution resulting
from chimney emissions.
The Man-Made Water Cycle
In addition to the natural cycle, there is the man-made water cycle which includes farm
dams, storage dams, hydro-electric power stations, waste treatment plants and power
stations. This is illustrated in the following diagram.

8.11 Effects on Quality of Life.

In March 2005, the Government launched a new Sustainable Development Strategy, One
Future - Different Paths. This updates and builds on the Strategy published in 1999.
In this document, various indicators by which quality of life can be measured have been put
forward.
Other documents on this subject, such as a strategy for sustainable development in the UK,

will be discussed in future sections.

8.12 Nuisances.
Nuisances appear in statutory law (Environmental Protection Act 1990 (EPA), Part III,
discussed later in the course) and in common law (reference the torts of Nuisance,
Negligence and Trespass). Of these, noise nuisance is that which is most commonly
encountered in environmental law. Nuisances are matters which interfere with the normal
common law enjoyment of the use of land or property.
Statutory nuisances are prejudicial to health or a nuisance. The Environmental Protection
Act 1990 classes the following as nuisances, which may be statutory:

Premises.
Dust, steam, smell, etc.
Smoke.
Animals.
Accumulations or deposits.
Noise.
Fumes and gases.

The following two additional statutory nuisances were added to the Environmental Protection
Act 1990 by the Clean Neighbourhoods and Environment Act 2005.

Light.
Insects.

Most of them have their origin in much older regulations and in the main date back to the
Public Health Acts 1975.
8.13 Visual Amenity.
What is a visual amenity? The UK Government defines it as 'the preservation of a view or
prospect available to a member of the local community from a public location which is
designated as protected'.
Visual amenity is normally an issue which is managed through planning law under its
development control responsibilities, which will be the responsibility of District or Unitary
authorities under the Town and Country Planning Acts. Among other things, these would
cover the colour and design of buildings, landscaping, tree-planting, advertising signs, etc.
There are other matters which are visually unacceptable, such as litter (controlled under Part
IV of EPA 1990), or fly-tipping, an offence under Part II of EPA 1990. Other matters such as
graffiti may be the underlying indicators of deeper social problems, but lessen the quality of
life. Therefore, measures such as the provision of certain surfaces or planting, which can
deter these problems, may be a planning requirement.
8.14 Transport Effects.
Road traffic affects people's quality of life, especially those occupying the poorer,
disadvantaged groups in society. These groups tend to live closer to the busier roads.
It is estimated that road vehicles produce 20% of the UKs CO2 emissions.
In 1997 a review of the Air Quality Strategy concluded that while existing policies in the UK
were likely to have a significant impact on air quality in general, they were unlikely to enable

European vehicle emissions and fuel quality standards to be met, particularly in London and
other major conurbations.
The UK has shown the poorest rate of improvement in reducing CO2 emissions from new
vehicles compared to the rest of Europe, with the possible exception of Finland. Whereas
Sweden, the country showing the highest improvement, has achieved a reduction in CO2
emissions of 9.2%, the UK has achieved only a 3.3% reduction.
The UK car-buying public are purchasing vehicles with a higher consumption of fuel;
efficiency is not being seen as a high priority.
To reduce road transport emissions to the extent that the objectives in the Strategy are met
in the UK, additional measures from the transport sector are needed. The review also
concluded that the Strategys original objectives for particles (PM10) and nitrogen dioxide
(NO2) would be more difficult to meet. The measures in A New Deal for Transport (1997)
should have their greatest effect on traffic and congestion in London and the large
conurbations, where measures to reduce emissions are most needed.
The CBI estimates that congestion currently costs UK businesses 15 billion per annum. UK
roads are the most congested in Europe and transport accounts for 26% of the UKs
emissions of CO2 , 33% of energy consumption and is responsible for 80% of the UKs poor
air quality.
In the control of air pollution, transport effects include the emissions of combustion gases,
such as carbon dioxide, carbon monoxide, nitrogen and sulphur oxides (NOx and SOx),
particles, and in lesser quantities up to 40 other gases, such as butadiene and benzene.
Other effects of traffic should not be overlooked. Included here would be noise, dust,
congestion, changes to the landscape, land-take (land used for the building of new roads,
etc.) and the effects of refuelling, etc.
The overall trend is towards better technology, improved combustion and the use of
catalysers for commercial, as well as private vehicles.
8.15 Wastes from Consumer Products (Packaging).
The environment is the ultimate resource for society, providing air, water, minerals and food.
It is also the sink for unwanted byproducts of society: waste.
Waste and waste disposal is one of the greatest issues of the 21st century. As our lifestyles
change, so do the types and quantities of waste we produce. More takeaway and
convenience food, individual portions in supermarkets, ready meals and DIY pre-packaged
goods all produce waste in large quantities. The composition of this waste is very different
from waste produced a few decades ago when coal fires produced ashes, which - although
heavy - were relatively inert.
Todays municipal waste is lighter but of greater volume than the ashes of the 1960s and
before, when coal ash was a major constituent of municipal wastes. Waste today is also
more bio-active. This means that when it breaks down, it will tend to decompose to give
carbon dioxide and in anaerobic conditions, such as may be found within a landfill site,
methane and liquid effluents known as leachates.
There are detailed regulations, the Producer Responsibility Obligations (Packaging Waste)
Regulations 2005 which lay down the quantities of each type of waste that commercial and

industrial packaging users are required to re-use and recycle. Other legislation limits the
materials which may be used in packaging.
Detailed regulations also exist for the management of other types of commercial, industrial
and hazardous wastes. These regulations govern the transport, documentation, treatment
and deposit of all types of wastes which are the responsibility of the producer under a
specific duty of care for waste (EPA 1990, Part II.)
Various uses to which the land has been put can affect land itself, not just in respect of
waste disposal, although this is one. Contamination of the land is an issue in some areas
and regulations are now in place to manage this because in the UK, there is a long history of
land pollution.
However, the land is not a uniform entity. The types and properties of the soil will depend on
the underlying geology and hydrogeology. These will be discussed in detail later in the
course.
9.0 Nuisance - Noise, Dust & Odour.
Nuisance is defined as:
Interference with anothers use and enjoyment of the environment (including loss of amenity)
through something that annoys, bothers or causes damage to that person or their property.
Examples include noise, odour and visual intrusion.
Noise
Noise is defined as unwanted sound. Noise can cause hearing damage and stress, if we are
exposed to high levels at home or at work. Exposure to noise at work can lead to industrial
or occupational deafness referred to as Noise Induced Hearing Loss (NIHL). Permanent
hearing loss can also be caused from intense impulsive noise such as blast deafness. Also,
noise can cause temporary hearing loss following short exposure to high noise levels. This is
followed by a gradual recovery, termed 'temporary threshold shift'. Noise can have a
negative effect on an individuals quality of life, causing both physiological and psychological
effects. Noise can cause annoyance, distraction, intrusion and interference.
Exposure to noise can affect the circulation of blood around the body as the blood vessels
tighten and cut down the flow of blood to body parts. This is referred to as a `startle
reaction`. Research indicates that prolonged exposure to intense noise can affect digestion,
muscle tension, acceleration and deceleration of heart rate and constriction to the peripheral
blood flow of the skin. Exposure to high levels of noise has also been linked an increase in
the susceptibility to disease and sleep disturbances leading to lack of concentration,
irritability and reduced efficiency.
Noise can hinder communication and when this occurs in industry, it can affect
concentration, efficiency and output. At home, noise can affect a persons enjoyment of life
and interfere with the television, radio and general communication.
Road traffic causes problems not just because of the noise generated from vehicles, but the
sheer volume of traffic using the roads. Even in rural areas where the local environment is
quiet, there is usually the faint but distinct noise from quite distant A-roads.
Legislation has been introduced as a result of societys recognition of the need to control
noise in the workplace, and to protect those living alongside roads exposed to high levels of

noise from traffic. Local authorities have been given powers to control noise nuisance.
10.0 Effects on Plants, Animals and Natural Systems.
Ecosystem
The plants, animals (biotic), and microbes that live in a defined zone (it can range from a
desert to an ocean) and the physical environment, e.g. soil and climate (abiotic) in which
they live comprise an ecosystem.
An ecosystem is therefore a community of interdependent organisms and the physical and
chemical environment they inhabit. Examples of ecosystems include acquatic, (freshwater)
e.g. lakes , terrestrial (land based) e.g moorland and marine (seawater). Ecosystems
embrace the food chain and have the means of producing both energy and materials for life
to go on continuously. The presence of ecological systems is fundamental to the balanced
functioning of the atmosphere, water and soils.

As identified earlier, light energy from the sun is the energy source for most ecosystems.
Light energy from the sun is absorbed by green plants through photosynthesis. Minerals and
nutrients also provide another source of energy and are obtained from inorganic matter and
non living compounds (abiotic). In a terrestrial ecosystem, this source of energy would be
provided by the soil.
Producers consist of plants which receive their energy from the sun. The plants also absorb
nutrients from the soil through their roots. Such nutrients include calcium and nitrogen.
Consumers (which include humans) are mostly animals. These consist of herbivores,
carnivores and omnivores that intake organic material as food. For example, you can see
from the previous diagram that the primary consumer is the rabbit and the secondary
consumer is the fox that will eat the rabbit.
Decomposers when organisms die, the nutrients are returned to the soil. Fungi and
bacteria decompose the dead material, making it ready for re-use.
Natural systems are the fundamental operating systems for the environment. They can be

changed and disrupted by human activity. Appreciation of these basic systems is essential
for a better understanding of environmental management.
Significant impacts can occur when changes take place within systems. These could be
caused by natural or non-natural changes brought about by human activities. Disruption at
one level of the food chain for example, will affect the entire food chain.
11.0 Assessment of Environmental Risks.
Risk Management
In the environmental and health and safety fields, the term Risk Management is normally
used to describe the management of physical risks. However, we should be aware that in
other fields the term may include financial and business risk, and this wider usage also may
be referred to as Risk Management.
Risk Management is defined as the identification and analysis of and degree of control
exercised over the risks which have the potential to threaten the assets or well-being of an
enterprise. In this context, it is the making of decisions concerning environmental risks and
their subsequent implementation, i.e. it means identifying and managing potential
environmental liabilities.
Risk Management involves a consideration of the consequences by the likely outcome of
failure.

Summary of a Risk Management Strategy

This strategy can be used in a very wide variety of circumstances, such as reducing water or
energy use, a waste minimisation scheme or improved training strategies.
11.1 Assessment of Environmental Risks.
Definition
Risk is a combination of the probability or frequency of the occurrence of the defined hazard
and the magnitude of the consequences of the occurrence.
With regard to the environment, the situation is complicated by the difficulty in defining what
would constitute harm. In some cases a definition of environmental harm is set out in
statutory regulations, such as the Contaminated Land (England) Regulations 2006in
which harm is defined.
However, in most cases the criteria may include both scientific and social judgments; refer to
Guidelines for Environmental Risk Assessment and Management, published by DEFRA in

2000.
Specific Risks
Risk Assessment and risk management techniques are widely used in businesses. For
example, the risks from an Underground Storage Tank (UST) may be tabulated using a
simple system, as shown below:

Tank System Age (years)

Corrosion Protection
Leak Detection
Soil Corrosivity

Low Risk
0-10
Tank and/or piping
protected
Continuous
pH> 6.5

Moderate Risk
11-20
Either tank or
piping protected
Intermittent
pH 5.5 6.5

High Risk
21+
None
None
pH <5.5

UST Release Potential Factors

The Scientific Aspects of Environmental Risk
One of the problems associated with environmental risk is lack of knowledge or uncertainty
as to the effects of a particular situation. Although there has been a huge growth in the
understanding of environmental mechanisms, there are still many areas of uncertainty. This
has led to one of the cornerstones of the EU environmental policy being the precautionary
principle.
11.2 Social Aspects of Environmental Risk.
Society in general is more environmentally aware than may have been the case in the past;
examples may be seen from the Brent Spar discussions or the 2001 Foot-and-Mouth
disease outbreaks. These and others have led to the need for transparency in the decisionmaking process and a greater involvement of stakeholders, which include the public. The
public is often actively involved in the decision-making process; for example, in planning
applications and in public consultations on new legislation and requirements.
Risk Perception
Risk perceptions are linked to wider attitudes and certain risks have been found to create
particular anxiety (reference research carried out by the Department of Health, 1998).
The following risks are of particular concern:

Involuntarily imposed risks, e.g. emissions from chimney stacks.

Unfamiliar risks, e.g. genetically-modified organisms.
Technological risks, e.g. nuclear power.
Fear of diseases, such as from carcinogens.
Risks with large single consequences, such as chemical explosions and aircraft
crashes.
Where effects are delayed, e.g. asbestosis or ionising radiation.
Risks involving children or future generations.
When risks and benefits are distributed inequitably.
Risks involving contradictory information, such as BSE.
11.3 Data and Information to Aid the Evaluation of Environmental Risk.

The subject of the environment, and hence environmental risk, is growing almost by the day.
No course text could hope to provide such continuously updated material. However, there is
a very wide availability of such information, largely through official and authoritative
websites.
Data on environmental matters is much easier to access thanks to the World Wide Web. The
Internet can provide a great deal of essential information, some of which is detailed below.
There is a wide range of data available on environmental problems. Unfortunately, it is not
available from a single source. The following text shows where information may be found.
Government and Statutory Information Legislation and Guidance
The principal body responsible for carrying out the Government policy on the environment is
DEFRA, the Department of Environment, Food and Rural Affairs.
The DEFRA website: www.defra.gov.uk contains a huge amount of information explaining
policy and providing official guidance to the regulations, plus consultation on incoming
regulations, discussion and research papers. There is also a very useful section on
environmental statistics and public opinion surveys.
All current legislation, dating back to the mid 1980s is freely available on the Office of Public
Information (OPSI) web site: www.opsi.gov.uk (previously HMSO). It is searchable and lists
legislation, i.e. Acts and Regulations (Statutory Instruments) by year. Statutory Instruments
(SIs) are found in numerical order. Wherever possible on this course, we have tried to link to
OPSI for the benefit and convenience of students.
Most environmental regulations have associated, explanatory guidance with them, examples
being IPPC and COMAH. These are to be found on the Environment Agency:
www.environment-agency.gov.uk and DEFRA: www.defra.gov.uk websites.
Question 7.
The principal body responsible for carrying out the Government Policy on the Environment is
.....
Multiple Choice (HP)
Answer 1: The Environment Agency (EA)
Response 1:
Jump 1: This page
Answer 2: The Department of Environment, Food and Rural Affairs (DEFRA)
Response 2:
Jump 2: Next page
Answer 3: The Health & Safety Executive (HSE)
Response 3:
Jump 3: This page
12.0 Air Quality.
Air Quality is measured continuously throughout the UK . Details of monitoring points and
results may be obtained on an hourly basis from the following websites: UK National Air
Quality Archive. The National Atmospheric Inventory can be found at www.naei.org.uk .

However, when monitoring air quality (perhaps as part of a plume modelling exercise),
information will be required on local meteorological data, which is available from the
Meteorological Office.
Pollution Inventory
The Pollution Inventory (PI) is an annual record of pollution in England and Wales from
activities regulated by the Environment Agency. It records pollution which is released into the
air, discharged into rivers, the sea or the sewerage network, or transferred off-site as waste.
The PI now includes four years of data from major industrial sites. It is being gradually
extended to cover sewage treatment works, sites licensed to work with radioactive
substances, landfill sites and waste transfer stations.
13.0 Source, Pathway, Target & Impact Model of Pollution.
The pollution-pathway concept (developed by Holdgate in 'A Perspective of Environmental
Pollution', 1979) has been used in the study of environmental pollution. The main
characteristics of pollution events are described in the following diagram:

1. Pollutant e.g. oil, solvents, pesticides, sulphur dioxide.

2. Source e.g. from point or diffuse sources including industrial processes, agricultural
processes, waste disposal sites, scrapyards, dye works, glass and ceramics making,
vehicle breaking yards, naturally occurring e.g. radon.
3. Pathway (Transport Medium): air, water and soil.
4. Target (receptor): ecosystem, organisms, humans and property.
5. Impact : change to the environment.
Holdgate provides a definition of pollution as something in the wrong place at the wrong
time in the wrong quantity. The extent to which a pollutant impacts on our environment not

only depends upon the material, but also the concentrations and quantities. Pollutants can
be transformed into other substances or diluted to harmless levels.
13.1 Risk Assessment.
Risk assessment is the systematic process whereby estimates are made of both the
probability of an adverse event occurring over a stated period time and its likely magnitude.
There are many different expressions of harm ranging from issues of human health and loss
of welfare, death or injury, to the environment where harm may be made to individual
species, ecosystems and habitats.
There are many kinds of losses resulting from many kinds of hazard and risk assessment is
therefore a vast subject. The main areas of interest to us are health-based risk (outside the
workplace) and ecological risks.
As individuals, the ways in which we perceive the risks that we face are shaped by our
world-view and personal differences in risk-seeking or risk-avoiding behaviour. This is also
true for different interest groups in society.
Estimating Risks
The risks associated with environmental pollutants are often very difficult to assess due to
the multi-factorial nature of the environment and human exposure to pollutants.
Risks can be classified into at least three broad categories:

Risks for which statistics of identified casualties are available.

Risks for which there may be some evidence, but where connection between
suspected cause and injury to any one individual cannot be traced.

Experts' best estimates of probabilities of events that have not yet happened.

Health-related and ecological risks generally belong to the first two categories.
Whatever the nature of cause and effect being investigated, the risk assessment process
consists of four main stages:
1.
2.
3.
4.

Hazard identification.
Dose-response assessment.
Exposure assessment.
Risk characterisation.

Once a risk has been characterised, social and political factors come into the equation as
policy makers decide on what course of action is required in formulating their risk reduction
strategies. The end of the process is termed 'risk management' and includes the important
component of risk communication, the interactive process by which information about risk
is exchanged between different groups and regulators.
13.2 Environmental Risk Assessment.
Introduction
Environmental risk assessment is similar to risk assessment carried out for health and safety
purposes. However, it must be remembered that hazards to the environment are not always

hazardous to human health. Milk is a good example of this; it is not considered to be

dangerous to humans but if it is allowed to pollute a watercourse, it can cause considerable
damage to the environment. Thus although the methodologies are similar, care must be
taken by those familiar with risk assessment for health and safety purposes that they do not
underestimate environmental risks. The following notes on Environmental Risk Assessment
are a summary of guidelines published by the Department of Environment, Food and Rural
Affairs (DEFRA 2002).
Environmental protection & progress
Society is increasingly conscious of the harm that its activities can cause to the environment,
and the harm to people or the loss of quality of life that can result from environmental
degradation. There is a need to manage abilities in a way that minimises the risks of
environmental damage, while at the same time ensuring economic growth and social
progress. The interaction between human activity and the environment is complicated and
difficult to quantify, and it is not easy to judge where the balance should lie between
environmental protection and economic and technological progress. Environmental risk
assessment is a key element in the appraisal of these complex problems, and for formulating
and communicating the issues so that transparent and equitable policy, regulatory or other
decisions can be taken. (DEFRA 2002)
The proactive application of risk assessment
In recent years, there has been a shift from reactive measures to protect the environment to
more probative approaches aimed at preventing or minimising (rather than remediating)
environmental damage and loss. This change in emphasis has been reflected in the use of
risk assessment at the outset as part of the package of tools for making decisions about
environmental management, particularly in the context of sustainable development. DEFRA
encourages the use of formal risk assessments as part of a probative approach to
environmental protection.
While such an approach should be the norm, risk assessments may sometimes usefully be
applied retrospectively if previously unidentified risks come to light. Environmental
surveillance and monitoring to collect information over a long period of time can help to
detect previously unidentified risks as well as provide a basis for forecasting future impacts.
13.3 Risk Assessment - Stage 1 - Hazard Identification.
The DEFRA guidelines define 'hazard' as a property or situation that - in particular
circumstances - could lead to harm. This may be determined by properties or circumstances
and could include, for example, the release of chlorofluorocarbons (CFCs), a tidal surge
along a stretch of the coast, a dry summer leading to low river flows, or the planting of a
genetically modified crop.
Where risk assessment is to be applied at the policy level, the hazard may be as broad as
the adverse impacts of road transport on the environment, or the adverse impacts of induced
climate change from the contribution of fossil fuel-derived carbon dioxide emissions.
The identification of hazards will have an important bearing on the breadth of the overall
assessment and the credibility of the final output. One common pitfall in establishing the
hazard is to overlook secondary hazards that may arise, for example, during a river flood,
sediments may be deposited on agricultural land in the flood plain. If these sediments were
to be contaminated, they might pose an additional hazard.
13.4 Risk Assessment Stage 2 - Identification of Consequences.

The potential consequences that may arise from any given hazard are inherent to that
hazard.
Although the full range of potential consequences must be considered at this stage, no
account is taken of likely exposure and therefore likely consequences, for example, while the
potential consequences of a discharge of toxic metals to a watercourse may be self-evident,
a flood may have additional, non- obvious consequences such as pollution arising from an
over-stretched sewerage system, or loss of habitats due to river scouring.
These examples serve to highlight why it is necessary to take a broad look at the potential
environmental damage that may occur, if only to be clear why some potential consequences
are rejected for further assessment.
13.5 Risk Assessment Stage 3 - Estimation of the Magnitude of Consequences.
The consequences of a particular hazard may be actual or potential harm to human health,
property or the natural environment.
The magnitude of such consequences can be determined in different ways depending on
whether they are being considered as part of a risk screening process, or as part of a more
detailed quantification of risk.
At all stages of risk assessment, several key features need to be considered, as described
below.
The spatial scale of the consequences
The geographical scale of harm resulting from an environmental impact will often extend
considerably beyond the boundaries of the source of the hazard. Failure to consider this at
an early stage may result in the scope of the risk assessment being too limited. For example,
a major accident in a chemical plant is likely to have significant effects on the environment
well beyond the perimeter of the site.
The temporal scale of the consequences
The duration of the harm that results may raise issues of intergenerational equity, or may be
so prolonged that the damage can be assumed to be permanent and the environment
beyond recovery, for example, should the release of a genetically modified crop result in
extensive cross-breeding with adjacent indigenous flora, any harmful environmental impacts
could extend far into the future.
The time to onset of the consequences
A further factor to consider is how quickly harmful effects might be seen. Standard economic
techniques tend to discount impacts that will happen in the future but sustainable
development emphasises the need to protect the interests of future generations. Risk
assessment and management must therefore pay as much attention to long-term problems
as to the more immediate risks, for example, the spillage of a solvent on porous ground may
not result in an impact on the underlying aquifer for decades. Once realised, however, the
duration of the harm is likely to be of the order of decades and will compromise the value of
that aquifer as a source of water for future generations.
The ability to forecast the time-scale and magnitude of the environmental impact through
robust and long-term modelling is therefore valuable, particularly at the quantifiable end of
the risk spectrum.

13.6 Risk Assessment Stage 4 - Estimation of the Probability of the Consequences.

All stages to this point have assumed that realisation of the hazard will lead to environmental
harm. However, the probability of the consequences occurring must also be taken into
account. This has three components:

The probability of the hazard occurring.

The probability of the receptors being exposed to the hazard.
The probability of harm resulting from exposure to the hazard.

The probability of the hazard occurring

Depending on the circumstances, assigning probabilities may be quite straightforward or
may require some sophistication in approach, for example, at a screening level, it might be
as simple as stating, on the basis of experience, that on a scale of 1 (Iow) to 5 (high) a pinhole leak in a particular pipe in a chemical plant has a probability of, say, 4. Floods can be
categorised by their return period (one in a hundred years) based on historical records.
On the other hand, there will be situations in which it is necessary to assign a probability
distribution to the likelihood of the event occurring - for example, that a non-genetically
modified crop will be widely pollinated by a genetically modified crop. In many instances, this
information can be obtained from monitoring data: or based on 'worst-case' or 'reasonable
worst-case' scenario estimates.
The probability of the receptors being exposed to the hazard
It is important to establish, at an early stage in the process, whether or not a pathway exists
between the hazard and the receptor. If it can be shown that no actual or potential
connection exists, then the risk requires no further attention, for example, soil contamination
will not pose a risk to farm animals if the land is not used for agricultural purposes. But care
is needed not to overlook less obvious pathways, or changes in future circumstances.
Having established one or more pathways, the degree of exposure via those pathways
should be quantified. A range of factors will affect the probability and degree of exposure, for
example, the exposure of a receptor to an atmospheric emission of sulphur dioxide will
depend on the direction and strength of the prevailing wind at the time of release.
The impact of a coastal flood in a tourist area may be dictated by the time of the year at
which the flood occurs; the loss of property may be greater in summer when caravan parks
are occupied than during the winter season when occupancy is likely to be low.
The probability of harm resulting from exposure to the hazard
Even following exposure, the likelihood of harm resulting is probabilistic and will depend on
the likely susceptibility of an individual receptor to the hazard and the amount and duration of
exposure. This is often simplified in terms of a dose-response relationship, which directly
relates exposure to the magnitude of harm for certain receptor types. Such relationships
frequently embody 'safety' or uncertainty factors to account for the extrapolation of data from
experimental or generalised studies. In flood damage assessment, for example, standard
depth-damage curves are used to relate the depth of flood waters to the amount of damage
sustained by a building or its contents, again according to the duration of exposure to the
flood waters. These relationships simplify the probabilistic nature of harm, because for any
exposure, the likelihood of harm at a certain magnitude will be dependent on many individual
factors. Few risk assessments allow for this level of sophistication, and the magnitude of

harm is usually taken as a direct result of exposure.

13.7 Risk Assessment Stage 5 - Evaluating the Significance of a Risk.
This stage is often referred to as risk characterisation, although this terminology tends to
hide the true goal of the activities involved. Having determined the probability and magnitude
of the consequences that may arise as a result of the hazard, it is important to place them in
some sort of context. It is at this point, therefore, that some value judgements are made,
either through reference to some pre-existing measure, such as a toxicological threshold,
environmental quality standard or flood defence standard, or by reference to social, ethical,
or political standards.
In some circumstances, a formalised quantitative approach to determining significance may
be possible, for example the tolerability of risk ( TOR ) framework developed by the Health
and Safety Executive. In other instances, the risks of various options might be compared
against one another.
Options appraisal
Having estimated the magnitude and the significance of the risks posed by the hazards), the
options for risk management are identified and evaluated. It is important to carry out this
procedure as a distinct preliminary step because ill-considered risk management strategies
may otherwise result in wasted effort and expenditure on the part of the decision-maker.
Options appraisal provides a framework for doing this. The options that will usually be
available are:

exploring with society the acceptability, or otherwise, of the risk - this can include
rejecting unacceptable risks altogether or accepting the risk being imposed,
reducing the hazard through new technology, procedures or investment, and
mitigating the effects, through improved environmental management techniques.

The decision on precisely which option or combination of options to choose will involve a
balance of risk reduction, costs, benefits and social considerations.
Question 8.
Annual records of pollution released in to the air, discharged into
rivers, the sea or sewerage network, or transferred off-site as waste
are recorded in the Pollution Inventory (PI)
True/False (HP)
Answer 1: True
Response 1:
Jump 1: Next page
Answer 2: False
Response 2:
Jump 2: This page
14.0 Environmental Modelling.
Air Dispersion modelling was developed in the 1950s for predicting background pollutant
concentrations from chimneys, following earlier water modelling exercises dating back to
1925.
In essence, the predicted path or dispersion of a pollutant is mapped as a series of

algorithms or contour maps of an area, where concentrations are the same.

Since then, the science of dispersion modelling has rapidly developed and although many
models are still based on the classic algorithms, the laborious mathematical calculations
have been replaced with computer software, enabling a large amount of data to be entered
to account for wind, weather, tides, contours, etc. The results can predict the effects of an
explosion, a pollutant spill or other catastrophe, as well as the more general dispersion of
pollutants.
Complex river and air models can now be developed. This is a specialist subject and the
actual science of modelling is beyond the scope of the syllabus.
14.1 Biological Data Biological Indicators for Pollution of Freshwater.
Macro-invertebrates are small animals without backbones that can be seen with the naked
eye. Some spend part of their life in water, like insect larvae such as mayflies, caddisflies
and dragonflies (the presence of which is a marker of good water quality). Others spend the
whole of their life in the water and include snails, shrimps, worms, etc. They can be found in
rivers and in all freshwater habitats such as ditches, canals, ponds and lakes.
Macro-invertebrates are the most widely-used organisms for biological assessment because
they do not move far and respond to a wide range of pollutants in the water. This provides a
useful measure of water quality, as invertebrates are present in the water throughout the
year and can reflect any changes in water quality, which have taken place.
Biological indicators are sensitive to a wide range of stresses and as such, provide a
measure of the quality or health of river ecosystems. The improvements seen largely reflect
reduced pollution.
Data on the distribution of the marker species are available on the Environment Agency
website.
Pollutants may also enter a watercourse and so enter the food chain by a process such as
bioaccumulation.
Bioaccumulation
Bioaccumulation is the progressive accumulation of (usually) toxic materials within the
tissues of living organisms and not readily excreted by them; thus affording their
concentration in food chains.
Such an action was responsible for the Minamata Bay incidents in Japan, due to the
accumulation of methyl mercury from an industrial source being taken up by fish and passed
on to humans. Some toxic metals such as mercury, as well as pesticides have this property.
They are classified under the Dangerous Substances Directive.
Examples are pesticides such as DDT, which caused mortality in bird species due to the
softening of eggshells. In a researched example, 0.02 ppm (parts per million) of a waterborne pesticide resulted in 1600 ppm in the higher species of a fish-eating bird, the
progression having passed through plankton and fish before the wading bird.
14.2 Bioaccumulation.
Food Chain

Concentration of
pesticide (ppm)

Water
Plankton
Frog
Fish
Fish-eating Bird

0.02
5.0
40
240
1600

Similarly, acid rain could use the atmosphere as a pathway, which may affect buildings or
vegetation, the trees and the habitats of certain species.
Land and Water Protection
The Environment Agency has a wealth of information on water quality, groundwater source
protection, flood plains, vulnerable zones and wastes. It is a good source of information on
pollution prevention. There are detailed guidance notes to explain the legislation and there
are links to relevant EU sites. It also provides up-to-date information on current consultation
papers and legal actions.
Commercial Sources of Information
There are many commercial databases that provide updates on legislation and topical
articles on environmental matters.
The IEMA (Institute of Environmental Management and Assessment) www.iema.net also has
a large website containing current issues of importance to the environmental manager, and
produces a regular magazine, The Environmentalist.
14.3 Records Search.
In order to ascertain likely past history, the following types of records may be searched:

Ordnance Survey topographical maps.

Ordnance Survey special maps and plans and other maps.
Enforcement authority registers.
British Geological Survey plans, borehole logs and memoirs.
Environment Agency groundwater vulnerability plans.
British Coal mining records.

Many factors must be utilised if environmental risk is to be correctly evaluated. Examples

are:

Trade Directories, e.g. the Kellys Directories for past business use of the site.
Current Trade Directories entries also provide valuable information regarding
surrounding land uses. They may indicate certain types of business, which could lead
to pollution or nuisances.
Aerial photographs.
Local site history.
Enforcement history.
Local knowledge.
Property deeds.
Local planning records.

The following will also provide very useful information in evaluating risk. The explanations
will be found in the relevant modules which follow. They are provided here as part of a

comprehensive coverage of risk factors.

Location of any nearby landfill sites.

Location of any site holding authorisations/permits under EPA 1990, the Pollution
Prevention and Control Act 1999 or the Control of Major Accident Hazards
Regulations 1999 (COMAH).
Sites notified to the Local Planning Department under the Notification of
Installations Handling Hazardous Substances Regulations 1982.
Abstraction points of drinking water.
Explosive sites.
Sites registered for handling radioactive substances.
Fuel stations.
Consents to discharge red list substances.
Pollution incident of controlled waters.
Prosecutions of discharges to controlled waters.
Prosecution related to an authorised process.
14.4 Air Pollution.

There is a detailed quantification of the major pollutant emissions to the air from various
sources on the DEFRA website: www.defra.gov.uk/environment/statistics.
Site Sensitivity
The magnitude of the effect on the receptor may vary according to a number of factors.
Factors include sensitivity; for example whether the site is one protected under specific
environmental legislation, including Sites of Special Scientific Interest (SSSIs), Special Areas
of Conservation (SACs) and Special Protection Areas (SPAs), such as Ramsar sites
(protected wetlands). All these have special status in law, above and beyond the protection
afforded to the environment in general. Other factors include biological concentration effects
and the ease and speed of transmission, which will depend on the geology and
hydrogeology of the land and soil.
The Likelihood of an Incident
Having investigated the consequences of an incident or event, the probability should be
investigated, for example:

Could the event occur?

Is exposure to the hazard likely?
Will harm result?
How likely is the event to occur?

It is accepted that this is not a precise evaluation as it will be based on a reasonable

assessment of the facts and the use of professional judgment.
Question 9.
Bioaccumulation is the progressive accumulation of (usually) toxic
materials within the tissues of living organisms, not readily excreted;
thus affecting their concentrations in the food chain.
True/False (HP)
Answer 1: True

Response 1:
Jump 1: Next page
Answer 2: False
Response 2:
Jump 2: This page
15.0 Control Strategies for Environmental Risk.
The importance of an environmental control strategy is to identify, prioritise and reduce the
liabilities arising from the environmental issues. In order to do this, the issues must be
understood and their importance to the business recognised. These notes provide some
insight into issues facing many companies.
Government Strategies
The Government, through its role in regulation, has introduced control strategies which affect
the way in which industries, commercial operations and the public can act, with the overall
protection of the environment in mind.
All laws and relevant fiscal requirements may be considered as control strategies (legislation
and fiscal measures are described in later modules).
These can be considered under the following headings:

Legislation: the Acts and Regulations which govern environmental management.

They will include the requirement for permits, licences and consents to carry out key
activities and the conditions of those permits, licences and consents. Generally,
failure to comply with these requirements is a breach of legislation and penalties
could be fines or even imprisonment.
Fiscal remedies: take the form of levies or taxes and are designed to encourage a
certain pattern of behaviour. Some measures also have rebate schemes, which
encourage certain actions. Examples include Landfill Tax, the Climate Change Levy,
Fuel Tax and Aggregates Tax.
Charges to cover costs; examples are charges made for Hazardous Waste
notification, costs of Permits and Authorisations and scrutiny of Applications under
IPPC or COMAH.
Targets: such as recovery and recycling targets under the Producer Responsibility
Obligations (Packaging Waste) Regulations 1997, where escalating targets are
incorporated into the legislation.
15.1 Risk Control Measures Practical Controls.

Control strategies for environmental risks follow a similar pattern and approach as for health
and safety risks. Any hazardous material released into the workplace may also present a risk
to the environment. As we have seen in the preceding sections, the environment also
presents additional problems due to individual surroundings and sensitivities.
There are, however, broad strategies of approach to be considered. In general, the following
strategy should be adopted:

Elimination.
Substitution.

Reduction/changes to the process.

Elimination and Substitution

This is straightforward; the substance or process can be stopped, shut down or an
alternative (less hazardous) substance substituted but there has to be an awareness of
potential conflicts between health and safety and the environment in carrying out this
substitution.
Reduction of Emissions and Changes to the Process
Process re-design and the introduction of new plant or equipment can bring environmental
benefits in terms of recovery and recycling of materials, energy savings and reduction of
waste.
Technical Factors
The following are part of the risk factors for environmental risks.
15.2 Location and Surroundings.
When considering the direct or indirect effects of different industries, we have to be aware of
one of the first aspects of the definition of environment: the surroundings.
When considering an industry or activity, it must be viewed in its surroundings. Local
sensitivities may magnify associated issues.
The following should be addressed when considering any site, process or activity:
Topography
Natural features, such as valleys and hills may affect dispersion mechanisms, as can tall
buildings or other man-made features.
Site History
The previous uses of the site may have caused contamination and there may be features
which require conservation for historical or archaeological reasons. Old drains or made-up
land may provide pathways for contaminants to spread away from the site.
The UK has been comprehensively mapped for about 150 years and old maps provide
excellent sources of information.
Historical note: in 1791, the Board of Ordnance instigated a mapping project to provide
information to protect England against the threat of invasion associated with the Napoleonic
Wars. The earliest Ordnance maps date back to these times, although the scales were not
fixed until the one-inch standard was adopted in 1863.
Maps on record at libraries are copyright protected after 1950, but are available through the
Ordnance Survey or the Stationery Office, up to the present. They record the development
over time and are a useful source of environmental information and potential contamination.
Note that the maps were only produced about every ten years, so the absence of a particular

use may not mean the process did not take place.
Geology and Hydrogeology
The nature of the underlying rock affects the associated groundwater and rocks of different
porosity affect the transmission of any potential pollutants. Groundwater can travel many
miles over time, through underground aquifers; polluting this groundwater may potentially
prevent its uses for drinking, washing, etc.
Location
Examples are:
The topography may involve a flood risk; the proximity of water courses.
Its elevation can lead to relative ease or difficulty of dispersion of chimney emissions.
Local weather conditions may vary throughout different continents, countries and regions.
Adjacent industries could affect/or be affected by the organisation concerned.
A feature of environmental risk assessments, which is a complication, is the lack of a
measure of harm to the environment. In many areas, environmental mechanisms are poorly
understood and growth in this knowledge is happening all the time. Both scientific and social
judgments may be involved, e.g. it is often difficult to put a value on landscape, or quality of
life issues.
Sensitive Sites
Sites may be designated for a number of reasons and protection is largely to prevent
damage to irreplaceable habitats or ecosystems. Several designations are available from the
Sites of International Importance to Local Nature Reserves. The identification of the
surroundings is of particular importance as it will affect the consequences of an incident. Site
designation is dealt with in detail later. Relevant websites are: www.englishnature.org.uk ,
www.jncc.gov.uk protected sites, www.ramsar.org and www.ukbap.org.uk .
15.3 Energy Sources and Raw Materials.
The type and source of a companys energy requirements represents an important
environmental choice. The company should be looking into switching to a cleaner source of
energy and considering whether different systems, such as the use of combined heat and
power systems, are appropriate. More innovatively, waste may be burned to raise power,
thus cutting out the need for (and consequent effects of) waste disposal. The design and
purchase of equipment can make huge impacts on the energy requirements; automatic cutoff valves and switches, use of limiters and other technical remedies will all reduce the
impact on the environment.
Raw material sourcing is very important; consideration of the distance transported and the
effects of mineral extraction on the local environment are issues which cannot be ignored by
the environmental manager. Some raw materials may produce excessive amounts of waste,
or residues which are difficult to dispose of, and extraction can have a deleterious effect on
the landscape. Most mineral raw materials are not renewable. Guarding a finite source
against unnecessary exploitation is an important strategy.

Timber is a raw material which has a high profile environmentally. There are audit systems in
place which can show the source and follow its production from cradle to grave. Hardwoods
are particularly sensitive as they are found in the equatorial rain belt, and it is the cutting
down of these trees (that absorb carbon dioxide), which is believed to have intensified the
problems of climate change.
Process Design and Pollution Control Systems
The design of the plant and the introduction and strengthening of engineering controls can
greatly reduce the likelihood of an environmental incident. Appropriate pollution controls
should be adopted and wherever practical, the philosophy should be to take a precautionary
approach. The mechanism for pollution controls concerning storage of water, elimination of
air emissions and water pollution control will be covered in later units.
15.4 Procedural - Systems of Work, Maintenance etc.
The environmental policy is regarded as the document which demonstrates an
organisations understanding of the environmental issues facing it, and the managements
will and resolve to deal with those issues. Consequently, customers, clients, the media and
often suppliers now request copies of the policy to gain insight into the organisations attitude
towards the environment. This is becoming increasingly important as the poor environmental
performance by a supplier or user of a product may reflect on the organisation.
Beneath the general policy, companies may develop specific policies associated with their
particular business; for example, a transport or energy policy, or a policy on sourcing raw
materials, particularly if there are sensitive environmental issues involved such as tropical
hardwoods. Other organisations may have an input into that policy and it may be part of a
supply contract.
Policies may incorporate commitments such as training for the workforce, or have a
commitment to providing information to the public.
The management system, which explains the arrangements and responsibilities described in
the overall policy, should also include procedures for carrying out environmental tasks in
such a way as to minimise potential environmental harm and include safe systems of work
following written environmental management procedures and maintenance requirements. In
the case of the environment, it is often necessary to consider the next step, i.e. where will
the waste go once it has been collected? How should a liquid be disposed of safely?
Both on and off-site effects will have to be considered in the answers to these questions.
15.5 Behavioural - Information & Training for Employees, Information for the Public
etc.
The environmental policy is the key driving document for environmental management.
A senior director or manager should be nominated to take responsibility for implementing
and monitoring the company environmental strategy. This person will monitor the
performance of specific senior postholders in implementing the strategy in their areas of
managerial authority. Since this person has a co-ordinating, rather than an operational role,
they may have almost any professional background, but must have a high level of authority
and management skills.
The policy should also specify which postholders are responsible for the environmental
performance in particular areas of the organisation. It is important that this responsibility is

known by the postholders and other members of the organisation. Clearly, this statement will
be specific for each company as the management structure will vary with industry type and
range of manufacturing process and products.
The introduction of any strategy into an organisation, whether it is loss control, health and
safety, quality or environmental, involves a change of behaviour in management and
personnel, which in turn affects company performance. Personnel at all levels must be
provided with information, instruction and training so that they are familiar with the
environmental strategy, are conversant with procedures introduced to improve
environmental performance and are aware of the consequences of their failure to implement
those procedures. The success of this training determines the effectiveness of the strategy
in initiating and sustaining the required behavioural changes. The need for effectively
communicating the environmental policy and strategy to all personnel within the company
should be reflected in the policy statement:
All company personnel are trained on the environmental policy and strategy and its
importance in maintaining and improving the companys environmental performance.
15.6 Factors Affecting the Choice of Control Measures.
All the control measures discussed (practical and procedural) have valid parts to play in the
management of risk. There has to be a combination of methods. Control measures can
basically be divided into physical and human. Note that the factors which affect health and
safety risk also affect environmental risk in many aspects. The measures include physical
controls (safety devices, containment, etc.) and human controls (information, instruction and
training).
Wherever possible, risks should be designed or engineered out; i.e. the equipment should
prevent the possibility of the event. An example of this applied to environmental matters may
involve a change in the design of the equipment, e.g. a detector to identify a leak in a tank
will avoid the necessity of operators having to constantly monitor the situation; a pH meter
connected to a valve which cuts in as soon as a certain pH value is reached is preferable to
an operator carrying out physical checks periodically. There are many such examples in the
workplace.
Control measures chosen must be usable and practical if they are to be effective. Processes
should be constantly monitored with the involvement of the operators and control measures
should be reviewed regularly.
Measures used in a temporary way usually involve higher risk than permanent solutions.
Many examples of this can be found in both health and safety and the environment.
Temporary solutions should be closely monitored and removed or made permanent as soon
as practicable. Any such measures should be assessed before adoption, looking for
environmental risks and risk to the land, water or air.
15.7 Possible Conflicts Between Protection of the Workers & Protection of the
Environment.
It is often very difficult to separate health and safety and the environment, and on occasions
this can lead to conflicts.
An example may be found in vapour degreasing. Trichloroethylene (1.1.2.trichloroethylene)
is a common degreasant. It is also widely used as a solvent and in the manufacture of glue
and rubber products.

It is a colourless volatile liquid, whose vapour is heavier than air. It enters the body by
inhalation, where its principal effect is depression of the central nervous system; it is also
carcinogenic.
The use of trichloroethylene requires a safe system of work for the product in use and when
cleaning out vapour degreasing tanks. The vapour must be controlled and information,
instruction and training for employees will include information on health hazards, the correct
plant operation, safe systems and permits to work, safe use of breathing apparatus and
emergency procedures.
The normal strategy following good health and safety principles, would be elimination of the
process or if this is not possible, substitution of the substance by a less harmful one.
Elimination of the substance may involve a change to soap or detergent washing, or dry
degreasing using crushed walnut shells may be appropriate in some circumstances. Solvent
alternatives include terpenes and paraffin derivatives.
Due to the health issues associated with the use of trichloroethylene, an alternative solvent
was eagerly sought by industry. The solvent 1.1.1 trichloroethane seemed to be such an
alternative, being less toxic to the human body. However, this solvent is a strong ozonedepleting substance and as a result, was banned from production under the Montreal
Protocol and the EU regulations which brought that protocol into effect.
In this case, industrial users who are unable to change their process to a non-solvent
application have had to use trichloroethylene, and increase the protection given to the
workforce through extraction, PPE, etc. Under the Solvent Directive, users are also
required to use means of preventing emissions of solvents to the air, so extraction systems
are required to be more sophisticated and include solvent collection systems.
Question 10.
When considering direct and indirect effects of industry on the surroundings, which of the
following should be addressed ....
Multiple Choice (HP)
Answer 1: Geology & Hydrogeology
Response 1:
Jump 1: This page
Answer 2: Site history
Response 2:
Jump 2: This page
Answer 3: Topography
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
16.0 Key Events.
Year
1988

Key Events
Intergovernmental Panel on Climate Change formed to assess the problem of global
warming

1990

1992

1994

1997

1998
1998

1999
1999
2000

2001

2001

2002
2003
2005

First Intergovernmental Panel on Climate Change scientific report published predicting that
global average temperatures could rise by 2.5 degrees c by 2100 based on a `business as
usual model`
UN Earth Summit held in Rio. One of the conventions signed was the UN Framework
Convention on Climate Change. Under the framework, certain countries, including the UK,
made a commitment to return emissions of carbon dioxide back to1990 by 2000.
UK published `Climate Change the UK programme`. This included promotion of free best
practice advice to industry through the (existing) Energy Efficiency Best Practice
Programme.
Kyoto Protocol to the UN Framework Convention on Climate Change agreed. Committed
developed countries to reduce a basket of six greenhouse gases, including carbon dioxide
and methane, by 5.2 % on 1990 levels by 2008-12
EU members signed Kyoto Protocol. Agreement reached within EU on how target of eight %
reduction should be shared between member states. UK agreed to 12.5 % reduction.
Marshall report on `Economic instruments and the business use of energy` issued. This
explored the use of energy taxes and tradeable permits to reduce carbon dioxide emissions
in the UK . Marine (Scotland) Act 2010
The Conservation of Species and Habitats Regulations 2010
The UK government launched its strategy for sustainable development - A Better Quality for
Life.
UK government announced introduction of climate change levy (CCL) on energy use.
UK published revised `climate change the UK programme`. This set out measures to
reduce greenhouse gas emissions. Confirmed commitment to Kyoto target and domestic
goal of reducing carbon dioxide emissions by 20% on 1990 levels by 2010. Set scene for
reductions beyond 2010.
CCL introduced applies to energy used by businesses throughout the UK. Good quality
CHP and renewable energy is exempt. Many large users secure reductions in the levy in
exchange for audited reductions in energy use on sector level agreements.
Carbon Trust established (part funded by the CCL) to help organisations to reduce carbon
emissions. The trust offers advice and incentives on energy efficiency, carbon management
and investment in low carbon technologies.
Launch of UK greenhouse gas emission tradeable permit scheme for large energy users
UK governments Energy White Paper set an aspiration for the UK to reduce carbon
emissions by 60 per cent by 2050 (with plans for significant progress by 2020).
Government launched its new strategy on sustainable development Securing the Future`.

Offshore Marine Conservation Regulations 2007

Conservation (Natural Habitats &c.) (Amendment) Regulations 2007
The Conservation (Natural Habitats, &c.) Amendment (Scotland) Regulations 2007
Offshore Marine Conservation (Natural Habitats &c) Regulations 2007
Transfrontier Shipment of Waste Regulations 2007
Greenhouse Gas Emission Trading Scheme (Amendment) Regulations 2007
The Greenhouse Gas Emissions Trading Scheme (Miscellaneous Provisions) Regulations

2007
EC Regulation 1907/2006 (REACH)
Persistent Organic Pollutants Regulations 2007
The Greenhouse Gas Emissions Trading Scheme (Amendment No. 2) Regulations 2007
UK National Plan for phase out of chemicals containing components flagged for Substitution
and Annual Progress Reports extended to term permits;
Offshore Marine Conservation (Natural Habitats &c.) Regulations 2007;
Consultation on Draft Regulations for implementation of the EU
The Control of Major Accident Hazard (Amendment) Regulations 2008
Environmental Permitting (England and Wales) Regulations 2007;
Environmental Protection (Controls on Ozone-Depleting Substances) (Amendment)
Regulations 2008
Fluorinated Greenhouse Gases Regulations 2008
The Producer Responsibility Obligations (Packaging Waste) (Amendment) Regulations
2008
The Producer Responsibility Obligations (Packaging Waste) (Amendment) Regulations 2008
The Climate Change Act 2008 (c. 27) sets up a framework for the UK to achieve its longterm goals of reducing greenhouse gas emissions and to ensure steps are taken towards
adapting to the impact of climate change.
Environmental Permitting (England and Wales) Regulations 2007
Conservation (Natural Habitats, &c.) (Amendment) (England and Wales) Regulations 2009
Energy Act 2008
Environmental Damage (Prevention and Remediation) Regulations 2009
Environmental Damage (Prevention and Remediation) (Wales) Regulations 2009
Fluorinated Greenhouse Gases Regulations 2009
Guidance for Landfill Operators on Low-Level and Very Low-Level Radioactive Waste
Offshore Marine Conservation (Natural Habitats, &c.) (Amendment) Regulations 2009
Ozone Depleting Substances (Qualifications) Regulations 2009
REACH Enforcement Regulations 2008

The Environmental Damage (Prevention and Remediation) (Amendment) Regulations 2010

The Environmental Permitting (England and Wales) (Amendment) Regulations 2009
The Waste Electrical and Electronic Equipment (Amendment) Regulations 2010
The Planning Hazardous Substances (Amendment) (England) Regulations 2010
The Town and Country Planning (Hazardous Substances) (Scotland) Amendment
Regulations 2010
The Planning (Hazardous Substances) (Amendment) (Wales) Regulations 2010
The Environmental Permitting (England and Wales) Regulations 2010

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Version 1.1c

Element 2 - Environmental Risk Evaluation.

Overall Aims
On completion of this unit, candidates will have knowledge and understanding of:

qualitative and quantitative environmental risk assessment techniques, including cost

benefit analysis, environmental impact assessment, environmental modelling, life
cycle analysis;
assessment of environmental toxicity, including the principles of ecotoxicology.

Specific intended learning outcomes:

The intended learning outcomes are that candidates will be able to:

evaluate risks to the environment arising from workplace activities and substances
released to the environment;

identify when an environmental assessment is required and understand the

processes underlying preparation and submission of a formal Environmental
Statement.

Hours of tuition and private study:

9 hours of tuition;
3 hours of private study.

Relevant statutory provisions:

Town and Country Planning (Environmental Impact Assessment)(England and

Wales) Regulations 1999.
Environmental Assessment of Plans and Programmes Regulations 2004.
Control of Major Accident Hazards Regulations 1999.
Control of Substances Hazardous to Health Regulations 2002.
1.0 Introduction.

Environmental risks are approached by identifying the most suitable control strategy and
then trying to control the risks at least cost. We call this 'cost benefit analysis' where there is
a level of financial account in the control of environmental risk.
1.1 Cost Benefit Analysis as Applied to Environmental Risk.
Cost benefit analysis is advocated in UK legislation in the form of control systems which are
the best available technique not entailing excessive cost (BATNEEC).
Costs - These are incurred by industry, government and society.
Benefits these are defined as reductions in risks to the health and the environment arising
from regulation.

The environmental management system ISO 14001 states that

When considering their technological options, an organisation may consider the use of Best
Available Technology where economically viable, cost-effective and judged appropriate. The
reference to the financial requirements of the organisation is not intended to imply that
organisations are obliged to use cost-accounting methodologies.
Cost-benefit analysis is mainly - but not exclusively - used to assess the value for money of
very large private and public sector projects. This is because as well as those can be
expressed purely in monetary terms, such projects tend to include costs and benefits that
are less amenable to being so expressed (e.g. environmental damage). The accuracy of the
outcome of a cost-benefit analysis is dependent on how accurately costs and benefits have
been estimated. All stakeholders should play a part in the weighting of factors.
1.2 Techniques for Environmental Valuation.
In order to assess the economic value of environmental good, methods have been defined to
assess this. These methods are devised to identify an individuals willingness to pay for a
benefit and their willingness to accept compensation for tolerating a cost of foregoing a
benefit. The methods can be based on two approaches: revealed preferences and stated
preferences.
Revealed preferences
Revealed preference approaches include

Dose-response function,
market values,
hedonic markets,
travel cost/discrete choice,
wage risk and
property.

Stated preferences
These include Contingent valuation and conjoint analysis approaches.
Travel Cost Method
The travel cost method is used to estimate economic use values associated with
ecosystems or sites that are used for recreation. The method can be used to estimate the
economic benefits or costs resulting from:

changes in access costs for a recreational site;

elimination of an existing recreational site;
addition of a new recreational site;
changes in environmental quality at a recreational site.

The basic premise of the travel cost method is that the time and travel cost expenses that
people incur to visit a site represent the price of access to the site. Thus, peoples
willingness to pay to visit the site can be estimated based on the number of trips that they
make at different travel costs. This is analogous to estimating peoples willingness to pay for
a marketed good based on the quantity demanded at different prices.

Hedonic Pricing Method

The hedonic pricing method is used to estimate economic values for ecosystem or
environmental services that directly affect market prices. It is most commonly applied to
variations in property prices that reflect the value of local environmental attributes.
It can be used to estimate economic benefits or costs associated with:

environmental quality, including air pollution, water pollution, or noise;

environmental amenities, such as aesthetic views or proximity to recreational sites.

The basic premise of the hedonic pricing method is that the price of a marketed good is
related to its characteristics, or the services it provides. The hedonic pricing method is most
often used to value environmental amenities that affect the price of residential properties.
e.g. the presence of woodland which may enhance the value of a property.
Contingent Valuation
This is both an economic tool and community analysis tool. It is considered most useful
during the strategy development phase, where it is often used in deciding how much to
charge for a good or service. It is a part of a family of tools that addresses issues of benefits
not traded in markets; for example, environmental quality and historic cities. The approach is
based on interviews with a representative sample group in an area. The interview consists of
three stages which include:

a detailed description of the goods being valued and the hypothetical circumstance
under which it is made available to the respondent;
questions which bring out the willingness to pay for the good to be provided;
questions about the respondent characteristics (for example: age, income), their
preference relevant to the good(s) being valued, and their use of the good(s); this
information is then generalised for a representative group of people.

Contingent Ranking (or Conjoint Analysis)

This ranks alternatives, with one of the alternatives pinned to a money price, i.e. would you
be prepared to pay more or less for something than X. Conjoint analysis uses profiles
which are bundles of attributes, for example, when evaluating a preference for paper,
respondents are given several profile cards each of which contains a unique paper product
composed of different textures, colours, thickness, weight and price and they are asked for
their preference.
1.3 Dose Response/Production Function.
Dose-response functions measure the relationship between exposure to pollution as a cause
and specific outcomes as an effect. They refer to damages/production losses incurred in the
current year, regardless of when the pollution occurs. Such functions are available for the
impacts on human health, building materials and crops caused by a range of pollutants such
as primary and secondary (i.e. nitrates, sulphates) particles, ozone, CO, SO2, NOx, Benzene.
Replacement Cost
The cost of replacement of an asset may be used as another cost factor. However,
replacement value is not always representative of actual costs incurred, for example by loss

of production as a result of product failure.

CBA and Sustainability
The accepted definition of sustainability is the concept of meeting the needs of the present
without compromising the ability of future generations to meet their own needs. Short-term
gain has to be calculated over the needs of future generations and the rate at which society
values the present with respect to the future is referred to as the `social time preference`.
CBA and Stakeholder Analysis
The costs and benefits for individual stakeholders may be very different. With the use of
stakeholder analysis, key players, winners and losers can be identified. The behaviour of
these individuals can then be anticipated and planned for.
1.4 Sensitivity and Scenario Analysis.
Sensitivity analysis is the study of how the variation in the output of a model (numerical or
otherwise) can be apportioned, qualitatively or quantitatively, to different sources of variation.
Sensitivity analysis is used to test the vulnerability of options to unavoidable future
uncertainties. The substitution of different values for a variable shows by how much it would
have to fall (if a benefit) or rise (if a cost) to make it not worth pursuing an option. Sensitivity
analysis can be undertaken with scenario analysis.
Scenario analysis is a process of analysing possible future events by considering
alternative possible outcomes (scenarios). The analysis is designed to allow improved
decision-making by allowing more complete consideration of outcomes and their
implications. Scenarios are useful to show how options may be affected by future
uncertainty.
Cost Benefit Analysis Conclusion
The accuracy of the outcome of a cost-benefit analysis is dependent on how accurately
costs and benefits have been estimated. It can be used effectively to inform the decisionmaking process but the most economically efficient option does not necessarily mean it is
the one most socially desirable or sustainable.
2.0 Environmental Impact Assessment (EIA).
Introduction
There has been a growth in interest in environmental issues such as sustainability and the
better management of development in harmony with the environment.
The present environmental impact assessment regime in England and Wales and Scotland
is based on the 1985 European Council Directive 85/337/EEC on the Assessment of the
Effects of Certain Public and Private Projects on the Environment (the EIA Directive) (It is
interesting to note that EIA legislation was introduced in the USA in the 1970s).
Directive 97/11/EC amends the original Directive 85/337/EEC on 'The assessment of the
effects of certain public and private projects on the environment', which came into effect in
July 1988 Since its introduction in the UK in 1988, it has been a major growth area for
planning practice. It is therefore surprising that the introduction of EIA met with strong
resistance.

It was amended and extended in 1997. Many developers saw it as yet another costly and
time-consuming constraint on development, and central government was also
unenthusiastic.
In England and Wales the Directive is implemented by the Town and Country Planning
(Environmental Impact Assessment) ( England and Wales ) Regulations 1999. These
principal regulations were made by the then Secretary of the State for the Environment,
Transport and the Regions using powers conferred on him by the Town and Country
Planning Act 1990. Other regulations covering specific types of development include: The
Environmental Impact Assessment (uncultivated land and Semi-natural Areas) ( England )
Regulations 2001.
In Northern Ireland, the Department of the Environment made The Planning (Environmental
Impact Assessment) Regulations ( Northern Ireland ) 1999, and other specific regulations.
In Scotland the Directive is implemented by regulations made by the Scottish Ministers,
including the Environmental Impact Assessment (Scotland) Regulations 1999 and other
more specific regulations , for example the Environmental Impact Assessment (Forest)
(Scotland) Regulations 1999.
2.1 What is an Environmental Impact Assessment (EIA)?.
There are numerous definitions of Environmental Impact Assessment. The term describes
an important procedure for ensuring that the likely effects of new development on the
environment are fully understood and taken into account before the development is allowed
to go ahead. The process was formerly referred to in the UK as `environmental assessment'
(EA).
The EIA process is a systematic process that examines the environmental consequences of
development actions in advance. The process is a means of drawing together an
assessment of a projects likely significant environmental effects. This helps ensure that the
importance of the predicted effects, and the scope for reducing them, are properly
understood by the public and the relevant competent authority before it makes its decision.
Planners have traditionally assessed the impacts of developments on the environment, but
invariably not in the systematic, holistic and multi-disciplinary way required by EIA.
Environmental impact assessment enables environmental factors to be given due weight,
along with economic or social factors, when planning applications are being considered. It
helps to promote a sustainable pattern of physical development and land and property use in
cities, towns and the countryside. If properly carried out, it benefits all those involved in the
planning process.
2.2 Who is Involved in an EIA?.
The Developer
From the developer's point of view, the preparation of an environmental statement in parallel
with project design provides a useful framework within which environmental considerations
and design development can interact. Environmental analysis may indicate ways in which
the project can be modified to avoid possible adverse effects, for example through
considering more environmentally friendly alternatives. Taking these steps is likely to make
the formal planning approval stages run more smoothly.
The Planning Authority

For the planning authority and other public bodies with environmental responsibilities,
environmental impact assessment provides a basis for better decision making. More
thorough analysis of the implications of a new project before a planning application is made,
and the provision of more comprehensive information with the application, should enable
authorities to make swifter decisions. While the responsibility for compiling the environmental
statement rests with the developer, it is expected that the developer will consult those with
relevant information, and the Regulations specifically require that public authorities which
have information in their possession which is relevant to the preparation of the
environmental statement should make it available to the developer.
The General Public
The general public's interest in a major project is often expressed as concern about the
possibility of unknown or unforeseen effects. By providing a full analysis of a project's
effects, an environmental statement can help to allay fears created by lack of information. At
the same time, early engagement with the public when plans are still fluid can enable
developers to make adjustments which will help to secure a smoother passage for the
proposed development and result in a better environmental outcome. The environmental
statement can also help to inform the public on the substantive issues which the local
planning authority will have to consider in reaching a decision. It is a requirement of the
Regulations that the environmental statement must include a description of the project and
its likely effects together with a summary in non-technical language. One of the aims of a
good environmental statement should be to enable readers to understand for themselves
how its conclusions have been reached, and to form their own judgements on the
significance of the environmental issues raised by the project.
2.3 Identification of Projects Requiring Formal Environmental Assessment.
The regulations prohibit the Local Planning Authority (LPA) from granting planning consent
unless the requirements of the regulations have been complied with. The first stage in the
process requires the Local Planning Authority to determine whether or not the proposed
development requires an Environmental Impact Assessment.
If an applicant is unsure whether or not an Environmental Impact Assessment is required, a
draft plan can be submitted showing the location of the proposed development and a
description of the proposal and likely environmental effects.
The Local Planning Authority will consider in which category, if either, the proposal falls, or
whether the proposal is outside the scope of the EIA regime.
The Regulations apply to two separate lists of projects, Schedule 1 and Schedule 2:
i. 'Schedule 1 projects', for which EIA is required in every case;
ii. 'Schedule 2 projects', for which EIA is required only if the particular project in question is
judged likely to give rise to significant environmental effects.
Schedule 1 Projects
For Schedule 1 projects, whether or not a particular project falls within the scope of the
Regulations will normally be clear: several of the definitions of Schedule 1 projects
incorporate an indication of scale, in the form of a quantified threshold based on throughput,
size etc., which clearly identifies the projects requiring EIA.

Although installations dealing with smaller quantities may not have the potential to cause
significant environmental impact, these would not automatically come under Schedule 1 but
may fall under Schedule 2 due to their size, nature or location.
Where there is any doubt about a project's inclusion in Schedule 1, the procedures
described below can be used to obtain an opinion from the planning authority or a direction
from the Secretary of State (or, in Wales, the National Assembly for Wales).
Crude oil refineries (>500 t d-1)
Thermal power stations (>300 MW)
Nuclear power stations
Nuclear fuel processing and production installations
Iron and Steel Works
Asbestos extraction and processing
Integrated chemical installations
Long distance railway lines
Airport runways >2,100 m long
Motorways and express roads
New roads >4 lanes, or 2 lanes >10 km long
Inland waterways, ports and piers to take vessels >1350 t
Waste incinerators for, and landfill of, hazardous waste
Waste incinerators of non-hazardous waste >100 t d-1
Groundwater abstraction >10 x 10 6 m3Y-1
Movement of water >10x106m3y-1
Wastewater treatment works serving >150,000 people
Petroleum (<500 td-1) and natural gas extraction (>500,000 m3d-1)
Dams >10X106m3 storage capacity
Water, gas, oil and chemical pipelines >800mm diameter and >40 km long
Intensive farming units (>85,000 broilers, 60,000 hens, 3,000 pigs or 900 sows)
Timber pulp and paper plants >200 td-1
Quarries and open cast mining >25 ha, or peat extraction >150 ha
Table 1. Developments that require an EIA under Schedule 1

Schedule 2 Projects
For the much longer list of Schedule 2 projects, the issue turns on the likelihood of
'significantenvironmental effects'. For the different types of project, the 1999 Regulations
introduced a system of thresholds and criteria as a method of discounting development
which is not likely to have significant effects on the environment. For development where the
applicable threshold or criterion is not exceeded or met, EIA is not normally required.
However, even where the threshold or criterion is not met or exceeded, EIA may be required
if the proposed development is in, or partly in, a 'sensitive area'.
In exceptional circumstances the Secretary of State (or, in Wales, the National Assembly for
Wales) may exercise his power under the Regulations to direct that a particular type of
Schedule 2 development requires EIA even if it is not to be located in a sensitive area and

does not exceed or meet the applicable threshold or criterion.

The more environmentally sensitive the location, the more likely it is that the effects of
development will be significant and that EIA will be required. That is why the thresholds and
criteria do not apply where development is proposed in, or partly in, a `sensitive area' as
defined in the Regulations. Such areas include Sites of Special Scientific Interest (SSSIs),
National Parks, Areas of Outstanding Natural Beauty, the Broads, World Heritage Sites and
scheduled monuments.
There is no general presumption that every Schedule 2 development in a sensitive area will
require EIA. Nevertheless, in the case of development to be located in or close to SSSIs,
especially those which are also international conservation sites such as Ramsar sites or
Special Protection Areas for birds, the likely environmental effects will often be such as to
require EIA.
Agriculture
Extractive Industry
Energy Industry

Processing of Metals

Mineral Industry
Chemical Industry

Food Industry

Textile, leather, etc.

Rubber
Infrastructure projects

Tourism and leisure

Intensive agriculture, irrigation, drainage

fish farms.
Quarries, mines, dredging, deep drilling,
fossil fuels.
Steam raising, fuel storage, fuel
briquetting, hydroelectric, wind farms (0.5
MW).
Pig iron, mills, foundries, melting of nonferrous alloys, electroplating: ship, aircraft,
railway and road vehicle manufacturers
works.
Coke ovens, cement, asbestos, glass fibre,
mineral fibre, ceramic works.
Intermediate production of chemicals,
production of pharmaceutical products,
paint, pesticides and some other
chemicals; storage of petroleum etc.
Manufacture of oil and vegetable fat, dairy
products, confectionery, syrup, starch or
sugar, slaughterhouses; brewing and
malting; fish-meal and oil processing.
Paper and board, dyeing, tanneries,
ceullulose production.
Manufacture of elastomer-based products.
Industrial estates, urban developments and
trans-shipment facilities, railways, airfields,
roads, harbours, waterways, flood relief
works (river and coastal) dams, oil and gas
pipelines, aqueducts, groundwater
abstraction, motorway service areas.
Theme parks, holiday villages, caravan
sites, golf courses, sports stadia, ski runs.

Table 2. Developments that require an EIA under Schedule 2

Question 1.
Environmental Impact Assessment ....

Multiple Choice (HP)

Answer 1: Helps promote a sustainable pattern of physical development
Response 1:
Jump 1: This page
Answer 2: Draws together an assessment of a projects likely significant
environmental effects
Response 2:
Jump 2: This page
Answer 3: If properly carried out, benefits all those involved in the planning process
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
Question 2.
Who is involved in an Environmental Impact Assessment?
Multiple Choice (HP)
Answer 1: General public
Response 1:
Jump 1: This page
Answer 2: Developer
Response 2:
Jump 2: This page
Answer 3: Planning authority
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
2.4 'Permitted Development Rights' (PDRs).
Developments which do not require planning permission because of the provisions of the
Town and Country Planning (General Permitted Development) Order 1995 (SI No 418)
continue to enjoy permitted development rights, provided that they do not fall into Schedule 1
or 2 of the EIA Regulations. For developments that do fall within Schedule 1 or 2, the
general position is as follows:
Schedule 1 projects are not permitted development, and always require the submission of a
planning application and an environmental statement.
PDRs for Schedule 2 projects which either exceed or meet the applicable threshold or
criterion, or are wholly or partly in a sensitive area, are also withdrawn, unless the local
planning authority has adopted a screening opinion (or the Secretary of State (or, in Wales,

the National Assembly for Wales) has directed) to the effect that EIA is not required.
There are exceptions to these provisions in the case of the following classes in Schedule 2
to the 1995 Order:

Part 7,
Class D of Part 8,
Part 11,
Class B of Part 12,
Class F (a) of Part 17,
Class A of Part 20,
Class B of Part 20, and
Class B of Part 21.

These exceptions exist for a variety of reasons; for example, some relate to projects subject
to alternative consent procedures, and others to projects begun before Directive 85/337/EEC
came into operation.
http://www.legislation.hmso.gov.uk/si/si1995/Uksi_19950418_en_1.htm
2.5 Screening & Scoping.
Screening refers to the decision as to whether an EIA is required or not. In the UK, this is a
decision that can be taken by the developer and often will be if the project is of a type or size
where an EIA is clearly required or if they wish to be seen to be addressing the
environmental effects of their development.
For most projects, particularly those covered by Annex 2 of the directive, the determining
authority is likely to be asked to give a screening opinion. Their decision will be based on the
type of criteria included in Annex 3 of the directive, more detailed guidance issued by the
European Commission and the government and the opinions of government agencies (e.g.
English Nature and the Environment Agency) and relevant local authority personnel (e.g.
environmental health officers).
Scoping
The purpose of EIA is to focus on thesignificant environmental effects of a development.
The purpose of scoping is to identify the effects that are most likely to be significant in order
to focus the time and resources devoted to the EIA on the important issues. The
identification of the key effects is usually undertaken using a combination of professional
judgement and gathering the opinions of others, particularly the determining authority and
other government agencies.
Scoping is usually undertaken by those responsible for the EIA. However, there is provision
in the EIA Directive for the developer to request a 'scoping opinion' from the determining
authority. When this is requested, it is usually accompanied by a report that outlines what the
developer and consultants consider to be the most important issues. The determining
authority will consult with other government agencies (statutory consultees) and amend or
add to the developer's report accordingly.
The advantage of seeking a scoping opinion is that the developer will have some assurance
that the issues being addressed by the EIA will be those that are considered to be important
by the determining authority when a decision is to be made on the project.

To a degree, the scoping stage of an EIA continues throughout the process, for example, the
identification of an unacceptable environmental effect may lead to a redesign of the project,
which in turn could lead to the main environmental effects of the project changing, hence the
scope of the EIA will also change.
An applicant for planning permission may ask the local planning authority (LPA) for a
screening opinion before submitting the application. The LPA must decide whether the
development proposal is likely to fall within Schedule 2 and will therefore require an EIA.
Schedule 3 to the regulations lists the type of information that must be considered when
deciding if an EIA is needed. The scoping opinion is a letter from the LPA which guides the
applicant on the areas of work to be included in the EIA and ensures that all concerns are
addressed. The LPA then has five weeks to provide its opinion on the likely significant
effects on the environment and other impacts and issues. The scoping opinion document
then forms the basis for the full environmental impact assessment.
It must be noted however, that in some circumstances there is provision for the Secretary of
State to become involved, although the procedure still follows the similar lines as illustrated
in the flow chart (seen in the following pages).
2.6 Characteristics of the Development.
How

will

'Significance'

be

assessed?

Developments which meet or exceed the applicable threshold are considered on a case-bycase basis. For the purpose of determining whether EIA is necessary, those of the selection
criteria set out in Schedule 3 to the Regulations which are relevant to the proposed
development, must be taken into account. The selection criteria fall into the three broad
headings: size of the development, location of the development, and characteristics of the
potential impact.
Size

Combined effects with other developments.

Use of natural resources.
Production of waste.
Pollution and nuisance.
Risk of accidents.

Location of the development

Existing land use.

Natural resources in the area.
Absorption capacity of the natural environment.
Areas where environmental quality standards have been exceeded.
Densely populated areas.
Landscapes of historical, cultural or archaeological significance.

Characteristics of the potential impact

Extent including the area of the development and number of people.

Transfrontier impacts.
Magnitude and complexity.
Probability of the impact.

Duration, frequency and reversibility of the impact.

For obvious reasons there can be no general definition of what constitutes significance.
General guidance on how to assess `significance' is contained in DETR Circular 2/99 (Welsh
Office Circular 11/99); and rulings may be obtained from the local planning authority or the
Secretary of State (or, in Wales, the National Assembly for Wales) on whether EIA is
required in particular cases. Essentially, the Circular suggests that there are three main
criteria of significance:
i. major developments which are of more than local importance;
ii. developments which are proposed for particularly environmentally sensitive or vulnerable
locations; these include

Sites of Special Scientific Interest (SSSIs),

nature conservation areas;
National Parks and the Norfolk Broads;
World Heritage Sites;
Ancient monuments and archaeological areas;
areas of outstanding natural beauty (AONB);
special conservation areas.

iii. developments with unusually complex and potentially hazardous environmental effects.
These are very general guidelines and, to assist in their application to particular cases, the
Circular also sets out indicative thresholds and criteria by reference to particular categories
of development listed in Schedule 2 to the Regulations.
It will be obvious that none of these guidelines can be applied as hard and fast rules;
circumstances are bound to vary greatly from case to case. Some large-scale projects which
exceed the indicative thresholds may not be significant enough to require EIA; some smaller
projects, particularly in sensitive locations, may be candidates for EIA. Nevertheless, the
guidance in the Circular should provide a starting point for consideration by the developer
and the planning authority of the need for EIA. If the matter is referred to the Secretary of
State (or, in Wales , the National Assembly for Wales ), he will have regard to the published
criteria.
2.6.1 EIA Flow Charts.

2.7 Procedures for the Preparation & Submission of Formal Environmental

Statement.
The Environmental Impact Assessment is then embodied in an environmental impact
statement (EIS) which is now often required by law before a new project can proceed.
Information that should be included in environmental statements
1. A description of the proposal
This should include detailed drawn plans. These tend to be a maximum size of A3 folded to
A4. Generally, these are less detailed than the formal plans submitted with the application.
2. An outline of the alternatives considered
Alternatives may include alternative fuel sources, locations or processes which may use
different raw materials. The choice of proposal should be justified.
3. A description of the environment likely to be affected
All of the potential impacts both adverse and beneficial of the development should be
considered and the activities, operations and processes that give rise to the effects should
be identified. Pathways between the source of the pollution and the receiver should be
identified. Please refer to the Source, Pathway, Target model of pollution figure below:

Human Beings

Population - changes, inward/outward migration.

Housing - temporary construction/permanent.
Services - demand for hospitals/schools/shops etc.

Noise

Industrial noise.
Transportation noise.
Leisure noise.
Domestic noise.

Vibration

Blasting.
Construction.
Demolition.
Track.
Machinery.

Traffic & Transport

Noise/vibration.
Air Pollution.
Visual Impact.
Capacity.

Land Use

Agriculture-land quality.
Rural economy access and severance.
Land drainage.
Forestry species, yield, loss of timber, impacts on remaining
trees, future management, habitats/wildlife.
Mineral extraction/waste disposal.

Pollution-soil/water/air.
Micro-climate.

Flora & Fauna

(ecology)

Soil, geology &

hydrology

Groundwater.
Hydrology.
Disturbance.
Habitat inter-relationships.
Indirect-distant loss.

Soil loss, destruction, physical damage.

Contaminated land.
Chemical-metals, organic wastes, gases, radionuclides.
Geology-instability, Sites of Specific Scientific Interest
(SSSI).
Hydrogeology-alteration to groundwater flow/derogation of
supply/contamination.

Water

Run-off changes to catchment / surface characteristics.

Groundwater resources.
Water quality.

Air and Climate

Odour.
Dust.
Combustion products (power).
Traffic emissions.
Manufacturing emissions.
Landfill gas.

Landscape

Character/history of landscape.
Nature/extent of landscape changes.
Status of landscape (national/regional).
Significance in terms of value-scenic value, rarity, typicality.
Visual impact - zone of visual influence.

Cultural heritage &

Material assets

Archaeology/monuments - marine and land.

World heritage sites.
Historic (listed) buildings.
Conservation areas.
Historic landscapes.
Parks and gardens.
Battlefields.

Table 1 Environmental Impacts

2.8 Likely Significant Effects on the Environment.
The pollutant emissions due to the operation of the development should be estimated. Next
the impacts have to be assessed, predicted and - wherever possible - quantified. The direct
and indirect impacts have to be assessed as well as the long-term, medium-term and shortterm effects. Some impacts could also be reversible and this should not be overlooked. Each
environmental effect under consideration will probably require a different method of
prediction assessment, from scientific such as noise monitoring to a combination of science,
experience and good judgment.
The EIA does not consider the concept of the best practicable environmental option (BPEO)

although it is included in when considering alternative proposals and operations.

The UK Environment Agency, however, moves closer to this concept under the IPPC regime
for permitting certain industrial installations.
The assessment of the emissions to air can be quite complex due to the need to address
local, national and possibly international aspects.
The assessment of the emissions will have to include, as appropriate, the following:

Fixed sources (e.g. flues, chimneys and exhausts).

Mobile sources (e.g. vehicles and mobile plant).
Fugitive emissions (e.g. escape through open doors or during delivery of chemicals,
raw materials or dust blowing off stockpiles or yards.

Particular attention must be paid to pollutants which have the potential to harm human health
or the environment.
The assessment of the impacts will often be based on a combination of measurements and
predictions. Background data will be required in order to assess the impacts, but one of the
problems is the need to measure over a long time period.
2.8.1 Impact on Land.
There are two principal routes for soil contamination: direct contamination and indirect
contamination. The former is often as a result of leachate, spillage or the polluting material
directly entering the soil. The latter can be from airborne pollutants being washed into, or
deposited on, the ground. The need to address contaminated land issues was recognised by
the government and procedures were laid down by the Environment Act 1995.
An adequate EIA, including appropriate mitigation measures, should ensure that land
contamination, as defined in the 1995 Act, does not occur. Contaminated land is defined in
the Environment Act 1995 as 'land which can cause, or is likely to cause, significant harm
i.e. harm to the health of living organisms or to other ecological systems or damage to
property.'
Noise and Vibration
The impacts of noise are varied and site specific and one of the key issues concerning noise
impacts is the difference between the noise emission and the background levels. Vibration
will mainly affect people in buildings, and the responses vary according to the type of
vibration.
Impacts on Water
There are two major potential impacts to the water medium: hydrological or polluting and
their consequences include:

surface run-off to watercourses such as ditches, streams, rivers or canals;

raising or lowering the water table.

Whilst these impacts should be in included in an EIA, they are beyond the scope of this
course.

2.9 Measures to Reduce or Offset the Impacts.

For each of the media considered, there may be a need to describe some of the measures
that will be incorporated into the development to ensure that the environmental impact of the
proposal is acceptable. In most cases, the mitigation will be site-specific and influenced by
the media likely to be affected as well as the pollutant.
Air
In some situations, it can be difficult to control emissions to air, particularly with emissions
from transport and fugitive emissions.
Land
The land contamination issues are likely to be most complex when brownfield sites are being
redeveloped. The UK Government is actively encouraging the redevelopment of brownfield
sites for a range of uses, including residential development.
Noise
Noise mitigation can be of many types but the key opportunities include practices and
systems to reduce or control noise, and specific noise mitigation measures. Noise control
methods can include:

enclosures;
louvres;
barriers;
quiet road surfaces;
distance;
silencers;
lagging.

Active noise control

Noise can be dramatically reduced by producing exactly the same noise at the same volume
as the source noise but 180 degrees out of phase. The effect is zero pressure and hence
silence theoretically.
Good noise management can significantly reduce the impact of noisy operations. This may
simply be in accordance with accepted custom and practice or it may be formalised into a
noise management plan.
Water
In the case of water, mitigation could include design, maintenance of plant and equipment,
design of drainage, sewerage and effluent treatment systems and bunding around storage
tanks.
2.10 A Non-Technical Summary.
This must be included in the Environmental Impact Assessment. It should include a
description of the proposed development, any environmental impacts relating to it and any
measures needed to mitigate the impact.

There also needs to be an indication of any difficulties encountered when compiling the
Environmental Impact Assessment. Some aspects of the Environmental impact assessment
may be difficult to assess for a variety of reasons, including insufficient time to collect
enough background data, or the time of the year preventing the assessment of some of the
flora and fauna present on a site. Uncertainties in prediction and assessments should be
included in the statement.
2.11 Submission of the Environmental Statement with the Planning Application.
To enable a planning application to be processed as quickly as possible, it is in the
developer's interest to submit an environmental statement at the same time as the
application is made. It will be for the planning authority to judge how much information is
required in the particular case, but the preparation of an environmental statement is bound to
require the developer to work out proposals in some detail; otherwise, any thorough
appraisal of likely effects will be impossible.
Where an application is in outline, the planning authority will still need to have sufficient
information on a project's likely effects to enable it to judge whether the development should
take place or not. The information given in the environmental statement will have an
important bearing on whether matters may be reserved in an outline permission; it will be
important to ensure that the development does not take place in a form which would lead to
significantly different effects from those considered at the planning application stage.
When the developer submits an environmental statement at the same time as the planning
application, three further copies must also be submitted for onward transmission by the
planning authority to the Secretary of State (or, in Wales, the National Assembly for Wales ).
The developer is also required to provide the planning authority with sufficient copies of the
environmental statement to enable one to be sent to each of the statutory consultees.
Alternatively, the developer may send copies of the statement directly to the consultees.
When submitting the application, the developer must inform the planning authority of the
name of every body - whether or not it is a statutory consultee - to which a copy of the
statement has been sent.
The developer should make a reasonable number of copies of the statement available for
members of the public. A reasonable charge reflecting printing and distribution costs may be
made.
2.12 Submission of the Environmental Statement with the Planning Application
(Cont.).
Public consultation and participation aims to assure the quality, comprehensiveness and
effectiveness of the EIA, as well as to ensure that the public's views are adequately taken
into consideration in the decision-making process.

EIS presentation is a vital step in the process.

EIA may be negated.

If done badly, much good work in the EIA may be negated.

The review involves a systematic appraisal of the quality of the EIS, as a contribution to the
decision-making process.
Decision-making on the project involves a consideration by the relevant authority of the EIS

(including consultation responses) together with other material considerations.

Post-decision monitoring involves the recording of outcomes associated with development
impacts, after a decision to proceed. It can contribute to effective project management.
Auditing follows from monitoring. It can involve comparing actual outcomes with predicted
outcomes, and can be used to assess the quality of predictions and the effectiveness of
mitigation. It provides a vital step in the EIA learning process.
The environmental impact statement provides documentation of the information and
estimates of impacts derived from the various steps in the process. An EIS revealing many
significant unavoidable adverse impacts would provide valuable information that could
contribute to the abandonment or substantial modification of a proposed development action.
Where adverse impacts can be successfully reduced through mitigation measures, there
may be a different decision. An example of the content of an EIS for a project is given below:
Documentation
Part 1: Methods and key issues
1. Methods statement.
2. Summary of key issues', monitoring programme statement.
Part 2: Background to the proposed development
3. Preliminary studies: need, planning, alternatives, site selection.
4. Site description/baseline conditions.
5. Description of proposed development.
6. Construction activities and programme.
Part 3: Environmental impact assessment
A description of the likely significant effects (direct and indirect) on the environment,
explained by reference to the following areas:
7. Land use, landscape and visual quality.
8. Geology, topography and soils.
9. Hydrology and water quality.
10. Air quality and climate.
11. Ecology: terrestrial and aquatic.
12. Noise.

13. Transport.
14. Socio-economic cultural heritage, employment, education, housing etc.
15. Interrelationships between effects.
A non-technical summary is an important element in the documentation.
EIA can be complex and the summary can help to improve communication where public
participation is involved. Reflecting the potential complexity of the process, a method
statement, at the beginning, provides an opportunity to clarify some basic information (e.g.
who is the developer, who has produced the EIS, who has been consulted and how, what
methods have been used, what difficulties have been encountered and what are the
limitations of the EIA).
A summary statement of key issues, up-front, can also help to improve communications.
More enlightened EIS would also include a monitoring programme, either at the beginning or
at the end of the document. The background to the proposed development covers the early
steps in the EIA process, including clear descriptions of the project and baseline conditions
(including relevant planning policies and plans). Within each of the topic areas of the EIS,
there would normally be discussion of existing conditions, predicted impacts, scope for
mitigation and residual impacts.
EIA and EIS practice vary from study to study and from country to country and best practice
is constantly evolving. Greater emphasis is now being given to the socio- economic
dimension, to public participation, and to ''after the decision'' activity, such as monitoring.
Question 3.
Assessment of emissions to the air will have to include (as appropriate) ...
Multiple Choice (HP)
Answer 1: Mobile sources (vehicles & mobile plant)
Response 1:
Jump 1: This page
Answer 2: Fixed sources (flues, chimneys & exhausts)
Response 2:
Jump 2: This page
Answer 3: Fugitive emissions (those escaping through open doors or during
delivery)
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
3.0 Environmental Modelling.
Principles and application of environmental modelling and their limitations.
Environmental modelling is a useful tool for understanding and predicting environmental
changes over various times and areas. Models can be used to explore ideas regarding

environmental systems that may not be possible to field-test for logistical, political or
financial reasons. The process of formulating a model can be extremely valuable for
organising thought, identifying hidden assumptions and identifying data needs. Fast
computers and graphical software packages have removed the drudgery of computation and
opened up new areas of model construction.
A model is a representation of a particular thing, idea or conditions. It can be as simple as a
verbal statement about a subject, or a single relationship between two things or extremely
complex and detailed, e.g. climate change models.
In this course, you are not expected to be able to develop or use the models discussed
below, but to have an understanding of what models are used for, their applications and
some of their limitations.
3.1 Steps in Model Creation and Use Develop Conceptual Model.
These are generally written as diagrams with boxes and arrows to provide a compact visual
statement of the problem. The model should incorporate sufficient detail to capture the
necessary environmental structure and processes, and still be simple enough to be useful. It
should enable the analyst to formulate hypotheses, identify the available data and the
additional data that are required.
Develop Quantitative Model
A quantitative model is a set of mathematical expressions, coefficients and data attached to
a conceptual model. These enable predictions to be made for the values of state variables
under varying circumstances.
Sensitivity analysis of a quantitative model can identify which processes and coefficients
have the greatest effect on the results. It explores whether the conclusions would change if
the parameters, initial values or equations were different.
Models can be based on empirical (observed) data or they can be more mechanistic, being
based on hypotheses regarding the processes involved. They can become quite complex,
particularly when they are used as a basis for policy and resource management decisions.
Often they are used to generate predictions for situations where actual tests are impossible
to run, due to environmental, social or economic reasons, or where the timescales involved
are too long, e.g. impact over 100 year time span .
Deterministic and Stochastic Models
A deterministic model has no random components and every time it is run with the same
parameters and conditions, the same results will be produced. In contrast, a stochastic
model has at least one random factor, to produce different results each time the model is
run, simulating environmental variability. The randomness can be introduced using
probability distributions, by adding random errors or by using random number generators.
Results are usually cast as probabilities.
3.2 Typical Scales of Environmental Models.
Some common scaling problems include:

Difficulties in aggregation of large-scale behaviour from local processes due to

spatial variation and non-linear processes.
Different processes predominate at different scales; correlations derived at one scale

may not be appropriate at another.

The interaction between processes operating at different scales, e.g. small, fast local
processes may be constrained by large, slow ones.
Emergent properties from mutual interaction of small-scale components.
Temporal lags in the response of a system to perturbation.

GIS and Environmental Modelling

As many environmental models involve a spatial component, they lend themselves to the
use of GIS (Geographical Information and Spatial Referencing Systems). The inputs and
outputs can be stored in an efficient fashion and easily related to information from other
sources, e.g. farm boundaries or land use, and it is possible to link these to the high-quality
graphics and animation capabilities of GIS in a way that makes it possible to convey abstract
technical concepts and modelling to a non-technical audience.
Scaling
Scientific knowledge of environmental processes has largely been developed through their
study at a local level. Study at this level reveals the critical causes of environmental change
and the processes can be accurately simulated. However, the problems affecting us now are
often expressed on regional and global scales.

Example Applications

Climate change.
Surface water.
Groundwater.
Watershed/water catchment.
Ecosystem.
3.3 Dispersion and Transport of Pollutants in the Atmosphere.

A pollutant plume emitted from a single source will be transported in the direction of the
mean (average) wind. It is acted upon by the prevailing level of atmospheric turbulence,

which causes the plume to grow in size as it enters the (usually cleaner) air. There are two
main methods of generating atmospheric turbulence: mechanical turbulence (generated as
the air flows over obstacles on the ground), and convective turbulence (associated with solar
radiation).
Air Modelling Use of Models
Models are used for regulatory purposes to show compliance with a given set of parameters,
given as part of a legal permit (as for example, under the Pollution Prevention and Control
Regulations 2000). They are also used for support of a given policy or course of action, for
the provision of public information, or for use in scientific research.
Dispersion models describe how pollutants are spread and mixed in the atmosphere.
Mathematical procedures are used to calculate pollutant concentrations based on emission
rates (mass of pollutant emitted over time) and dilution rates (the volume of surrounding air
into which the pollutant is being mixed, per unit time). In this way, dispersion models link
measured air quality with emissions data.
In air pollution assessments, all parts of the cause and effect chain have to be evaluated,
and whereas air quality monitoring may be defined as the systematic collection of
information from measurements and other means, monitoring alone will not achieve the best
possible description of the concentration or space/time relationships. Spatial scales may
vary from street level up to the global scale, and although measurements may form an
important part of monitoring, for many purposes, models are often needed to establish larger
scale average exposures or deposition fields.
The reasons for modelling include greater representation of effects under changing
conditions, such as release quantities, meteorological conditions or to account for the local
topography. Models can also be used to predict the effect of various sources and emission
scenarios.
3.4 Types of Model.
The following types of model can be distinguished:

Plume rise models: in most cases, pollutants injected into ambient air from
chimneys or stacks possess an initial momentum. Plume rise models calculate the
displacement and general behaviour of the plume in the initial dispersion phase.
Gaussian models: the Gaussian plume model is the most common air pollution
model, based on the assumption that the plume concentration has a predicted size
and shape, which can be represented by a known mathematical equation.
Semi-empirical models: this category consists of several types of model used for
practical applications.

There are many other specialist models available, e.g. Eulerian models, Lagrangian models,
chemical models, receptor models and stochastic models. Each have uses for specialist
circumstances, which are beyond the scope of the syllabus.
3.5 Gaussian Model: the Gaussian Plume Approach.
The Gaussian Plume Model will be discussed because it gives results adequate for most
practical applications and the quality of the emission and meteorological data does not justify
the use of the increased resources required to run more complex models.
In the Gaussian Plume approach, the expanding plume has a Gaussian (or Normal )

distribution of concentration in the vertical and lateral directions. This approach is used for
modelling a plume emission from 0-100 kms. Variations of this straightforward approach lead
to increasing mathematical complexity and are a specialised subject outside of the
requirements of the syllabus.
Uses of Atmospheric Models
Atmospheric models are broadly any mathematical procedure which results in the estimation
of ambient air quality parameters (concentrations, depositions and exceedances). Processorientated models are based on the description of physical and chemical processes, starting
with emissions, atmospheric advection and dispersion, chemical transformation (from one
chemical to another, as in the formation of acids from emissions of sulphur oxides) and
deposition. Statistical models are valuable tools in the diagnosis of air quality by means of
the interpolation and extrapolation of measuring data.
As an environmental manager, you may have to use a specialist company to model releases
as part of legislative requirements. Models may be needed, for example, to predict the
effects of a deposition after an unplanned release of pollutants, as required under the
COMAH Regulations. They can also be used to improve emission inventories, monitoring
programmes and assist in planning control measures. Models are therefore indispensable in
air quality assessment studies, and can be used to estimate past, present and future air
quality.
There are limitations to the use of these models; once a model has been developed, it is
relatively easy (and inexpensive) to use the model for further applications. However,
collecting the necessary input data can be expensive and cumbersome. Uncertainties in
model results can be large, as they may be introduced by the model concept and the input
data (emission data and meteorology).
It is important to be aware that predictions from climate models are always subject to
uncertainty because of limitations on our knowledge of how the climate system works, and
on the power of the computing resources available. Different climate models can give
different predictions.
Question 4.
Stochastic models have no random components and every time it is run
with the same parameters and conditions, the same result will be
produced?
True/False (HP)
Answer 1: True
Response 1:
Jump 1: This page
Answer 2: False
Response 2: Stochastic models have at least one random factor in order to produce
different results. It is Deterministic models that have no random
components.
Jump 2: Next page
3.6 Dispersion in Water.
The following information is taken from SEPA (Scottish Environment Protection Agency);
there is more detail here than you will be required to remember for the NEBOSH

examination, but it is included to enable you to understand and appreciate the subject.
Again, it is not the expectation of the examiners that you are able to construct a model of this
type, but you are expected to have an understanding of the parameters and considerations
made in developing a model.
The impact of a discharge on any water body is dependent on discharge quality and
quantity, and prevailing physical and chemical conditions of the waters receiving the
discharge. In contrast to a river, the physical and chemical conditions of tidal waters are
highly variable, both spatially and temporally due to tide and wind currents, the bathymetry of
the sea bed and seasonal river flow and quality.
Therefore, in order to assess the impact of a discharge to a tidal water body, it is necessary
to predict the duration over which the pollutants may act, the area of impact and whether any
other discharges (diffuse or point) might impact the same area. This assessment is normally
made with some form of predictive model to enable simulation of different discharge quality
parameters, in combination with the different physical and chemical conditions of the
receiving waters.
Models vary greatly in type and complexity, but it is essential that the model chosen is
appropriate to the situation in which it is being utilised. It is also important that the model is
properly calibrated and validated, in order to ensure that the model output is reliable and
accurate. Once again, this is a specialist area which requires an expert in the field to carry
out the modelling process.
In the case of water modelling, the amount of data and the complexity of the data will
depend on whether the water system is a river, an estuary or coastal system. This is
because tidal effects, mixing effects and degrees of salinity all affect the behaviour of
pollutants.
3.7 Defining the Model.
It is essential to define the major issues and variables under consideration at the outset, in
order to select an appropriate model:
Model Grid constitutes key data such as depth, topography, river inputs, tidal elevations,
flows at boundaries, etc. needed to calibrate and validate the model.
Model Duration is the temporal extent of the discharge. It defines the duration over which
the model simulates processes, which may be a number of tidal cycles, days, weeks,
months or even years.
Model Domain is the spatial extent of the model, determined from a knowledge of the
location and temporal effect of the discharge.
Model Dimensionality is decided once the model domain and duration is known. It requires
knowledge of the hydrography of the area and behaviour of the pollutants. It describes how
the area is divided:

One-dimensional model (1D) has a single scale, e.g. length down an estuary.

Two-dimensional model (2D) has two scales, e.g. length and depth of estuary.

Three-dimensional model (3D) has three scales; length, width and depth. With everincreasing computing power, 3D models will become more attractive as the real

problem is three dimensional, and using a 3D model removes another simplifying

assumption.
3.8 Model Types.
The three basic types of model are described below.
Hydrodynamic Model
The hydrodynamic model predicts the surface elevations and current velocity field across the
model grid. It provides the flow and dispersion data that can be used to run other models,
such as water quality or particle tracking. This frequently includes the dispersion of a
conservative tracer, commonly calibrated against observations of salinity in marine work.
Although these models can be quite time-consuming to run, once run the output files can be
used to model scenarios for different outfall locations and conditions.
Water Quality Model
Water quality models simulate the chemical reactions that take place within the water body
modelled. Depending on the requirements of the study, the simulation can be limited to a
single determinant, or a number of determinants. The more complex the model, the more
complex the data required to set-up, calibrate and validate the results.
It is important that the tool used is demonstrated to be suitable for the problem to be solved.
A common error is to implement a model that is more sophisticated than required and then
encounter problems with calibration and validation.
Particle Tracking Model
Particle tracking models simulate the behaviour of compounds or organisms in the water
column by representing them as a number of particles. These are adverted and dispersed
throughout the water body using a flow field obtained from a hydrodynamic model or from
surveys. The model simulates the behaviour of these particles over time, including
processes such as bacterial die-off or variable buoyancy.
These models run much faster than most water quality or hydrodynamic models, as they
read the flow field from data files rather than computing them. The model tracks and records
the movement of particles through time. Another advantage of these models is that runs can
be made for different environmental conditions and percentile plots of compliance may be
created. Particle tracking is commonly used for bacterial modelling.
3.9 Model Set-Up.
Data Requirements
Data are required to set-up the model and to validate and calibrate the model against
observations. The set-up data are required to define the bathymetry within the model, and to
provide boundary and initial conditions. Remember that the data inputted into the model are
the key factor; without valid data, the model predictions cannot represent the likely situation.
In some cases, adequate data are difficult to obtain and this should be explained in the
model results.
Boundary conditions are necessary to describe the inputs to the models, which may be
riverine or point source discharge data, plus tidal flow and elevations at the seaward

boundary of the model.

Initial conditions data are required to set parameters, particularly water quality, at the start of
the model run. This could be water depth or the number of plankton per square metre.
Model Calibration
Calibration is the process by which the model is adjusted to reproduce the characteristics of
the study area, for a given set of conditions. The model output is compared against observed
measurements and model parameters and coefficients are adjusted to improve agreement.
Calibration data for hydrodynamic models may consist of water levels, current speeds
and directions, drogue tracks, salinity measurements and dye-tracking data. To achieve
calibration of the tidal cycle, the model is often compared to tidal heights or flows that have
been harmonically analysed to remove the wind effect from observations.
However, if the model is to be used to simulate wind effects, it is equally important that the
model is compared against the observed data.
Other important considerations for hydrodynamic model calibration are:

Location and number of data points.

Accuracy of calibration data.

Distribution of data with respect to model dimensionality; vertical and lateral required
level of agreement between model output and observations from field surveys,
sampling, etc, for example, is the model fit for purpose and what degree of
adjustment is necessary to demonstrate agreement?

Typically, the model resolution, the bathymetry and sea bed roughness coefficient are
adjusted to improve agreement to the desired level. Good agreement between predicted and
observed salinities and dye-tracking results is necessary to demonstrate that the model
accurately reproduces the dispersive characteristics of the study area. This is essential to
achieve accurate water quality simulations.
Calibration data for water quality models consist of concentrations of the variables of
interest at points throughout the model area, over the period of interest. Seasonal variations
may be important for some parameters, such as nutrients and chlorophyll. The
considerations listed previously for hydrodynamic calibration are important for water quality
calibration. In addition, it is important that all inputs to the model area, e.g. from outfalls or
rivers are accurately specified.
The reaction rates and coefficients in equations describing chemical kinetics in the water
column are adjusted to improve agreement between water quality predictions and
observations to the desired level. In general, the level is less for water quality than for
hydrodynamics because of greater environmental variability of water quality parameters.
3.10 Model Validation.
This demonstrates model accuracy by comparison of model output with a separate,
independent data set. The model should provide good agreement without further adjustment.

Sensitivity Testing
Once a model has been set-up, calibrated and validated, it is important to test the sensitivity
of the model output to the key input parameters, i.e. the boundary and initial conditions. A
model report should always include a section on sensitivity testing, demonstrating the
variation in model output in relation to variation in the input data.
Some models have automatic sensitivity testing routines, others require the operator to
make a number of runs while manually varying the input parameters. It is important to check
and understand model sensitivity to both boundary and initial conditions.
Initial Dilution
Effluent discharged to tidal waters is typically buoyant due to the difference in density
between the effluent and surrounding saline waters. Without adequate initial dilution, effluent
upwelling can create surface slicks, causing significant aesthetic impact at the very least.
Initial dilution is the process whereby the discharge from a submerged outfall is entrained by
surrounding waters, as a result of turbulent mixing and discharge buoyancy relative to
ambient water density. The main factors controlling the initial dilution afforded by an outfall
are:

water depth;
ambient current;
effluent density;
outfall diffuser design (number of ports, port diameter, discharge rate, etc.).

It is normally calculated using a stand-alone model or set of equations and then factored into
the inputs of a more detailed model.
3.11 Estuarine Modelling.
Estuaries may receive a number of major discharges in proximity, requiring that any model
takes account of combined inputs. Thus, estuarine modelling studies benefit from detailed
knowledge of all contributing sources. This is important when modelling overall impact, as
opposed to the effect of a single discharge.
Estuaries are characterised by a longitudinal variation in salinity from coastal seawater at the
seaward boundary to zero at the upstream fresh water boundary. Conditions within an
estuary are dynamic and complex through the combination of tidal forcing, winds and
variation in freshwater inputs. Longitudinal and lateral variations in salinity, and hence water
density, can have a significant effect on estuarine hydrodynamics, mixing and subsequent
water quality. Selection of an appropriate numerical model with the capability to reproduce
these features (if present) is essential.
Conditions within estuaries can vary from well-mixed to partially-mixed to stratified,
depending largely on tidal range, but also on depth and fresh water input. In a well-mixed
estuary, longitudinal variability is most significant and it is often acceptable to assume lateral
and vertical variations are small and thus a 1D time varying model (dynamic) is the most
appropriate choice. For hydrodynamics, this will simulate tidally forced variations in water
level and current velocity along the length of the estuary. The model output corresponds to
cross-sectionally averaged conditions at any point along the length of the estuary.
If estuary width is significant but there is good vertical mixing, then a 2D depth-averaged

model may be appropriate. These models predict lateral variations in conditions. However, if
vertical stratification is significant due to temperature and density differences, but lateral
variations are small, a 2D width-averaged model is most appropriate. Finally, if both width
and depth variation are important within the areas of interest, a 3D dynamic model is
required.
Estuaries can be prone to Dissolved Oxygen (DO) depletion and are a major source of
nutrient inputs to coastal waters, from both natural and anthropogenic (man-made) sources.
Therefore, the water quality model chosen must be capable of simulating complex processes
and relationships.
Coastal Waters
Coastal waters, in contrast with estuaries, are generally less bounded, with reduced
significance of freshwater inputs. However, lateral variability can seldom be ignored and the
significance of wind effects is greater. It is often reasonable to build a model to simulate only
one specific discharge.
Although the model domain might include other sources, it may be reasonable to
demonstrate that the effects of the discharges under consideration will not overlap. The
model domain is often much larger for a coastal model and the water quality models may be
more sophisticated wherever the issues include eutrophication (an increase in the
concentration of chemical nutrients in an ecosystem to an extent that increases the primary
productivity of the ecosystem).
Spatial variability generally requires at least a two-dimensional model. When depth variation
can be demonstrated to be negligible, a 2D depth averaged model is appropriate. The
location of the seaward boundary is often critical both for the provision of reasonable data
and in determining the area of impact for the model. In areas where both lateral and vertical
structure are significant, 3D models are necessary. This may be caused by water depth, low
tidal energy, seasonal density patterns possibly increased freshwater influence in winter or
increased surface warming in summer.
3.12 Limitations of Monitoring and Modelling.
A single sample for one process will seldom be an adequate basis for control decisions.
The means of data collection, the accuracy of the data analysis and the limits of accuracy of
the test/detectable limits and all the factors relating to the reliability of the information must
be sought. The relevant factors relating to the monitoring and/or sampling must be recorded
along with the results as a reference. This information may include nature of the sample,
method of collection and analysis, relevant local conditions including meteorological
conditions, and time and temperature at the time of sampling.
Modelling, Monitoring and Control
Monitoring is not a means of control. It is a means by which failure and defects in control are
made apparent, and a means of demonstrating the continued effectiveness of controls.
4.0 Life Cycle Analysis.
Definitions:
Definitions of Life Cycle Analysis (LCA) differ in detail. The Society of Environmental

Toxicology and Chemistry (SETAC) definition is:

''Life cycle analysis is an objective process to evaluate the environmental burdens
associated with a product, process or activity by identifying and quantifying energy and
materials used and wastes released to the environment, and to evaluate and implement
opportunities to affect environmental improvements. The assessment includes the entire life
cycle of the product, process or activity, encompassing extraction and processing raw
materials, manufacturing, transportation and distribution, use/re-use/maintenance, recycling
and final disposal''
A second definition is:
''Environmental LCA or product life analysis (PLA) are detailed studies of the energy
requirements, raw material usage and water, air, and solid wastes generation of an activity,
material, product or package throughout its entire Iifecycle.
4.1 Cradle-to-Grave Concept.
When we refer to a product's life cycle, we mean from the 'cradle' (extraction of raw material)
to the 'grave' (when the product is discarded).
The use of life cycle analysis enables organisations to adopt a holistic approach to their
environmental assessments whilst allowing them to identify their significant indirect
environmental aspects. Life cycle analysis can be conducted at any part of the life cycle
such as at the stages before manufacture, or nearer the end of life stage to identify and
minimise the environmental effects of a companys operations.
Life cycle analysis is not a requirement of an Environmental Management System (EMS) (or
ISO 14001) and EMAS.
Use of life cycle analysis depends upon:
1. the problem in question;
2. the resources available;
3. the time available for reaching a decision.
Life cycles analysis compiles material, energy and waste flows and evaluates the
environmental impacts associated with the provision of a product or service throughout its
life cycle.
As life cycle analysis views the wider picture, it differs from many other environmental
assessments which merely consider elements that make up a stage in the life cycle.
There are also important distinctions between life cycle analysis and life cycle assessment.
Life cycle analysis is the collection of data it produces an inventory whereas assessment
goes one stage further and adds on an evaluation of the inventory.
Life cycle analysis does not define or explain actual environmental effect, for example, a life
cycle analysis will tell us how many grammes of limestone are used to make a bottle of
mineral water and how much energy was used to extract it. However, it does not tell us the
environmental impact of this action, such as whether limestone is a scarce resource or
whether its extraction causes pollution.

Life cycle analysis serves to address issues such as:

what are the life-cycle impacts generated by a product or process and how do
different products or processes compare?
the assessment of process efficiencies for a given output - the calculation of energy
and material usage efficiencies within a given economic sector or activity and the
identification of areas for improvement.
4.2 Principles and Techniques of Life Cycle Analysis.

An environmental footprint is the term used when referring to the impacts of a product or
service. For example, a life cycle analysis may be used to determine the different packaging
options that can be provided for a litre of milk, in a carton, glass bottle, plastic, or cardboard
carton.
There are four phases in conducting a life cycle analysis which are as follows:
1.
2.
3.
4.

goal and scope definition;

life cycle inventory (LCI) analysis;
life cycle impact assessment;
interpretation.
4.2.1 Goal & Scope Definition.

It is important that there a clear definition of the goal and scope at the beginning of the
assessment. This ensures that the information collected throughout the assessment remains
relevant. This depends on the reasons why the organisation wants to undertake the
assessment and what they want from the exercise. This can be simple or complicated. They
can be focussed on key issues such as the global warming potential of the system or
detailed and comprehensive, looking at the inputs right through to the breakdown and
analysis of each stage.
The definition of the goal depends on the following factors:

The intended application of the life cycle analysis.

The reason for conducting it and the intended audience.
What specific decisions the life cycle analysis will be used to assist.

The scope must be linked with the goal and should define the breadth and depth of the
assessment needed to address the goal. The scope should include:

Definition of the function of the system being investigated, including the functional
unit.
Definition of the system boundaries.
Methods of gathering the data.
Key assumptions and limitations.

So, the first step in life cycle analysis is to define what needs to be done, and early attempts
at LCA failed through not defining the system boundary. When the boundaries are defined,
the ''cradle to the grave'' analysis requires that each input in each process is traced back to
resources taken from the environment, while outputs are followed to the final release into the
environment. Effectively, a flow chart is produced.
4.2.2. Life Cycle Inventory Analysis.

Inventory analysis involves the compilation and quantification of the material, energy and
waste flows (environmental aspects).
The inventory stage is the process of identifying the energy, raw materials and wastes
generated in the production, distribution, use and disposal of the material, energy or waste.
It maps the system stages and the inputs and outputs in accordance with the goal and
scope.
The data on the materials can either be 'situation specific' or generic.
Once obtained, the data need to be expressed in terms of the unit flow or product through
each stage of the system and, ultimately, to the functional unit.
4.2.3 Impact Assessment.
This phase aims to evaluate the significance of environmental impacts using the results of
the life cycle analysis.
Impact Categories (classification)
A key step in impact assessment is the selection of impact categories. These might include
global climate change, acidification, air quality, stratospheric ozone depletion, biological
oxygen demand (BOD), eutrophication, toxicity of substances and resource depletion.
Characterisation
This step applies numeric 'indicators' related to the impact category, e.g. they exist as ozone
depletion potentials, photochemical ozone creation potentials and global warming potentials.
Valuation
This step is subjective as it attempts to give value to the data so that different impacts can
be compared. This stage requires clear explanation of how the ranking or weighting scores
are arrived at, so that the process is transparent.
4.2.4. Interpretation.
At this stage, the findings of the life cycle assessment are reviewed. They are checked to
see if they are consistent and that the assumptions are sound. This must also be linked to
the goal and the scope of the life cycle assessment and will identify priorities for
improvement.

Another example..

Question 5.
Which phase of the Life Cycle Analysis involves the compilation and quantification of the
environmental aspects?
Multiple Choice (HP)
Answer 1: Goal and scope definition
Response 1:
Jump 1: This page

Answer 2: Life cycle inventory analysis

Response 2:
Jump 2: Next page
Answer 3: Life cycle impact assessment
Response 3:
Jump 3: This page
Answer 4: Interpretation
Response 4:
Jump 4: This page
5.0 General Requirements for Risk Assessment.
Through the use of the environmental risk assessment management tool, available
information on an environmental problem can be organised and analysed.
It has some aspects in common with other decision making tools, such as environmental
impact assessment (EIA) and strategic environmental assessment (SEA). As risk
assessment addresses probability and uncertainty it makes it ideally suited to distinguishing
between adverse environmental impacts (or consequences) that could occur, and the
likelihood (probability) of the impacts actually occurring.
Good corporate governance involves risk profiling across organisations and as we have
seen, there are legal, moral and financial reasons for managing environmental risk. As a
result, many large corporations have risk management committees that report periodically to
the board and they have risk management systems that allow unacceptable risks to be
managed.
The main objectives of risk assessment is to determine the measures required to comply
with relevant, health, safety and environmental legislation.
A risk assessment comprises the following elements:

Hazard identification a hazard is the potential of any activity, process or substance

to cause harm.
The risk is the likelihood of the hazard being realised.
The severity of the consequences of the event.
5.1 Risk Assessment.

Once the information on the hazard, likelihood and severity of consequences are identified, a
risk assessment can then be conducted.
A Risk Assessment Model
Risk assessments may be quantitative or qualitative.
A quantitative risk assessment, using numerical values, can be used to quantify the risk level
in terms of the likelihood of an incident and its severity.
During a qualitative risk assessment a judgement is made as to whether the risk is probable
in terms of high, medium, low or negligible. The consequences are calculated on a scale of

severe, moderate, mild or negligible. Please see the qualitative risk assessment model
below.
Complex environmental issues with significant consequences will invariably require a
combination of qualitative and quantitative analysis, usually because certain aspects of the
system are better described than others.
Source: http://www.defra.gov.uk/environment/risk/eramguide/02.htm
Estimation of risk from consideration of magnitude, consequences and
probabilities
Increasing
acceptability

Consequences
Severe

Moderate

Mild

Negligible

High

high

high

medium/low

near zero

Medium

high

medium

low

near zero

Low

high/medium

medium/low

low

near zero

Negligible

high/medium/low

medium/low

low

near zero

Probability

Once the risk assessment has been conducted, the next stage in the risk assessment is the
control of the risk.
Environmental risk assessment is fundamental to all phases of development for waste
management facilities, from the strategic planning level through to the regulation of an
individual facility. At the strategic level, risk assessment informs decisions about land use
and underpins assessment of the environmental impact associated with the site location
considered, through the development planning process.
Risks from land contamination have historically been addressed on a suitable-for-use basis
with most sites being assessed for their future use under the planning regime. With the
introduction of Part IIA of the Environmental Protection Act 1990 the contaminated land
regime in 2000 and the Contaminated Land Regulations in 2006, an increased awareness
by regulators and industry of the risks posed by land based on its current use has
developed.
Under the Control of Major Accident Hazards (Amendment) Regulations (COMAH) 2005,
there is a fundamental requirement for operators to undertake an environmental risk
assessment in a systematic way and to clearly demonstrate that risks have been identified
and all necessary measures put in place to prevent major accidents and to limit their
consequences if they do occur.
5.2 The Control of Major Accident Hazards (Amendment) Regulations (COMAH) 2005.

Introduction
The Control of Major Accident Hazards Regulations (COMAH) implement the Seveso 11
Directive except for land-use planning requirements which are implemented by changes to
planning legislation. They replace the Control of Industrial Major Accident Hazards
Regulations 1984 (CIMAH) and came into force in April 1999. Amendments were made to
those regulations in 2005.
The COMAH Regulations require operators of major hazard establishments to take all
measures necessary to prevent major accidents and limit their consequences to persons
and the environment. Major accident establishments are those which involve dangerous
substances such as toxic chemicals e.g. arsenic pentoxide, liquefied petroleum gas, chlorine
and explosives in their operations.
Plant failure or human error can lead to the uncontrolled escape of pollutants into the
environment, in the form of spills, leaks and releases leading to fire and explosion. Due to
their unplanned nature they are difficult to control as the following cases illustrate:
5.3 Learning from Past Incidents.
Flixborough (Nypro UK ) Explosion 1st June 1974
Summary

Rupture of bypass system resulted in the escape of a large quantity of cyclohexane

gas.
The cyclohexane formed a flammable mixture and subsequently found a source of
ignition.
Site severly damaged by the resulting unconfined vapour cloud explosoin.
28 people killed - eighteen of these fatalities occurred in the control room as a result
of the windows shattering and the collapse of the roof.
36 people onsite and 53 people offsite were injured.
Extensive injuries and damage to 1,821 houses and 167 shops and factories.
Insurance costs 500 Million (2000 prices).
Plant rebuilt but closed down after a few years for commercial reasons.
Brought to public awareness the hazards presented by major chemical sites.

Seveso 1976

Reactor had gone out of control, overheating caused safety value to open.
The high temperature caused an unusually high quantity of the by-product TCDD
(2,3,7,8,-tetrachloro-dibenzo-p-dioxin) to be produced.
The safety valve did not vent to an enclosed system safely.
About 2kg of TCDD (dioxin) was released over a 20 minute period in Milan and
brought down by rain in Seveso (24km from release).
It contaminated about 4km2 of soil

Dioxin is extremely toxic and associated with still births, deformities, cancer,
blindness and chloracne. External spillages are extremely persistent (not easily
rendered harmless by exposure to the environment).

Bhopal 3rd December 1984

A relief valve on a storage tank containing highly toxic methyl isocyanate (MIC) lifted.
30 tons of Methyl-osocyanate (MIC) released which drifted onto nearby housing.
3,828 fatalities (official statistics).
Further 200,000 people injured inlcuding 11,200 with disabilities.
Bhopal plant abandoned and remains chemically contaminated and slowly rotting.
Union Carbide acquired by Dow Chemicals who are now the target of the Bhopal
pressure groups.

The severity of this accident makes it the worst recorded within the chemical industry.
Chernobyl Nuclear Disaster 1986

190 tons of radioactive uranium and graphite released.

Radiation levels 300 times greater than Hiroshima.
130,000 people permanently evacuated and resettled.
30 fatalities from direct radiation injuries.
Estimated worldwide cancers caused believed to be in their thousands.
30 km radius from site rendered permanently uninhabitable due to plutonium
contamination.

5.4 Summary of COMAH Regulations.

Objectives
Their main aim is to prevent and mitigate the effects of those major accidents involving
dangerous substances, such as chlorine, liquefied petroleum gas, explosives and arsenic
pentoxide which can cause serious damage/harm to people and/or the environment. The

COMAH Regulations treat risks to the environment as seriously as those to people.

Enforcement
The COMAH Regulations are enforced by a new competent authority (CA) consisting of:
In England and Wales The Health and Safety Executive and the Environment Agency.
In Scotland The Health and Safety Executive and the Scottish Environment Protection Agency. The CA
will operate to a Memorandum of Understanding which sets out the arrangements on joint
working.
The regulations place duties on the CA to inspect activities subject to COMAH and prohibit
the operation of an establishment if there is evidence that measures taken for prevention
and mitigation of major accidents are seriously deficient. It also has to examine safety
reports and inform operators about the conclusions of its examinations within a reasonable
time period.
5.5 Charging.
Charging will be introduced for work undertaken by the competent authority on COMAH.
Charges will be made on an actual basis i.e. the recovery of the full costs of the time spent
by the CA in carrying out COMAH-related activities for a particular establishment.
An industry liaison forum will be set up to discuss the operation of the financial and
administrative arrangements of the charging regime.
Application
The regulations apply to the chemical industry, but also some storage activities, explosives
and nuclear sites and other industries, where threshold quantities of dangerous substances
identified in the regulations are kept or used.
The substances which cause the duties to apply are detailed in Schedule 1 of the regulations
as are the quantities which set the two thresholds for application.
Operators of sites that hold large quantities of dangerous substances ('top tier' sites) are
subject to more onerous requirements than those of 'lower tier' sites.
5.6 Requirements.
Sites that have enough dangerous substances present to take them over the lower threshold
have lower-tier duties. Sites that exceed the higher threshold have top-tier duties apply.
The key duties for operators of lower-tier sites are to notify basic details to the CA. Operators
of all establishments subject to the regulations must notify certain basic details to the CA.
The key points which have to be included in the notification are given below; full details are
given in Schedule 3 to the regulations.

Name and address of operator.

Address of establishment.

Name or position of person in charge.

Details of dangerous substances on site.
Activities.
Environmental details.

Operators who come into the scope of the regulations must submit a notification before
operation begins (operation begins when the quantity of dangerous substance exceeds one
of the thresholds and includes commissioning).
Operators of existing establishments who had previously submitted CIMAH safety reports do
not need to notify, as that report contains all the necessary information.
There is a general duty on all operators to submit a notification and take all measures
necessary to prevent major accidents and limit their consequences to people and the
environment.
This duty underpins the regulations. It is a high standard which applies to all establishments
within scope. By requiring measures both for prevention and mitigation, there is a recognition
that not all risks can be completely eliminated. This in turn implies that proportionality must
remain a key element in the enforcement policy of the HSE and the Agencies. Thus, the
phrase ''all measures necessary'' will be interpreted to include this principle and a judgement
will be made about the measures in place. Where hazards are high, then high standards will
be required to ensure risks are acceptably low, in line with the HSE's and Agencies' policy
that enforcement should be proportionate.
Prevention should be based on the principle of reducing risk to a level as low as is
reasonably practicable (ALARP) for human risks and using the best available technology not
entailing excessive cost (BATNEEC) for environmental risks. The ideal should always be,
wherever possible, to avoid a hazard altogether.
Prepare a major accident prevention policy (MAPP)
Regulation 5 requires lower-tier operators to prepare a document setting out their policy for
preventing major accidents.
The MAPP will usually be a short and simple document setting down what is to be achieved
but it should also include a summary and further references to the safety management
system that will be used to put the policy into action. The detail will be contained in other
documentation relating to the establishment e.g. plant operating procedures, training
records, job descriptions, audit reports, to which the MAPP can refer.
The MAPP also has to address issues relating to the safety management system.
The details are given in Schedule 2 of the regulations. The key areas are:

organisation and personnel;

identification and evaluation of major hazards;
operational control planning for emergencies monitoring;
audit and review.

Operators who come into scope of the regulations must prepare their MAPP before
operation begins.

Top-tier operators
Top-tier operators have to comply with the above except that they do not have to prepare a
separate major accident prevention policy document - their safety reports (see below) have
to include the information that lower-tier operators provide in their MAPPS. They also have
the additional duty of preparing a safety report. This is a document prepared by the site
operator and provides information to demonstrate to the CA that all measures necessary for
the prevention and mitigation of major accidents have been taken. The purposes and
contents of a safety report are set out in Schedule 4 to the Regulations.
The safety report must include:

a policy on how to prevent and mitigate major accidents;

a management system for implementing that policy;
an effective method for identifying any major accidents that might occur;
measures (such as safe plant and safe operating procedures) to prevent and mitigate
major accidents;
information on the safety precautions built into the plant and equipment when it was
designed and constructed;
details of measures (such as fire-fighting, relief systems and filters) to limit the
consequences of any major accident that might occur, and
information about the emergency plan for the site, which is also used by the local
authority in drawing up an off-site emergency plan.

Safety reports will be available to the public via the competent authority registers, subject to
safeguards for national security, commercial and personal confidentiality.
The dates for submission of safety reports are set out in Regulation 7.
Operators of completely new establishments (so-called green field sites) have to provide
some information before construction commences and complete the safety report before
operation begins.
Operators whose establishments became COMAH top-tier after 1st April 1999 must submit
their safety report before operation at top-tier begins.
COMAH top-tier operators who had not previously submitted a CIMAH safety report must
have submitted a COMAH safety report by 3rd February 2002 .
Top-tier operators who had previously submitted a CIMAH safety report must have
submitted their first COMAH safety report on the date their CIMAH safety report update
would have been due or by 3rd February 2001 if that was earlier.
The safety report needs to be kept up to date. If there are any modifications to the plant or
the way it is operated or if new facts or information become available, the safety report must
be reviewed and, if necessary, revised at the time. It must be reviewed after five years, even
if there have not been any changes.
Prepare and test an on-site emergency plan
Top-tier operators must prepare an emergency plan to deal with the on-site consequences of
a major accident before operation begins. The details are given in Schedule 5 and further

guidance from the HSE is available.

They must supply information to local authorities for off-site emergency planning purposes.
Local authorities play a key role by preparing, reviewing, revising and testing off-site
emergency plans for dealing with the off-site consequences of major accidents at top-tier
sites. In order to fulfil this role, they need information from operators.
Operators will need to hold discussions with their local authorities to determine their exact
needs.
The information for the local authority must be supplied no later than the date the on-site
emergency plan for the site has to be completed.
Provide certain information to the public about their activities
People who could be affected by an accident at a COMAH establishment must be given
information without having to request it. The details are given in Schedule 6 of the
regulations but include details of the dangerous substances, the possible major accidents
and their consequences and what to do in the event of an accident.
The information for people who could be affected by a major accident at the establishment
must be supplied 'within a reasonable period of time after the off-site emergency plan has
been prepared for the establishment'. Six months would be the normal time.
Safety reports will be put on the public register shortly after receipt by the CA unless there is
a request for certain information to be withheld (for national security, commercial and
personal confidentiality reasons) as provided for in the regulations.
5.7 The Control of Substances Hazardous to Health Regulations 2002 (COSHH).
Introduction
Arrangement of Regulations
1) Citation and commencement.
2) Interpretation.
3) Duties under these Regulations.
4) Prohibitions on substances.
5) Application of regulations 6 to 13.
6) Assessment of health risks created by work involving substances hazardous to health.
7) Control of exposure.
8) Use of control measures etc.
9) Maintenance of control measures.

10) Monitoring exposure.

11) Health surveillance.
12) Information etc.
13) Arrangements to deal with accidents, incidents and emergencies.
14) Provisions relating to certain fumigations.
15) Exemption certificates.
16) Exemptions relating to the Ministry of Defence etc.
17) Extension outside Great Britain.
18) Revocation and savings.
19) Extension of meaning of work.
20) Modification of section 3(2) of the 1974 Act.
21) Defence.
5.8 Regulations.
Regulation 2 Interpretation
Substances hazardous to health includes:
1) Substances which under the Chemicals (Hazard Information and Packaging) Regulations
(CHIP 4) 2009 are in categories of very toxic, harmful, corrosive or irritant.
2) A substance listed in schedule 1 to the Regulations or for which the HSE have approved a
workplace exposure limit.
3) A biological agent.
4) Dust in a concentration in air equal to or greater than:
10mg/m3 inhalable dust as an 8hr TWA, or
4mg/m3 respirable dust as an 8hr TWA
5) Any other substance which creates a health hazard comparable with the hazards of the
substances in the other categories above.
Regulation 3 Duties
Are on employer to protect:

employees;
any other person who may be affected, except:
duties for health surveillance do not extend to non-employees;

duties to give information may extend to non-employees if they work on the

premises.

Regulation 4 Prohibitions on Substances

Certain substances are prohibited from being used in some applications. These are detailed
in Schedule 2 to the Regulations.
Regulation 5 Application of Regulations. 6 13
Regulations 6 13 are made to protect a persons health from risks arising from exposure.
They do not apply if:
the following Regulations already apply:

the Control of Lead at Work Regulations (CLAW) 2002;

the Control of Asbestos at Work Regulations (CAWR) 2002;
the hazard arises from one of the following properties of the substance: radioactivity,
explosive, flammable, high or low temperature, high pressure;
exposure is for medical treatment;
exposure is in a mine.

Regulation 6 Assessment
The employer must not carry out work which will expose employees to substances
hazardous to health unless he has made an assessment of the risks to health and the steps
that need to be taken to meet the requirements of the Regulations.
The assessment must be reviewed if there are any changes in the work and at least once
every 5 years.
A suitable and sufficient assessment should include:

an assessment of the risks to health;

the practicability of preventing exposure;
steps needed to achieve adequate control;

An assessment of the risks should involve:

types of substances including biological agents;

where the substances are present and in what form;
effects on the body;
who might be affected;
existing control measures.

Regulation 7 Control of Exposure

1) The employer shall ensure that the exposure of employees to substances hazardous to
health is either prevented or, where this is not reasonably practicable, adequately controlled.
2) So far as is reasonably practicable (1) above, except to a carcinogen or biological agent,

shall be by measures other than personal protective equipment (PPE)

3) Where not reasonably practicable to prevent exposure to a carcinogen by using an
alternative substance or process, the following measures shall apply:
Total enclosure of the process
Use of plant, process and systems which minimise generation of, or suppress and contain
spills, leaks, dust, fumes and vapours of carcinogens.
Limitations of quantities of a carcinogen at work

Keeping of numbers exposed to a minimum.

Prohibition of eating, drinking and smoking in areas liable to contamination.
Provision of hygiene measures including adequate washing facilities and regular
cleaning of walls and surfaces.
Designation of areas/installations liable to contamination and use of suitable and
sufficient warning signs.
Safe storage, handling and disposal of carcinogens and use of closed and clearly
labelled containers.

4) If adequate control is not achieved, then employer shall provide suitable PPE to
employees in addition to taking control measures.
5) PPE provided shall comply with The Personal Protective Equipment at Work Regulations,
2002 (dealing with the supply of PPE).
6&7) For substances which have a workplace exposure limit (WEL), control of that
substance shall, so far as inhalation is concerned, only be treated if the level of exposure is
reduced so far as is reasonably practicable and in any case below the WEL.
8) Respiratory protection must be suitable and of a type or conforming to a standard
approved by the HSE.
9) In the event of failure of a control measure which may result in the escape of carcinogens,
the employer shall ensure:
Only those who are responsible for repair and maintenance work are permitted in the
affected area and are provided with PPE.
Employees and other persons who may be affected are informed of the failure forthwith.
Regulation 8 Control Measures
Employers shall take all reasonable steps to ensure control measures, PPE, etc. are
properly used, applied.
Employee shall make full and proper use of control measures, PPE etc. and shall report
defects to employer.
Regulation 9 Maintenance of Control Measures

Employer providing control measures to comply with Regulation 7 shall ensure that it is
maintained in an efficient state, in efficient working order and in good repair and, in the case
of PPE, in a clean condition, properly stored in a well-defined place, checked at suitable
intervals and when discovered to be defective, repaired or replaced before further use.
Contaminated PPE should be kept apart and cleaned, decontaminated or, if necessary,
destroyed.
Engineering controls employer shall ensure thorough examination and tests.
Local exhaust ventilation (LEV) - Once every 14 months unless process specified in
Schedule 4.
Others at suitable intervals.
Respiratory protective equipment employer shall ensure thorough examination and tests at
suitable intervals.
Records of all examinations, tests and repairs kept for five years.
Regulation 10 Monitoring Exposure
Employer shall ensure exposure if monitored if

needed to ensure maintenance of adequate control;

otherwise needed to protect health of employees.

Substances/processes specified in Schedule 5.

Records kept if:

there is an identified exposure of identifiable employee 40 years;

otherwise 5 years.

Regulation 11 Health Surveillance

1) Where appropriate for protection of health of employees exposed or liable to be exposed,
employer shall ensure suitable health surveillance.
2) Health surveillance is appropriate if

employee exposed to substance/process specified in Schedule 6;

exposure to substances is such that an identifiable disease or adverse health effect
can result, there is a reasonable likelihood of it occurring and a valid technique exists
for detecting the indications of the disease or effect.

3) Health records kept for at least 40 years.

4) If employer ceases business, HSE notified and health records offered to HSE.
5) If employee exposed to substance specified in schedule 6, then health surveillance shall
include medical surveillance, under Employment Medical Adviser (EMA) at 12 monthly

intervals or more frequently if specified by EMA.

6) EMA can forbid employee to work in process or specify certain conditions for him to be
employed in a process.
7) EMA can specify that health surveillance is to continue after exposure has ceased.
Employer must ensure that this is so.
8) Employees to have access to their own health record.
9) Employee must attend for health/medical surveillance and give information to EMA.
10) EMA entitled to inspect workplace.
11) Where EMA suspends employee from work exposing him to substances hazardous to
health, employer can apply to the HSE in writing within 28 days for that decision to be
reviewed.
Regulation 12 Information etc.
Employer shall provide suitable and sufficient information, instruction and training for him to
know:

Risks to health.
Precautions to be taken.

This should include information on:

results of monitoring of exposure at workplace;

results of collection health surveillance.

If the substances have been assigned a maximum exposure limit, then the employee/Safety
Representative must be notified forthwith if the MEL has been exceeded.
Regulation 13 Arrangements to deal with accidents, incidents and emergencies.
To protect the health of employees from accidents, incidents and emergencies, the employer
shall ensure that:

procedures are in place for first aid and safety drills (tested regularly);
information on emergency arrangements is available;
warning, communication systems, remedial action and rescue actions are available;
information made available to emergency services: external and internal;
steps taken to mitigate effects, restore situation to normal and inform employees;
only essential persons allowed in area.

These duties do not apply where the risks to health is slight or measures in place Regulation
7(1) are sufficient to control the risk.
The employee must report any accident or incident which has or may have resulted in the
release of a biological agent which could cause severe human disease.

Schedule 3 Additional Provisions Relating to Work with Biological Agents.

Regulation 7 (10)
Part 1 Provision of general application to biological agents
1. Interpretation.
2. Classification of biological agents.
The HSE shall approve and publish a categorisation of biological agents according to
hazard and categories of containment which may be revised or re-issued.
Where no approved classification exists, the employer shall assign the agent to one of four
groups according to the level of risk of infection.
Group 1 unlikely to cause human disease.
Group 2 can cause human disease.
Group 3 can cause severe disease and spread to community.
Group 4 can cause severe disease, spread to community and there is no effective
treatment.
3. Special control measures for laboratories, animal rooms and industrial processes.
Every employer engaged in research, development teaching or diagnostic work involving
group 2,3, or 4 biological agents; keeping or handling laboratory animals deliberately or
naturally infected with those agents, or industrial processes involving those agents, shall
control them with the most suitable containment.
4. List of employees exposed to certain biological agents.
The employer shall keep a list of employees exposed to Group 3 or 4 biological agents for at
least 10 years. If there is a long latency period, then the list should be kept for 40 years.
5. Notification of the use of biological agents.
Employers shall inform the HSE at least 20 days in advance of first time use of storage of
Group 2, 3 or 4 biological hazards. Consequent substantial changes in procedure or process
shall also be reported.
6. Notification of the consignment of biological agents.
The HSE must be informed 30 days before certain biological agents are consigned.
Part 2 Containment measures for health and veterinary care facilities, laboratories and
animal rooms.
Part 3 Containment measures for industrial processes.

Part 4 Biohazard sign.

Part 5 Biological agents whose use is to be notified in accordance with paragraph 5(2) of
Part 1 of this Schedule.

Any group 3 or 4 agent, or

Certain named Group 2 agents.
Question 6.

Which regulations require operators of major hazard establishments to take all measures
necessary to prevent major accidents and limit their consequences to persons and the
environment?
Multiple Choice (HP)
Answer 1: Control of Substances Hazardous to Health (COSHH) 2005
Response 1:
Jump 1: This page
Answer 2: Control of Major Accident Hazard Regulations (COMAH)1999
Response 2:
Jump 2: Next page
Answer 3: Control of Industrial Major Accident Hazards Regulations (CIMAH) 1984
Response 3:
Jump 3: This page
6.0 Assessment of Environmental Toxicity.
Principles of environmental toxicity and ecotoxicity testing.
Definition
Environmental toxicology or ecotoxicology studies the effects of chemicals released into the
environment on animals and plants.
Chemicals in the Environment
Many chemicals are released into the environment as a by-product of industrial processes or
as a result of purposeful agricultural or domestic use (as in the case of fertilisers and
pesticides). It is estimated that there are between 20,000 and 70,000 compounds worldwide
in common use; these chemicals may or may not have a toxic effect upon different species.
As Paraclesus, a 16th century scientist said all substances are poisonous: it is the dose that
determines whether they act as a poison or a remedy.
A chemical may be potentially harmful but if there is no exposure to people or wildlife, there
is no risk of harm. Thus, in determining the toxicity of a chemical in the environment, it is
important to establish the exposure to the chemical and the dose received.
6.1 Biological Effects.
It is impossible to predict exactly what will happen when potentially toxic compounds enter
the natural world, so it is essential to monitor the fate of such substances. It is possible to
measure directly the amounts of chemicals in fresh waters, marine waters, in soils or the air,

but it is really the effects of these chemicals on living organisms which are of interest. Thus,
the detection of biological effects (such as hormone disruption or behavioural changes) can
be used to indicate exposure of organisms to toxic levels of substances in the environment.
Such biological effects may also be warning that permanent or extensive damage to the
biota could occur if there is continued exposure to these contaminants. Tests using the
biological response of an indicator organism to pollutants in this way are called bioassays.
There are many advantages to using ecotoxicological tests. Organisms integrate the effects
of pollution over long periods, whereas chemical analyses only provide information about
concentrations at the point in time when the sample was taken. This may not reflect the
levels of contaminant in the animals and plants. Many organisms accumulate chemicals in
their tissues: this is called bioaccumulation. As predators eat their prey, they may gain the
chemicals which have bioaccumulated in the tissues of those prey and hence the chemical
concentration may increase up the food chain: this is called biomagnification.
6.2 Sub-Lethal Effects.
In the past, most attention has been focused on the lethal effects of chemicals, but sublethal
effects in organisms, such as altered reproductive rate, physiological function or behavioural
changes may be just as important in an ecosystem and may predict more dramatic effects in
the future.
Sublethal effects may be seen at the molecular level through to the level of the whole
ecosystem and can be measured using ecotoxicological studies.
There is an increasing level of interest in, and publicly about, those chemicals that cause
hormone disruption in wildlife, but there are many other important sublethal effects of
chemicals, for example, in shellfish exposure to metals and oils interferes with the detection
of waterborne pheromones (chemicals secreted by the organism) used in mating, and many
animals decrease their feeding rate when exposed to contaminants.
6.3 Species to Monitor.
How do we decide which species to monitor in ecotoxicological tests?
In many cases, this may be determined by the ease with which a species can be monitored
and the level of knowledge about certain species. Monitoring those species which are
particularly vulnerable to, and the first affected by, a pollutant may be particularly useful and
act as an early warning system for the effects of pollution on an ecosystem.
Ecotoxicological tests have predominantly been used in fresh and marine waters, although
tests that indicate pollution in soil (e.g. in situ bioassays using the survival of earthworms to
assess contaminated soils) and the atmosphere are also being researched.
6.4 Ecotoxicological Methods.
Ecotoxicological methods are used for a variety of purposes:

to monitor the toxicity of the general environment (for example river water, soil and
air quality);
to determine the toxicity of inputs (which may be single substances or mixtures) to
different animals and plants at different levels in the ecosystem;
to estimate threshold values for concentrations of substances above which damage
to the ecosystem will be incurred (this information may then be used to set standards
for release of the substances) and
to predict the effects of sustained exposure to an effluent or contaminant.

Many different ecotoxicological tests are currently used by the Environment Agency and
other organisations, and more are in development. Some of these are:

The oyster embryo bioassay, where the number of oyster embryos developing
normally into larvae in a water sample is measured. Water samples are removed
from various sites around the coast of the UK and taken to the laboratory, where the
test is performed.
Sublethal toxicity of different chemicals in soil can be assessed using earthworms.
Adult earthworms are placed in a soil sample containing the test substance in
different concentrations and the effects on modality, growth and reproduction of the
worms are measured.
Fish can also be used to give an indication of the levels of chemical pollutants in the
waters in which they live. When oil spills occur, the amount of the enzyme
Ethoxyresorufin-o-deethylase (EROD) increases in fish livers - a biochemical
response to increased exposure to the chemicals in oil.

Following the Braer oil spill, off Shetland in 1993, EROD activity in caged Atlantic salmon
was measured. The results showed that immediately following the spill there was an
increase in amount of the EROD enzyme that correlated with the hydrocarbon levels in the
water. Thus, the amount of this enzyme in fish livers gives an indication of the level of
pollution in the environment by specific contaminants.

Scope for growth is a physiological measurement which determines the health of an

organism based on its energy budget, i.e how much energy is available for growth after all
essential functions have been met.
Mussels around the coast of the UK have been analysed in this way by the Centre for
Coastal and Marine Sciences (Plymouth Marine Laboratory).
Some organisms are unaffected by certain pollutants and different organisms will be affected
to differing degrees, for example, insecticides, which are potent neurologies for insects, do
not have as great an effect on mussels.
Many ecotoxicological tests reveal the effects of pollution but do not tell us which out of
many candidate substances is the cause. These problems may be overcome by using a
suite of ecotoxicological tests which detect different groups of substances. In this way it is
possible to identify contaminant types in a complex mixture, and to identify the most
sensitive pads of the ecosystem. When several tests are used together, it becomes possible
to identify more clearly the effects of specific toxic compounds or specific effluents within
ecosystems.
6.5 New Methods.

The Environment Agency is funding research into the development of a variety of

ecotoxicological tests. For example, the Direct Toxicity Assessment Programme, a
collaborative research and development project, involves research into the use of acute
ecotoxological tests for estimating toxicity of whole effluent and receiving water.
Existing and new ecotoxicological methods are being evaluated and selected for use in
pollution control or environmental monitoring.
It is hoped that a suite of several techniques will be implemented in the future to provide a
comprehensive picture of the biological impacts of pollution.
Question 7.
Biomagnification is .....
Multiple Choice (HP)
Answer 1: The build up of chemicals in an organisms tissue
Response 1:
Jump 1: This page
Answer 2: The increase of chemical concentrations up the food chain
Response 2:
Jump 2: Next page
Question 8.
Bioassays are tests using the biological response of an indicator organism to pollutants?
True/False (HP)
Answer 1: True
Response 1:
Jump 1: Next page
Answer 2: False
Response 2:
Jump 2: This page
6.6 Summary.
Ecotoxicological studies, such as the oyster embryo bioassay, reveal the effect of pollution
on animals and plants. Together with chemical analyses, these studies provide us with a
view of the potential and real dangers to wildlife, and by extension to human health, from
chemicals in the environment.
These studies can help support decisions to be made about the necessary controls that
need to be imposed on the amount and nature of chemicals which are discharged into the
environment, and help to predict possible threats to the health of the environment.

Please be advised that the course material is regularly reviewed and updated on the
elearning platform. SHEilds would like to inform students downloading these printable notes
and using these from which to study that we cannot ensure the accuracy subsequent to the
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Version 1.1c

Element 3 - Control Strategies for Environmental Risk.

Overall Aims
On completion of this unit, candidates will have knowledge and understanding of:

approaches to risk control, including the concepts of Best Practicable Environmental

Option (BPEO), Best Available Techniques Not Entailing Excessive Cost (BATNEEC)
and Best Available Techniques (BAT);
systems approach to environmental risk management;
emergency planning.

Specific Intended Learning Outcomes

The intended learning outcomes are that candidates will be able to:
1. identify appropriate risk control measures;
2. develop a systematic approach to environmental risk management;
3. participate in the development, monitoring and maintenance of emergency plans for
their organisation.

Recommended

tuition

time

not

less

than

hours

Relevant statutory provisions:

Control Of Major Accident Hazards Regulations 1999 and amendments thereto, 2005
HSG 191 Emergency planning for major accidents. Control of Major Accident
Hazards Regulations 1999
Civil Contingencies Act 2004

1.0 Risk Control.

Having first identified the hazards and estimated the risks, the next stage in the process of
environmental management is to install a series of controls. As we have seen previously,
controls can take a number of forms and may embrace both practical and procedural
matters.
By now, you will be aware of the environmental hazards and risks associated with a certain
business, course of action or set of circumstances. You will also be aware of the risk
evaluation process and are now ready to look at the control strategies.
You will be aware that there are several methods used for the evaluation of environmental
risk, some of which are encompassed within legal statutes.
We must look into the appropriate control strategies to reduce the risks to the lowest level
possible. These strategies will be both procedural and physical.
1.1 Assessment to Determine Best Practicable Environmental Option.
In 1988, the Royal Commission on Environmental Pollution produced the following definition
of Best Practicable Environmental Option (BPEO).
The outcome of a systematic consultative and decision-making procedure, which

emphasises the protection and conservation of the environment across land, air and water.
The BPEO procedure establishes, for a given set of objectives, the option that provides the
most benefits or the least damage to the environment, as a whole, at acceptable cost, in the
long term as well as in the short term.
The Report Stresses:

The width of the options to be considered.

The evaluation of the options for their environmental effects early in the decisionmaking process.
That practicable entails the option being in accordance with current technical
knowledge and must not have disproportionate financial implications.
That local derogation to BPEO should not be admitted for social or political reasons.
That it is doubtful whether there is ever a best.

A BPEO Assessment utilises the following framework:

Identification and quantification of all releases.

Whether or not releases will comply with statutory emission limits.
A screening exercise to identify environmentally significant releases.
Whether or not releases will comply with statutory environmental quality objectives in
the foreseeable future.
A determination of the acceptability of the releases.
Identification of the BPEO from a number of environmentally acceptable options.
Identification of the process control and monitoring requirements.

The EPA 1990 enshrined the concept of BPEO as the cornerstone of integrated pollution
control (IPC). For processes that are likely to release substances to more than one medium,
the Act sets the objective that 'best available technology not entailing excessive cost'
(BATNEEC) should be used 'for minimising the pollution that may be caused to the
environment taken as a whole, having regard to BPEO.'
BPEO involves the analysis of alternatives. The preferred option is that which minimises
harm to the environment as a whole, taking account of what is affordable and practicable.
That option will, for a given set of objectives, provide the most benefit (or least damage) to
the environment as a whole, at acceptable costs, in the long as well as the short term. The
concept recognises that in abating pollution, there are often environmental `trade offs` (e.g.
combating air emissions may create other wastes), which need to be considered when
establishing the most appropriate option to implement.
1.2 Best Available Techniques (BAT).
Defined as the most effective and advanced stage in the development of activities and their
methods of operation which indicates the practicable suitably of particular techniques for
providing the basis from emission limit values designed to prevent, and where that is not
practicable, generally to reduce the emissions and the impact on the environment as a
whole
This implies that BAT covers not only the technology used but also the way in which the
installation is operated, to ensure a high level of environmental protection as a whole. BAT
takes into account the balance between costs and environmental benefits; the greater the
environmental damage that can be prevented, the greater the cost for the techniques. It
seems to be halfway between practicable and reasonably practicable as understood in

health and safety law.

A central requirement of the EUs Integrated Pollution Prevention and Control Directive
requires emission (release) limit values for installations covered by the Directive to be based
on best available techniques.
`Best` refers to the most effective technique in achieving a high level of overall
environmental protection;
`Available` means those techniques developed on a scale which allows implementation in
the relevant sector under economically and technically viable conditions;
`Techniques` refers to both the technology used and the way in which the installation is
designed, built, maintained, operated and decommissioned.
An overview of IPPC is available on this link:
http://www.defra.gov.uk/ENVIRONMENT/ppc/ippc.htm
Both BATNEEC and BPEO were replaced by BAT under the IPPC regime during 2007.
Environmental Management Systems
The framework for the ISO 14001: Environmental Management System originated from the
initial 14001 standard, developed in 1996. However, a review of the standard was
undertaken and a new 2004 standard issued. The 2004 edition remains, in essence, the
same as the earlier standard but aims to clarify the 1996 edition and align it more closely
with the 9001:2000 standard. The 2004 standard incorporates some new definitions and
revises others. In a number of cases, the 1996 standard referred to `establish and maintain`
whereas the new standard refers to 'establish, implement and maintain` throughout.
1.2.1 Scope.
It should be noted that the scope in the 2004 standard has been expanded to include other
options for demonstrating conformity:

Making a self-determination or self-declaration.

Seeking confirmation from parties who have an interest in the organisation, for
instance, customers.
Seeking certification or registration of the Environmental Management System (EMS)
by an external organisation.

Stage 2 Planning
Environmental policy (Clause 4.2)
Under the new standard, the policy must now be communicated to all persons working for, or
on behalf of the organisation.
Environmental Aspects and Significant Impacts (Clause 4.3.1)
Aspects under the new standard are required to be documented and must be taken into

account when establishing, implementing and maintaining their EMS.

Legal, Regulatory and Other Requirements (Clause 4.3.2)
The new standard requires that the organisation must determine how legal and other
requirements apply to its aspects.
Objective, Targets and Programmes (Clause 4.3.3)
New clause 4.3.3, as above, merges the 1996 clause 4.3.3: Objectives and Targets, and
clause 4.3.4: Environmental Management Programmes.
The targets should be measurable, consistent with legal and other requirements and
committed to continual improvement.
Resources, Roles, Responsibility and Authority
(Clause 4.4.1)
(Previously structure and responsibility)
In the New Standard, management should `ensure the availability of` sufficient resources
rather than `provide` sufficient resources to ensure that it is implemented and maintained.
The list of resources must now include organisational infrastructure.
Competence, Training and Awareness ( Claus 4.4.2)
(Previously `training, awareness and competence`)
In the 1996 standard, this clause related to `all personnel` but now relates to `any person
performing tasks for it or on its behalf` and now includes contractors working on site - and
other personnel - who might perform an activity that could cause environmental harm.
Contractors and other persons should be included in training programmes where they are
carrying out activities that could have a significant environmental impact.
It is now a requirement for records to be kept of training, education and experience.
EMS documentation and control of documents (clauses 4.4.4 and 4.4.5.)
A new addition to the requirement is that external documents that are necessary to the
system should be identified and controlled.
Monitoring, Measurement and Review
Stage 4 Checking and Corrective Action
Evaluation of Compliance ( Claus 4.5.2)
The clause was originally contained in clause 4.5.1., but has been separated into its own
clause.

The organisation is required to periodically evaluate compliance with relevant environmental

legislation and regulations. The new standard incorporates a requirement to evaluate against
other requirements in addition to legislation and regulations, and to keep a record of the
periodic evaluations.
Non-Conformances and Corrective/Preventive Action (Clause 4.5.3)
(Previously clause 4.5.2)
Control of Records (Clause 4.5.4)
(Previously `Records`, Clause 4.5.3.)
A new requirement is that records should demonstrate `results achieved`
Internal audit (Clause 4.5.5)
(Previously `Audits of the Environmental Management System`, Clause 4.5.4)
Key changes here are the requirement that the audit must address the issue of the retention
of records and that the selection of auditors should be considered to ensure objectivity and
impartiality.
Stage 5 - Environmental Management Review (Clause 4.6)
The following are, under the new standard, the main inputs to the management review:

Results of internal audits and evaluations of compliance with legal and other
requirements.

Communication from external interested parties, including complaints.

The environmental performance of the organisation.

The extent to which objective and targets have been set.

The status of preventative and corrective actions.

Follow-up actions from previous management reviews.

Changing circumstances including developments in legal and other requirements.

Recommendations for improvement.

Outputs include continual improvement, and decisions and actions for necessary changes
to:

the policy;
objectives and targets;
any other element of the system.

Question 1.
The outcome of a systematic consultative and decision making procedure which emphasises
the protection and conservation of the environment across the land, air and water .. is the
definition of.......
Multiple Choice (HP)
Answer 1: Best Available Techniques (BAT)
Response 1:
Jump 1: This page
Answer 2: Best Practicable Environmental Option (BPEO)
Response 2:
Jump 2: Next page
Answer 3: Best Available Techniques Not Entailing Excessive Costs (BATNEEC)
Response 3:
Jump 3: This page
1.3 Risk Reduction Strategy.
Factors to be considered in Selection of the Best Solution for an Organisation Based
on Relevant Risk Data
The risk reduction strategy taken by an organisation will depend on numerous factors, but
will comprise both human and physical (or engineering) controls. Controls should aim,
where the organisation will be complying with the spirit of environmental law, for the
prevention of harm to the environment.
Control Strategies
Control strategies may be procedural or physical.
Some control strategies may be specifically imposed by legislation; others through more
general legislation or as part of EU and UK Government policy.

General Legislation

Legislation covers most areas of environmental management. There is legislation in place to

reduce harm to health and to the environment from air emissions, waste disposal, transport
of chemicals, noise and nuisances, water pollution and protection of wildlife (this list is not
exclusive).

Fiscal Strategies

Fiscal strategies, including levies and taxes are frequently used as a control strategy.
Examples of this include Climate Change Levy, Landfill Tax and Fuel Tax.
Some control strategies are imposed by policy, both governmental and by companies.
The UK Environmental Policy
The UK environmental policy was first set out in its 1990 paper This Common Inheritance.

The UK policy is in accordance with the EU environmental policy and covers all the major
areas of environmental management, including commitments to the following:

Protecting the physical environment.

Using resources prudently.
Controlling pollution.
Combating climate change.
Improving waste disposal and litter controls.
Improving consumer awareness.
Encouraging sustainable forestry.
Controlling pesticides and increasing the contribution of sustainable energy sources.
Improving transport choice.
Reuse of Brownfield sites.
Landscape conservation.
Wildlife preservation.
Drinking water quality.
Wider issues associated with developing countries and biodiversity, ocean
management and protection of polar regions.
1.4 Effects of Government Policy on Control Strategies.

It is government policy to encourage waste reduction and recycling. There is a hierarchy of

controls;

reduce,
reuse,
recover and
responsibly dispose

introduced as part of a waste strategy under Section 92 of the Environment Act 1995. For
this reason, Recycling and Recovery targets were imposed under the Producer
Responsibility Obligations (Packaging Waste) Regulations 1997, amended 2005. This
means that companies are required by law to recycle to a certain degree and produce
documentary evidence that they have done so. Waste and Producer Responsibility are
covered in more detail later.
1.5 The Environment and Insurance.
Most environmental matters will normally be managed through a public liability insurance
policy. However, since 1991 these policies do not give cover for incidents unless they are
sudden and accidental. The ABI (Association of British Insurers) wording is:
This policy excludes all liability in respect of Pollution or Contamination other than caused
by a sudden, identifiable, unintended and unexpected incident, which takes place in its
entirety at a specific time and place during the Period of Insurance.
In practice, this means that pollution from leaking tanks or run-off from contaminated land
would not be covered by a general insurance policy. Further, many policies only cover third
party damages and do not cover own site clean-up, or regulatory authorities orders to clean
up rivers or third party land.
This means that work is required to ensure that these incidents do not occur and insurance
companies may also require or recommend controls to reduce the risk of incidents.
1.6 Policies.

Companies may also impose control strategies in the form of an Environmental Policy.
These policies should be backed up by management systems, appropriate control
procedures and associated information and training. Companies may further develop
specific policies to cover particular areas, such as policies on purchasing, transport or the
use or elimination of certain chemicals which are known to harm the environment, such as
CFCs (Chlorofluorocarbons).
Dependant on the circumstances, a combination of procedural and technical control
strategies will be necessary. Technical knowledge of the chemicals, machinery, etc. is
essential before embarking on a risk reduction strategy. In practice, a review or audit of the
process is necessary as a precursor to determining a control strategy. The subject of
reviews and audits is discussed later in the course.
Physical Controls
In the same way that physical controls can reduce the risk to operators and others in the
field of health and safety, so can they be used to protect the environment.
Here are some examples of physical controls:

Leaks in bulk storage tanks can be contained within a bund.

Spillages can be prevented from reaching a sensitive receptor by spill containment
devices and equipment.
Abatement equipment can be used to collect and treat air emissions.
Effluent treatment plant can be used to prevent untreated effluent reaching the
drains.

Human Factors
Information, instruction, supervision and training are human strategies for controlling risk.
Providing adequate explanations is essential saying why something should be done,
rather than a straight instruction is usually the most successful.
1.7 Practical Measures for Risk Control.
Control strategies for environmental risks follow a similar pattern and approach to those for
health and safety risks. Any hazardous material released into the workplace may also
present a risk to the environment. As we have seen in the preceding sections, the
environment also presents additional problems due to individual surroundings and
sensitivities. However, there are broad strategies of approach to be considered.
In general, the following strategy should be adopted:

Elimination is where the substance used or the process can be stopped, shut down or an

alternative, less hazardous process substituted. As an example, it may be possible to

eliminate detergent from a vehicle cleaning process.
Substitution is where a less harmful substance is used and requires an awareness of
potential conflicts between health and safety and the environment when carrying it out.
Reduction of emissions and changes to the process may be possible by making
adjustments and using the same substance, but in smaller quantities.
1.8 Strategy Applied Specifically to the Environment.
The Waste Hierarchy is used as a waste management risk reduction strategy; the
Environment Act 1995 uses the following:

Question 2.
The correct hierarchical order of the waste strategy is...
Multiple Choice (HP)
Answer 1: Re-use, recycle, reduce, recover
Response 1:
Jump 1: This page
Answer 2: Recover, re-use, recycle, reduce
Response 2:
Jump 2: This page
Answer 3: Reduce, re-use, recycle, recovery
Response 3:
Jump 3: Next page
Question 3.
Companies environmental policy should be backed up by management systems, appropriate
control procedures and associated information and training.
True/False (HP)
Answer 1: True
Response 1:
Jump 1: Next page

Answer 2: False
Response 2:
Jump 2: This page
2.0 Systems Approach to Environmental Risk Management.
Most organisations adopt a systematic approach to the management of their day-to-day
operations. Over the years, the different elements of such systems have become more
defined, and standardised approaches have been developed to help organisations to
manage certain functions, for example quality.
In the early 1990s, work was initiated by the British Standards Institution (BSI) to develop an
EMS specification which was first published as BS 7750 (BSI, 1992). National EMS
standards were also published in Spain and Ireland.
At around the same time, the European Commission was developing the Ecomanagement
and Audit Scheme (EMAS), which was similar to BS 7750, but included some additional
requirements. The requirements of EMAS were published as Council Regulation 1836/93 in
1993 (EC, 1993).
Following publication of BS 7750, the International Organisation for Standardisation (ISO)
developed ISO 14001 Environmental Management Systems Specification and
Guidance for Use (ISO, 2004).
Its adoption as a European Standard by the European Committee for Standardisation (CEN)
meant that in Europe, all similar national standards were required to be withdrawn.
More recently, a new British Standard, BS 8555 for the phased implementation of
Environmental Management Systems has been published (BSI, 2003). It provides a
staged way for organisations to implement an EMS and achieve accredited certification to
ISO 14001 and registration to EMAS; it is primarily (but not exclusively) aimed at small and
medium sized enterprises.
Any organisation that has more than a few employees needs to have management systems
in place in order to conduct its affairs rationally. The ISO 14000 set of standards and
guidelines defines a core environmental management system and the auditing procedures
necessary for verification. Accompanying the standards is material that defines how
conformity to the standards will be assessed. ISO 14000 standards do not define the specific
environmental performance goals that an organisation should attain. These are left to the
organisation itself.
The international business community has been at the forefront of the development of the
ISO 14000 series of standards and has sought to develop standards for environmental
management that are compatible with those previously developed in ISO for quality
management (the ISO 9000 series).
If a standard for the environmental management systems were to be accepted by the
business community, it must be compatible with ISO 9001. The two standards (ISO 14001
and ISO 9001) show great compatibility as regards the management systems principles:
plan, do, check, act.
The Denning circle, as these principles are so called, basically ensures good control of
critical business activities according to plan, check whether the predetermined requirements

are met and where necessary, make corrections.

2.1. The Drivers Behind the Development of ISO 14001.

There were two drivers behind the development of ISO 14001:
In 1992, the United Nations Conference on the Environment and Development (UNCED: the
Earth Summit) and the Business Council for Sustainable Development (BCSD) came to the
conclusion that the International business community would need to develop International
Standards on environmental performance to ensure that companies operating around the
world could do so on a level playing field.
The Committee Platform ISO Providers for Consumer Interests (COPOLCO) wanted
harmonisation of product eco labelling at an International level.
ISO established the Strategic Advisory Group on Environment (SAGE) to investigate all
areas of environmental management and performance where the development of
International standards might be beneficial to the business community.
SAGE recommended to ISO the establishment of a technical committee.
1993 ISO set up a new technical committee ISO/TC207 Environmental Management to
develop standards proposed by SAGE and to investigate the possibility of developing further
supporting standards. The committee consisted of six subcommittees and one working
group ISO/TC207 and therefore the scope of the ISO 14000 series covers 'standards in the
field of environmental management tools and systems'.
The structure of ISO 14000 series of standards is as follows:

Explicitly excluded from this scope are the setting of environmental performance levels, the
standardisation of products, setting limit values regarding pollutants and effluents and test
methods for pollutants (because they are dealt with by other technical committees).
ISO 14000 series will not interfere with any national environmental legislation, but should
aim to control their environmental aspects and improve their environmental performance.
Of central importance in the ISO 14000 series are the environmental management system
standards ISO 14001 and ISO 14004.
CORE REQUIREMENTS - ISO 14001
ISO 14001 is the most widely used EMS standard, and is one of a broad range of
environmental management standards in the ISO 14000 series.
A revised edition of ISO 14001 has been published. An EMS is defined in the revision to the
standard (ISO, 2004) as:
'Part of an organisation's management system used to develop and implement its
environmental policy and manage its environmental aspects'.
Note 1 to the definition states, 'A management system is a set of interrelated elements used
to establish policy and objectives and to achieve those objectives'.
Note 2 states 'A management system includes organisational structure, planning activities,
responsibilities, practices, procedures, processes and resources'.
ISO 14001 provides an organisation's management with a structured framework for

identifying, evaluating, managing and improving its environmental performance. The 14000
family of EMS standards uses the term 'organisation' to describe the entity that falls within
the scope of an EMS . 'Organisation' is defined as 'company, corporation, firm, enterprise,
authority or institution, or part or combination thereof, whether incorporated or not, public or
private, that has its own functions and administration'. This gives a great deal of flexibility
over where the boundaries of the EMS can be set.
A proactive approach to environmental management, implementing an Environmental
Management System (EMS) enables companies to reduce their risks and liabilities, whilst
enhancing their corporate image with the public, customers and investors. The elements
required for an EMS are embodied in environmental quality standards BS 7750 or more
probably ISO 14001.
2.2 ISO 14001.
This standard specifies the requirements for an environmental management system ( EMS )
against which an organisation may be certified by a third party. This includes:
1. The development of an environmental policy.
2. Identification of environmental aspects.
3. Establishment of relevant legal and regulatory requirements.
4. Development of environmental objectives and targets.
5. Implementation of an Environmental Management System (EMS) including training,
documentation, operational control and emergency preparedness and response.
6. Monitoring and measurement of operational activities, including record keeping.
7. EMS audit procedures.
8. Management review of an EMS to determine its continuing suitability, adequacy and
effectiveness.
2.3 The Development of an Environmental Policy.
An organisation should define its environmental policy. The Environmental Policy is the
documented statement of commitment from top management. This policy sets the overall
EMS intentions of the organisation and contains a commitment to prevention of pollution and
to continuous improvement.
Each Environmental Policy is unique to an organisation, is communicated to all employees
and is made available to the public. This Policy is the starting point for setting the
organisation's EMS objectives and targets. It must be:

appropriate to nature, scale and environmental impacts of the organisation;

related to activities, products and services;
commitment to continual improvement and prevention of pollution;
compliance with laws, regulations and other subscribed-to requirements;
framework for setting and reviewing environmental objectives and targets;
documented, implemented, maintained and communicated to all employees;
made available to the public.

Central to an EMS is the environmental policy. The environmental policy is a declaration of

the organisation's overall aims and principles with respect to the environment, as defined by
its senior management. It must include a commitment to the continual improvement of
environmental performance and to compliance with environmental, legal and other
requirements. The policy must also be publicly available.
All organisations have, to some extent, an effect on the environment. The policy should
recognise this, giving emphasis to those effects that are the most significant. The policy
should also be used to communicate aims and objectives to employees and other interested
parties including shareholders, customers and suppliers.
In the case of a multi-site operation, there may be a number of group or divisional operating
statements which, when combined, represent the view of the company as a whole. The
organisation's environmental policy may be integrated with its other policies (e.g. health and
safety, quality) or it can be a standalone document.
In order to demonstrate the commitment of senior management to the environmental policy,
it is often signed by the organisation's chairman or chief executive. The following
environmental policy example below is taken from Greenacres and Company, carpet
manufacturers:

Question 4.
Which of the ISO standards was developed for Environmental Management systems?
Multiple Choice (HP)
Answer 1: ISO 900
Response 1:
Jump 1: This page
Answer 2: ISO 1300
Response 2:
Jump 2: This page
Answer 3: ISO 1400
Response 3:
Jump 3: Next page
2.4 Planning & Identification of Environmental Aspects & Impacts.
An organisation should formulate a plan to fulfil its environmental policy.

At the stage where the requirements which an organisation must meet are determined,
objectives and targets are set and a programme to achieve the targets and objectives is
developed.
Environmental Aspects
Environmental aspect: Element of an organisation's activities, products or services which
can interact with the environment. A significant environmental aspect can have a significant
environmental impact.
Environmental impact: Any change to the environment, whether adverse or beneficial, wholly
or partially resulting from an organisation's activities, products or services.
An organisation needs to review their operations, activities, products and services to identify
which may have an interaction with the environment. This identification of the environmental
aspects includes those which occur during normal business operations, abnormal conditions,
incidents and future activities. When the aspects are identified, the organisation needs to
determine which aspects have, or can have, a significant impact on the environment. The
key points are:
1. What are the environmental aspects of the organisation's activities, products and
services?
2. Do they create any significant environmental impacts?
3. Is there a procedure for evaluating impacts of new projects?
4. Does the location demand special consideration?
5. How will changes affect aspects and impacts?
6. How significant or severe are potential environmental impacts should a process
failure occur?
7. How often could a scenario lead to the impact?
8. What are the significant aspects considering impacts, likelihood, severity and
frequency?
9. Are the significant environmental impacts local, regional or global in scale?
The organisation should:

Step 1 select activity or process - large enough for examination, small enough to be
understood.
Step 2 identify aspects - as many as possible.
Step 3 identify impacts - as many as possible, actual or potential, positive and
negative.
Step 4 evaluate significance of impacts.

A key element of an EMS is the process of identifying and evaluating the organisation's
impacts on the environment, and its activities, products and services that cause them
environmental impacts may be positive or negative, beneficial or adverse. They are referred
to as 'environmental aspects' in ISO 14001. The evaluation is important as it ensures that
the EMS is focused on the environmental issues that really matter (those that are most
significant) and that resources and management time are concentrated on controlling and
improving them.
The identification of significant environmental aspects needs to take account of the
legislative, regulatory and other environmental requirements that affect the organisation.
These may be pollution control permits, laws and regulations relating to the disposal of

waste, or contractual requirements that specify environmental criteria required by customers

of the organisation.
For each of these significant environmental aspects, it is important that the EMS is set up to
provide assurance to management and others who might have an interest (e.g.
environmental regulators and customers) that these are being properly managed and the
organisation is able to comply with the requirements. It is good practice to consult with key
stakeholders to identify what their expectations are for your environmental performance.
They might have useful information and the consultation process might help to prioritise the
most important issues to address in your EMS .
When establishing an EMS, many organisations undertake an environmental review. The
environmental review is a systematic process to:

determine the impacts the organisation has on the environment and which of them
are significant;
understand which of its activities, products and services cause the significant
impacts;
know which of its activities, products and services are covered by environmental
legislation and regulations, whether it is complying with them and whether this can be
sustained on an ongoing basis;
know the extent to which it is controlling its significant environmental aspects and
whether effective controls are already in place; and
be in a position to develop objectives and targets for environmental improvement and
implement additional operational controls where they are necessary.

An easy way to get started on the environmental review is to map out the boundaries of the
EMS and highlight areas where there are environmental considerations. These could include
internal and external drainage plans, chemical storage points, location of waste skips,
chimney stacks from boilers and the nearest neighbours. Alternatively, if the EMS doesn't
lend itself to being identified on a map (this is particularly the case for service organisations),
a process flow diagram highlighting inputs and outputs might be more appropriate.
The EMS should address your direct and indirect environmental aspects. Direct aspects are
those caused as a direct result of the organisation's operations, whereas indirect aspects are
those over which the organisation has influence, but no direct control. Examples of
environmental aspects include:

emissions to air;
releases to water;
disposal of waste and contamination of land;
use of energy, raw materials and natural resources;
land use and habitat loss;
disposal of the organisation's products by customers; and
environmental performance of contractors and suppliers.

Consideration should be given to impacts caused during normal and abnormal operating
conditions and periods of maintenance and shutdown, and to significant environmental
impacts that could occur during emergencies. Once impacts have been identified, their
significance should be evaluated.
Question 5.
The company environmental policy is

Multiple Choice (HP)

Answer 1: Communicated to all employees
Response 1:
Jump 1: This page
Answer 2: Unique to the orgnisation
Response 2:
Jump 2: This page
Answer 3: Made available to the public
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
2.5 Assessing Significance.
Assessing the significance of an environmental impact is one of the most difficult parts of
environmental management. There are many different tools and techniques and, frequently,
more than one approach can be used for a given situation. In many circumstances,
professional judgement will play an important role in determining how to address significance
and this can be helped through consultation with appropriate stakeholders. The significance
of an environmental impact can be assessed through consideration of:

size, nature, frequency, likelihood and duration of the environmental impact;

the sensitivity of the receiving environment and the extent to which the impact is
reversible;
the extent to which the impact (or the activity, product or service which causes it) is
covered by environmental laws and regulations, or contractual requirements and
the importance of the impact to interested parties for example employees, neighbours, regulators.

It is important that the criteria for evaluating significance are clearly defined and that the
procedure and outcome are capable of being replicated by someone else. Some
organisations develop risk matrices to help them evaluate the significance of an environmental impact and to prioritise its relative importance; however, care should be taken to
ensure that all significant impacts are identified and that there is a robust means of allocating
the scores.
2.6 Establishment of Relevant Legal & Regulatory Requirements.
The organisation must identify and have access to legal and other requirements which apply
to the organisation's environmental aspects.
Development of environmental objectives and targets.
The results of the environmental review and the evaluation of the significance of the
environmental impacts are used to identify operational control measures and to set
objectives and targets for environmental improvement. Objectives and targets need to relate
to the organisation's environmental policy and its environmental aspects. All significant
environmental aspects will require operational controls to ensure that actions are carried out
as planned and some of them will require objectives and targets for improvement, within the

EMS .
Objectives are broad-based environmental goals that the organisation sets itself for
environmental management and improvement. They may relate to a specific environmental
issue, for example:

to reduce the overall amount of solid waste produced over the next five years by 25
per cent; or
to manage issues that will help to deliver the policy for example to ensure that all
employees receive appropriate environmental training by the end of the financial
year.

Targets are detailed performance requirements that need to be met in order to achieve the
objectives. A number of targets might be required to achieve a particular objective. In some
cases, objectives and targets might relate to the need for further research and analysis on
how to achieve improvements. Where possible, objectives and targets should be SMART

specific,
measurable,
achievable,
relevant and
time related.

This will help to track progress and ensure that achievements are being realised.
The environmental programme turns the environmental objectives and targets into practical
actions that can be taken to improve the organisation's environmental performance. The
programme should identify individual responsibilities and the means to achieve the defined
objectives and targets within the specified time scales. It should translate the commitment to
continual environmental improvement set out in the environmental policy into practical
actions.
2.7 Implementation of an Environmental Management System (EMS).
The organisation's management will need to assign tasks to people so that everyone knows
what has to be done. It is vital, if the system is to operate effectively, to know who does
what, how, when and with what authority.
Whatever the size of the organisation, the activities of all employees will have an impact on
the environment. Directly or indirectly, significant or small, everyone can contribute positively
by innovating with new ideas, changing behaviour and involving other people.
This will require information, training and the development of new skills. Different people in
the organisation will need different types and levels of training: some will require general
environmental awareness training; others training as auditors; the design team might need
training on how to integrate environmental considerations into new product designs. The key
is to make sure that people are given the knowledge and skills to fulfil their roles in the EMS
and to be able to achieve the environmental targets and objectives for which they have been
assigned responsibility.
Roles, responsibilities and authorities of personnel whose activities have, or may have, an
impact (directly or indirectly) on the environment need to be defined, documented and
communicated throughout the organisation. The organisation must provide adequate

resources for the implementation and maintenance of the EMS .

One or more individuals need to be appointed by top management as the Management
Representatives. Irrespective of other responsibilities, the Management Representatives are
given the responsibility and authority for ensuring that the EMS complies with ISO 14001
and for reporting on the performance of the EMS to top management.
The organisation needs to identify training requirements of personnel whose work may
create a significant impact upon the environment and ensure that these personnel have
received appropriate training. Awareness is required for all personnel throughout the
organisation of the Environmental Policy, the EMS programme and procedures and the
actual or potential impact of their activities on the environment.
The competence of personnel performing activities which might have significant
environmental impacts needs to be determined by the organisation through education,
appropriate training and/or experience, as required.

All relevant personnel to receive appropriate training.

Train on requirements of the system and on potential consequences of denature.
Competency, based on education, training or experience.

The organisation needs to identify its potential for accidents and emergency situations. The
organisation must have procedures for the appropriate response to accidents and
emergency situations which include the prevention and mitigation associated with the
environmental impact. Emergency plans and procedures need to be developed,
communicated and tested to help the organisation in ensuring that any unexpected incidents
are effectively and efficiently responded to by internal and external personnel.
An EMS relies on good communications for it to be effective. Internal communication needs
to ensure that people are kept up to date with how progress is being made against
environmental objectives and targets, and that they are able to influence the development of
the EMS and environmental improvement programmes. External communications help to
ensure that stakeholders are kept informed of the organisation's progress and can be
engaged in the improvement process.
The EMS must be documented and procedures need to be established to ensure that
everyone knows how the system operates and what is required. Documents should be kept
up to date and controlled so that only the most recent versions are available for use.
Procedures should be established to ensure that activities are carried out in the appropriate
manner.
ISO 14001 doesn't require extensive documentation. Long narrative procedures may be
required in some circumstances, but a flow diagram might be equally effective in ensuring
that a task is carried out properly. Wherever possible, organisations should build on existing
systems and integrate environmental issues into them, rather than developing them
separately.
Question 6.
For the Environmental Management System (EMS) to operate effectively it is vital to assign
tasks to people so that everyone knows who does what, how, when and with what authority..
True/False (HP)
Answer 1: True

Response 1:
Jump 1: Next page
Answer 2: False
Response 2:
Jump 2: This page
2.8 Monitoring & Measurement of Operational Activities, Including Record Keeping.
Information on the environmental performance of the organisation is essential if it is to track
progress against its environmental objectives and targets. Without reliable and robust data, it
cannot be sure that it is in control of its environmental performance, or that performance is
improving as intended.
In many cases, the organisation will already be carrying out measuring and monitoring
activities, for example as a requirement of a pollution control licence, and should build on
these in its EMS.
One of the important requirements in ISO 14001 is for organisations to carry out a periodic
evaluation of legal compliance. This is a key task, which will help to inform the organisation
on its performance against environmental laws and regulations and provide information on
whether it is adhering to its environmental policy. The frequency with which the organisation
carries out the periodic evaluation should depend on the potential environmental impacts of
the activity, with the most significant being checked more often than those of lesser
importance. However, it is advisable to ensure that compliance checks are carried out at
least on an annual basis.
2.9 EMS Audit Procedures.
Auditing helps to determine whether the planned elements of the EMS are being
implemented as intended and that the EMS is functioning as planned. It also provides
information to management on the overall performance of the system.
A Management review of an EMS is undertaken to determine its continuing suitability,
adequacy and effectiveness.
The EMS operates as a cyclical process of identifying, improving and checking. Periodic
reviews by management ensure that the EMS is achieving the desired outcomes and that
the environmental policy is being implemented. It will also provide a means for management
to review the organisation's environmental performance trends to ensure that performance is
being improved.
2.10 EMS Certification & Accreditation.
Organisations may decide to have an external body confirm that their EMS meets the
requirements of ISO 14001; this is known as certification. Certification is not mandatory ISO 14001 does allow organisations to self-declare that they have met all of the
requirements of the standard. However, there are a number of benefits that can be gained
by an organisation having its EMS externally certified, including:

confidence that the EMS meets recognised requirements and standards;

a means of maintaining momentum and helping to keep the EMS 'alive' and dynamic
and driving forward the process of continual improvement;
a fresh pair of eyes to review the EMS and the way that it functions; and
the potential for recognition for their achievements from third parties, such as

customers and environmental regulators.

While organisations use ISO 14001 as the specification for the EMS, certification bodies use
ISO Guide 66 (ISO, 2003) as the specification for how they should operate. This is published
as ISO 17021: Conformity Assessments - Requirements for Bodies Providing Audits &
Certification of Management Systems.
In order to ensure that certification bodies undertake their EMS assessments in a similar and
comparable way and that certificates issued by different certification bodies are equivalent, a
process of accreditation has been established. National accreditation bodies undertake
assessments to ensure that certification bodies carry out their assessments appropriately
and use competent people. In the UK, the United Kingdom Accreditation Service (UKAS,
2004) is the national accreditation body.
An International Accreditation Forum (IAF) has been established to ensure consistent
standards between accreditation bodies, which is achieved through a process of peer
review. The IAF has published guidance to help participating accreditation bodies undertake
their work (IAF, 2001). Accredited certification to ISO 14001 is usually the only form of
recognition that is given by customers and regulators, so you should check that your
certification body is accredited through the IAF process.

Diagrammatic Representation of ISO 14001: Environmental Management System

2.11 ISO 14004.
This standard was developed by ISO to provide additional guidance for organisations on the
design, development and maintenance of an EMS. This was not intended to be certified
against.
ISO 14004 acts as a stepping stone to the specification for many organisations. It includes
details of:

internationally accepted principles of environmental management and how they can

be applied to the design and development of all the components of an EMS;

practical examples of issues an organisation will need to ensure that they have
addressed in the design of the EMS, including guidance on how to identify the
environmental aspects associated with their activities, products and services;

practical help section to provide an organisation with assistance in navigating the

various stages of an EMS, design, development, implementation and maintenance;

support tools needed to ensure that the environmental management system meets
the requirements of the organisation, is properly implemented and that the desired
outcomes are achieved.

14004 Environmental Management Systems/Guidelines on Principles, systems and

Supporting Techniques provides assistance to organisations initiating, implementing, or
improving an EMS. This document outlines the elements of - and provides practical advice
on implementing or enhancing - such a system. The EMS principles include identification of
applicable regulatory requirements, commitment to continual improvement and evaluating
environmental performance on a regular basis.
There are also standards on environmental auditing and one on environmental performance.
2.12 Auditing Standards.
The following is an example of an auditing standard:
ISO

19011:2002

Guidelines

for

environmental

auditing

General

principles.

This standard replaced the previously used 3 standards:

ISO 14010 auditing guidelines.
ISO 14011- auditing procedures.
ISO 14012 Guidance on minimum qualification criteria for environmental auditors.
These are support tools allowing an organisation to monitor whether its EMS conforms to
planned arrangements, to monitor its effectiveness and suitability and suggesting how the
data gathered during an audit may be formatted for presentation to management.
The environmental audit is an independent verification of whether the environmental
management system conforms to specified criteria. This is usually conducted by a third party
within a framework of a certification procedure.
The main requirements are:

Definition and documentation of the organisational structure.

Drawing up an inventory of releases, wastes, energy; raw materials usage to be
documented.
Inventory of legislative and regulatory requirements.
Environmental effects assessment.
Setting objectives and targets.
Environmental management plans.
Management, documentation and records.

Environmental audits; audit plan plus reports and follow-ups.

Verification and testing.
Personnel factors of awareness, training and qualifications.
2.13 Environmental Improvement Targets - Essential for Spurring Change &
Measuring Achievement.

A good target has five elements:

1. Quantifiable allowing measurements of progress, and clearly defined completion.
2. Defined time-scale preferably no more than a year or two.
3. Defined responsibilities achieving a target has to be someones job.
4. Integration with the main business planning cycle this ensures that environmental
targets dont get trampled by commercial priorities.
5. Publication a target which can be swept under the carpet is worse than useless.
Publication brings commitment and focus.
Certification audits are conducted at an advanced stage in the development and
implementation of EMS. They include a detailed review of the internal audit programme but
are not intended to duplicate the internal audit which has its own important purpose in
checking that the EMS has been properly implemented and maintained.
EMS certification audits are traditionally conducted in two phases in accordance with the
guidance specified by UK accredited services. These phases may be combined: however,
they have distinct purposes - 'do as required' and 'do as you say'.
Phase 1: An organisation, or site for EC Eco-Management Audit Scheme (Regulation
1836/93) (EMAS) is expected to comply with specified requirements as set out in ISO 14001
or EMAS and with current legislation.
Phase 2:
Auditing Standards
14013 Management of Environmental Audit Programmes.
14014 Initial Reviews.
14015 Environmental Site Assessments.
14020 Goals and Principles of All Environmental Labelling.
14021 Terms and Definitions for Self-Declaration of Environmental Claims.
14022 Symbols.
14023 Testing and Verification Methodologies.

14024 Environmental Labelling - Practitioner Programmes - Guiding Principles, Practices

and Certification Procedures of Multiple Criteria Programmes.
14030 Environmental Performance Evaluation (EPE) Standards.
14031/32 Evaluation of the Environmental Performance of the Management System and its
Relationship to the Environment.
14040/43 Life Cycle Assessment (LCA) General Principles and Practices - Inventory
Analysis/impact Assessment/interpretation.
14050 Glossary.
2.14 The Benefits of Environmental Management Standards.
Operational

Identify and correct problems internally before they are discovered externally.
Will cut down on ''bureaucracy'' by eliminating conflicting national standards and
replace them with one internationally accepted standard.
Provide efficiency, discipline and operational integration with ISO 9000.
Ensures greater employee involvement in business operations.
Easier to obtain operational permits and authorisations.
Aid in developing and transferring technology.
Will help to reduce pollution.
Meet industry peer pressure to obtain registration.
Create a benchmark of current practices with consistent methodology.
Aids in creating a high-quality workforce.
Provide evidence of due diligence.

Marketing

Demonstrates to customers that the organisation is meeting environmental

expectations.
Public relations benefit by being able to communicate a commitment to providing a
safer, cleaner, healthier environment for all concerned parties.
Meets potential national and international government purchasing requirements.
Gain awareness, recognition and understanding in worldwide markets.
Profit from marketing ''green'' products.
Provides a competitive marketing tool.
Improve international competitiveness.
Enhancing market share.
Enhancing image.

Financial

Improves relationship with insurance companies resulting in obtaining pollutionincident coverage at best possible rates.
Elimination of costs associated with meeting conflicting national standards.
Process cost savings by reduction of input materials and energy.
Satisfying investor/shareholder criteria.
Help to reduce liability and risk.
Improved access to capital.

Regulatory

Demonstrates a commitment to governmental authorities that the organisation is

moving beyond compliance and pursuing continual improvement.
Have a probative and improved environmental programme.
Potential benefits include:

Reduction
or
elimination
of
compliance
audits.
- Reduction or elimination of costs associated with compliance audits.
- Recognition of due diligence - reduction or elimination of fines associated with
environmental
violations.
Preferred
government
supplier
status.
Reduced
monitoring
and
reporting
requirements.
- Faster track for authorisation/consents etc.
Certification Benefits

Communicates evaluation and acceptance by an accredited, third-party professional

organisation.
Negates 'conflict of interest' claims associated with organisations that ''self-declare''
the status of their programmes.
Validates the integrity of an organisation's claims.
Provides organisations with an unbiased review of their programmes, policies, etc.
Addresses an anticipated requirement between customers and suppliers.
Addresses an anticipated requirement to compete in international markets.
Addresses an anticipated requirement of international and national and local
government purchasing departments.

Debate continues about the role of management systems in improving environmental

performance.
It is true that the ISO EMS standards do not set or require standardised performance values.
It is also true that two companies who implement and are registered to ISO 14001, and who
have the same certificate to show to their customers, may be performing two quite different
performance standards.
It is true that the continual improvement required by ISO 14001 is improvement of the
management system itself and not of environmental performance.
It is also true that proponents of the ISO 14000 series justify this approach by claiming that a
systematic approach will necessarily result in improved performance and that an improved
system will improve performance yet again. If the real goal is environmental performance
improvement, it can only be achieved if the indirect approach of ISO 14000 succeeds.
ISO 14000 can succeed in what it sets out to do, However, it does not set out to do
everything. It must be complemented by a mechanism that sets performance requirements whether that mechanism is voluntary or mandatory.
The standards as written require as a minimum a commitment to comply with regulatory
requirements. Thus, although two registered companies may be meeting different
performance standards, they are still meeting what is required by law. ISO 14000 provides a
high level of assurance that they are managing that obligation successfully. A customer or

regulator will have greater confidence in a company with ISO 14000 over one without.
There is also value in a systems approach. Addressing environmental problems on an issue
basis may produce unexpected outcomes. It is also more difficult for a business to
incorporate single issues into a business strategy. A response to a single issue is too likely
to become a cost rather than an investment. When an organisation systematically reviews all
of its environmental aspects and impacts and integrates this understanding into its business
planning process it is more likely to have an affect on what and how things are done. It has
the chance of becoming part of the culture, not merely another irritant.
2.15 EMAS Eco-Management & Audit Scheme.
The Eco-management and Audit Scheme (EMAS) is a voluntary initiative designed to
improve organisations' environmental performance. It was initially established by European
Regulation 1836/93 (EC, 1993) although this has been replaced by Council Regulation
761/01 (EU, 2001).
The scheme is open to any type of organisation from any economic sector. EMAS uses the
same definition of 'organisation as ISO 14001. The scheme applies in the European Union
(EU); but at the time of writing, the EU is considering allowing organisations from anywhere
in the world to participate. Participation in EMAS is voluntary.
The overall aim of EMAS is to recognise and reward those organisations that go beyond
minimum legal compliance and continually improve their environmental performance. In
addition, it is a requirement of the scheme that participating organisations regularly produce
a public environmental statement that reports on their environmental performance. It is this
voluntary publication of environmental information, whose accuracy and reliability has been
independently checked by an environmental verifier, that gives EMAS and participating
organisations enhanced credibility and recognition.
Participating organisations are required to implement an EMS that meets the requirements
of ISO 14001. In addition, they are required to ensure that:

they comply with legal requirements as a minimum and demonstrate the ability to do
so on an ongoing basis;
the organisation's environmental performance improves over time;
dialogue takes place with interested parties over their environmental performance,
and they publish a publicly available environmental statement; and
employees are involved in the process of continual improvement of environmental
performance.

To ensure that the scheme's requirements have been met, organisations are required to
have their EMS verified by an independently accredited environmental verifier. The verifier is
required to validate the reliability, credibility and correctness of the data and information in
the environmental statement, and the environmental statement must include the following:

A clear and unambiguous description of the organisation registering under EMAS

and a summary of its activities, products and services and its relationship to any
parent organisations as appropriate.
The environmental policy and a brief description of the EMS of the organisation.
A description of all the significant direct and indirect environmental aspects that result
in significant environmental impacts of the organisation and an explanation of the
nature of the impacts as related to these aspects
A description of the environmental objectives and targets in relation to the significant

environmental aspects and impacts.

A summary of the data available on the performance of the organisation against its
environmental objectives and targets with respect to its significant environmental
impacts. The summary may include figures on pollutant emissions, waste generation,
consumption of raw material, energy and water and noise as well as other aspects
indicated in Annex VI. The data should allow for year by year comparison to assess
the development of the environmental performance of the organisation.
Other factors regarding environmental performance including performance against
legal provisions with respect to their significant environmental impacts.
The name and accreditation number of the environmental verifier and the date of
validation.

The organisation is then required to apply for registration. The application must be made to
the organisation that deals with EMAS registrations in their particular member state, known
as the competent body. In the UK, the competent body is the Institute of Environmental
Management and Assessment (IEMA, 2004).
The competent body will check that the application is complete and consult with the
environmental regulators to ensure that the organisation is complying with relevant laws and
regulations. Provided that these checks are satisfactory, the organisation will be added onto
the
register.
The
EU
EMAS
register
can
be
found
at
http://ec.europa.eu/environment/emas/index_en.htm
Registered organisations may use EMAS logos to promote their achievements and their
participation in the scheme. The two versions of the logo are shown in Figure below. Version
1 indicates that the organisation is registered whereas version 2 indicates that the
information associated with the logo has been independently validated.

2.16 Lifecycle Assessment.

In order to assess the environmental impact of a product properly and to be able to compare
alternative products with one another, the lifecycle assessment (LCA) tool has been
developed. This is referred to in greater detail in Element 2 of the course, Section 4.0 and
subsequent.
An LCA is a systematic way of evaluating the environmental effects of a product using a
'cradle to grave' approach in which all the life stages of a product from raw material usage to

final disposal are taken into account.

There is a great need for objective information to be able to make choices from an
environmental perspective between products and materials and in product design.
Lifecycle assessment studies have often produced as many different results because of the
different LCA methodologies available. The need for harmonisation in this area has proved
that it is a typical subject for standardisation.
Subcommittee 5 of ISO/TC207 is working on a series of standards on the subject of Life
Cycle Assessment. ISO 14040, Life Cycle Assessment: Principles and Framework, is a
general document that provides the principles and general framework for LCA. ISO 14040
addresses issues such as:

Terms and definitions in the field of LCA.

The various phases of an LCA.
The methodological framework for the various phases.
Reporting and critical review of LCAs.
Question 7.

Auditing helps determine whether the planned elements of the Environmental Management
System are being implemented as intended and whether the system is functioning as
planned?
True/False (HP)
Answer 1: True
Response 1:
Jump 1: Next page
Answer 2: False
Response 2:
Jump 2: This page
Question 8.
Certification to ensure your Environmental Management System meets the requirement of
ISO 14001 is mandatory
True/False (HP)
Answer 1: True
Response 1:
Jump 1: This page
Answer 2: False
Response 2:
Jump 2: Next page
3.0 Emergency Planning Introduction.
Whilst emergency planning is a requirement of an EMS, it is also a necessity under certain
legislation, such as an Authorisation under EPA 1990 or a Permit under the Pollution
Prevention and Control Regulations 2000, where certain conditions require preparations
to be made in the case of emergency conditions arising.

These conditions may arise from a variety of different circumstances.

Natural Events
Natural events such as high winds, storms or excessive rainfall can cause emergency
conditions to arise at a factory, for example:

Winds may cause wind-blown dust.

Rain can cause flooding or prevent discharges flowing away easily.
Storm sewers may overflow.

Spillages and Containment Failure

Spillages can be caused by a variety of circumstances, for example:

Road traffic accidents.

Failure of pipes, hoses or other equipment.

Once again, an analysis of the risks should be carried out. A source-pathway-target analysis
should identify the pathways and targets. Appropriate emergency procedures and equipment
should then be put in place to reduce the risk to a condition which is as low as practicable.
The amount (and cost) of risk reduction measures will depend on the potential damage that
could be done if the substances escaped, and the sensitivity of the receptor.
Emergency plans can vary from complex off- and on-site plans involving the local authority
and emergency services, evacuation procedures and closure of roads and railways, to a
small number of local procedures and spillage kits to cover the spillage of a low risk
chemical in a low risk situation.
The former scenario would be a requirement of the COMAH (Amendment) Regulations
2005. Such sites will have an emergency officer, with a dedicated control room,
meteorological information, drain plans, road plans, etc. and usually a media communication
officer. It is always prudent to practice emergency procedures, and most companies will
have invited the emergency services (particularly the Fire and Rescue services) to the site
as part of the planning process. Having an inventory of the chemicals in use on the site and
information concerning services (electricity, gas, water, etc.) is essential.
Disposal of Fire Water
Fire water can pose particular pollution problems. It has the potential to be contaminated
with a mixture of combustion products, chemicals and possibly fire fighting foams, all of
which can do harm to surface waters or sewage systems. Polluting a water course or the
sewage system may be an offence, even if there was an emergency situation prevailing. It is
therefore preferable to consider the disposal of fire water prior to the emergency situation.
Possible solutions include sacrificial areas, retention tanks and containment bunds.
The Environment Agency issues a number of advisory leaflets called Pollution Prevention
Guidelines, to explain best practice in this and other related subjects (they can be found at:
http://www.netregs.gov.uk/netregs/links/63875.aspx). This subject will be explored later. Fire
water is discussed in Planning Policy Guidance 18: Enforcing Planning Control.
3.1 Emergency Planning.

1. On-site Emergency Plan

Emergency Planning is necessary to cover a wide range of eventualities, including those
listed. However, most detailed planning tends to relate to 'major' accidents and incidents
which affect neighbouring sites or the general public.
An emergency plan will vary depending on the site and the nature of the business. However,
certain essential features are common to any plan.
It should provide simple and logical procedures for effective direction and co-ordination of an
emergency incident. It must deal with an incident in a way which

triggers off-site responses,

safeguards personnel,
minimises damage to plant and equipment
prevents escalation,
safeguards neighbours,
restores the site to normal operation as rapidly as possible,
minimises on-site and off-site pollution.

An inherent part of planning is to ensure that personnel who may be involved in a site
emergency incident fully understand their own role, and appreciate the roles of others, in
dealing with it.
Categorising the Incident
A primary consideration is the means by which people are warned that an emergency has
occurred. This may involve bells, sirens, horns etc. but the alarm must be audible to
everyone likely to be affected; everyone must know what it means and what action to take.
On a small site, an emergency will affect the complete site. Hence a common warning
system is required to alert everybody. However, an occupier of a very large site, with
possibly several independent units, would not wish to close the whole site as a result of an
emergency that may possibly be contained in one part of a complex. A two-tier warning
system is then required, a local warning and a warning to the whole complex.
Pre-planning should include a system for categorising the incident. This needs to be
achieved quickly by someone in authority who is always available on site. There are four
typical categories, namely 'Minor Incident' or Categories 1 to 3.
Minor Incident
A 'Minor Incident' is an emergency which can be dealt with fairly effectively and quickly by
personnel on the spot using the emergency equipment on hand, e.g. fire extinguisher. The
situation can be dealt with by the work force, and possibly the Works Fire Brigade, fairly
quickly. It is fairly localised so that no other units are affected.
Category 1 - Incident
This is an incident requiring additional resources, but which can still be dealt with
successfully by the site operator and internal fire brigade. However, whilst tackling it some
thought needs to be given to whether, and when, the public emergency service should be

notified.
A Category 1 incident could escalate and the personnel on site may need assistance quickly.
If the total site forces are at full capacity dealing with a protracted incident then back-up
resources may be needed. Since there can be no guarantee that a second incident will not
occur, it is prudent to guard against this even though the first incident is only of Category 1.
Category 2 - Incident
This is one which is clearly recognisable from the outset as being beyond the capability of
the forces to hand. A message would therefore be sent to the Emergency Services informing
them of a 'Category 2 incident' at the specific location. By virtue of good pre-planning, the
resources sent in response will have be pre-determined, e.g. the number of fire appliances,
ambulances, police etc.
Category 3 - Incident
This is an emergency of major proportions. It may have escalated from a lower category
incident or arise instantaneously, e.g. due to a confined or unconfined vapour cloud
explosion. Good pre-planning will again have pre-determined the response from the
Emergency Services. Extensive evacuation of the general public may have to be initiated.
Following the Three Mile Island nuclear power plant accident in 1979, the Commission setup to enquire into it were concerned by the highly uneven quality of emergency plans and by
the problems created by multiple jurisdictions in an emergency.
Emergency plans generally rely upon prompt action at local level to inflate a needed
evacuation or to take other protective action, whereas there was an almost total lack of
detailed plans in the local communities around Three Mile Island (see below).
3.2 Three Mile Island.
An explosion took place, which involved a pressurised water nuclear reactor. In this type of
reactor, heat is removed from the core by a pressurised water circuit via a heat exchanger.
The boiling water in the secondary circuit is used to drive a steam turbine. The radioactive
parts are enclosed in a containment building.
A fault occurred in the secondary steam circuit, which resulted in the steam turbine tripping
out. It had the effect of preventing heat removal from the reactor core. The heat produced in
the core was stopped automatically by the lowering of absorption rods. This reduction was
not instantaneous, so some heat was still generated by radioactive decay and the primary
water boiled. This is not a serious fault. A relief valve lifted and the make-up water pumps
operated automatically to replace water, which had evaporated. The relief valve stuck open,
but the control room light indicated that it was closed. The operators should have realised
what was actually happening by comparison with other readings. The actual situation was
that the valve was open and the primary water was boiling, but the pumps were replacing the
water. If the operators had done nothing, the system would have cooled naturally and safely.
However, they shut down the pumps because they had been warned of the danger of too
much water in the primary circuit. The water level fell and temperature damage occurred,
resulting in the release of radioactive material when the containment closure ruptured. A
major factor was that the operators did not understand the relationship between pressure
and temperature in the primary circuit. The boiling point of water depends upon the pressure,

a fact of which the qualified operators were unaware.

Modern training takes place in a simulated control room. The operator is presented with
readings and is expected to diagnose faults and suggest remedial action. All foreseeable
scenarios are learned. Inherently safe designs are now proposed and in use.
3.3 Calling in Vital Staff.
Key personnel need to be called in if they are not already on site when an emergency
develops. These include:

staff able to continue operation of the plant safely;

management who can take top-level decisions;
staff able to deal with the aftermath of casualties;
public relations staff to deal with the media;
staff able to co-ordinate pollution control, clean-up.

Hence pre-planning includes preparation of a 'call-in list' with the proviso that 90% of
personnel will respond when called.
A specific person on-site will have been designated to do the 'calling in'. A large organisation
will probably have an on-going Communications Control Centre, with adequate
communications equipment, from which a Communications Co-ordinator can function. In a
smaller factory, someone in the Security Office may have this responsibility. In any event, a
dedicated telephone - which is ex-Directory and which has a number known only to the few
people required to respond to a call-out - is essential since the main switchboard is likely to
be overloaded by incoming calls.
Responsibilities/pre-planning
When the nucleus of personnel with a pre-planned function in the emergency operation
arrive on site, it is crucial that each person understands clearly - and is well practised in - the
function that they have to perform.
One person e.g. a Duty Manager, Shift Manager or Shift Superintendent will have
responsibility for responding immediately to an incident and for taking charge. The priorities
will be:

rescue of personnel where appropriate, assessment of whether there are casualties

or whether people may be missing and should be searched for
carrying out appropriate process action so that the situation does not escalate
further, ensuring that the fire brigade, or other personnel trained in initial first aid/fire
fighting are present,
initiating some form of 'head count'.
control of spoilages, run-off etc.

Accounting for people can be very difficult, especially if large numbers of contractors
personnel are on-site, hence the advantage of site logging-in procedures at all times.
Instructions should also be posted in each workplace, stating:

where personnel should go, by which route/alternative routes in an emergency;

to whom they should report on arrival;

what to do if they are unable to go to the nominated assembly point.

Managing an emergency effectively relies heavily upon serious pre-planning. This will cover
for example:

procedures for the rapid assessment of the likely consequences in the event of e.g.
loss of containment of a hazardous material (e.g. to identify the nature and quantity
of material lost, to check wind direction, to determine probable areas to be affected
from a map, and the likely population density threatened and environmental impact)
provision of sets of process manuals, flowsheets, plot plans etc. ready for immediate
use
lists of mechanical equipment available e.g. diggers, cranes, lifting equipment, and of
emergency supplies e.g. sand, wood.
3.4 Provision of Action Lists, Lists of Emergency Contacts.

Responsibility may subsequently be transferred to a more senior Emergency Manager, or

one with more appropriate specialist knowledge.
Dealing with Emergency Services and Respondents
In a Category 2 or 3 incident, provisions are necessary to deal with the arrival on-site of both
the Emergency Services and personnel responding from outside. The plan should hence
allocate designated locations for ambulances, fire appliances etc to park until required as a
location for Emergency Services personnel to report to.
One lesson from the Milford Haven tank farm fire in 1983 was the importance of planning for
good access for the large number of foam tankers and appliances required to fight such a
large fire. Some difficulties were encountered because of the congestion around three
elevations of the tank and on roads not designed for such traffic.
Route markers may be necessary on a large site to direct traffic to the various locations,
since facilities may not always be available to escort them to the scene.
Numerous employees may live near a large site; they will certainly hear of any Category 2 or
3 incident and a proportion will come in voluntarily. Since they have no specific functions in
the plan, the preferred arrangement is to have everyone report to a designated area where
they can be held until needed or sent home again.
Following a major incident, the roads leading to a plant may become clogged with vehicles
as the public flock in to watch. Therefore in pre-emergency planning, the police will have
arranged to erect road blocks on essential roads to allow easy access for key personnel and
the emergency services. The plan must therefore include agreement with the police on a
form of identification for essential personnel, e.g. a car windscreen sticker.
3.5 External Liaison.
The media tend to arrive in a surprisingly short time, usually with the first few fire engines. A
way of dealing with the press, enabling them to gather news and report on a major incident,
should therefore be included in the plan.
3.6 Communications.
A sound communications plan, operated by nominated staff, trained in advance to handle
specialised equipment is certain to modify the effects and assist materially in survival and

eventual recovery. However, common experience is that communications tend to break

down
in
a
major
emergency.
On Thursday, October 21st 1971 an escape of gas from a four-inch gas main into a large
unventilated void beneath shops in a shopping centre in Clarkston, Renfrewshire exploded.
Twenty-two people were killed and at least one hundred were trapped or injured as shops
collapsed and lines of cars from the rooftop parking area crashed down onto shattered
concrete and twisted girders. The rescue and recovery operations were speedily and
satisfactorily coordinated by the police. However, they complained that there were too many
walkie-talkies in use, resulting in a near break-down in communications.
Since a Loud Hailer was ineffective, wireless operators had to search on foot for people onsite, resulting in loss of time. Thus provisions for primary and emergency communications
(internal and external telephone links and radios) need careful assessment.
If hand-held radios are used for communication between personnel and a central point, a
dedicated wavelength is desirable otherwise those not actually involved in handling the
emergency
will
be
able
to
interject
enquiries.
In plants where there is a flammable hazard on-site, radios will be intrinsically
safe/flameproof for the particular environment. Hence it may be necessary for Emergency
Service personnel to pick up appropriate radios on arrival.
3.7 Training/Exercises.
Every part of an Emergency Plan has to be understood by all the parties likely to be
involved, including all the Emergency Services. Detailed instructions have to be issued to all
those required to act to control, or minimise the effects of, a major incident.
Everyone on-site needs to understand the Plan and the procedures in it, irrespective of
whether or not they are likely to be involved. They should be familiar with the different alarms
(e.g. on large works, the alarm system may be selective) so as not to confuse them, or to
mistake a process plant alarm (e.g. high level or high pressure) for a fire/toxic gas release
signal. They should all be familiar with the actions to take, escape routes, assembly areas
etc.
Thorough training including realistic practical exercises, with participation by outside services
are important. A full-scale rehearsal is recommended at least once a year, with the
emergency services actually called out. Following each rehearsal, modifications can be
introduced to cater for errors and omissions that are reported.
3.8 Monitoring, Measurement & Review.
It is an essential element within any EMS that provisions are made for emergencies.
Both physical and human controls are part of an emergency plan. The plan should be
proportionate to the risks.
Emergency preparedness and response plans may include the following elements:

On-site emergency response teams and equipment.

Key personnel duties, responsibilities and contact details.
Inter-relationship with and contact details for off-site emergency services.
Internal and external communication plans.
Training arrangements and practice drills.
Detailed response measures for each type of emergency incident including

personnel response and equipment needs.

Supportive data on inventories, locations, method of storage and potential effects on
the environment of the full range of chemicals held on the site.

All such plans should be practised and tested periodically.

3.9 Integration of Management Systems.
The following is the Institute of Occupational Safety and Health (IOSH) policy statement on
the Integration of management systems for OSH, environmental performance and quality
taken from the IOSH website (www.IOSH.co.uk).
The preamble has been omitted.
The policy statement was written before the publication in draft by the British Standards
Institute of the harmonised Occupational Health and Safety Series (OHSAS) specification
18001. Thus Safety and Health Management Systems are moving towards assessment and
certification.
IOSH Policy Statement
Introduction
The Institution believes that all organisations should determine the need for, and practicality
of, integrating their management systems for occupational safety and health (OSH),
environmental performance and quality, and where appropriate other topics such as product
safety and security.
An Integrated Management System (IMS) offers organisations the opportunity to improve,
among other things, business effectiveness as well as OSH and environmental performance.
However, the process of creating, maintaining and developing an IMS is not easy. There are
many challenges that must be addressed prior to making a decision to integrate, when
planning integration and when maintaining and developing an IMS.
Organisations that do not consider these matters may make inappropriate decisions in
relation to their needs and required competencies, and at best fail to capitalise on the
benefits of an IMS. Organisations with a positive culture are most likely to introduce an IMS
that promotes more streamlined procedures and more inclusive and more ejective decisionmaking.
The Institution recommends that organisations should consider the following matters when
deciding whether or not to integrate, in whole or in part, their management system for OSH,
environmental performance and quality systems.
Organisations may need to evaluate carefully the impact of many of the issues identified,
perhaps using formal techniques, e.g. cost benefit analysis and business risk appraisal.
The case for integration
The Institution believes that the principal factors that favour the case for integration are:

a well-planned IMS is likely to operate more cost-effectively than separate systems

and facilitate decision-making that best reflects the overall needs of the organisation;

an IMS offers the prospect of more rewarding career opportunities for specialists in
each discipline;
the objectives and processes of management systems are essentially the same.

The Institution believes that the principal factors that favour the retention of largely
independent systems are:

that the existing systems may simply work well;

the process of integration may threaten the coherence and consistency of current
arrangements that have the support of everyone involved;
relevant specialists may continue to concentrate in the area of their core expertise
and further specialist training may not be needed;
the models on which each management system is based may appear compatible, but
there are conceptual differences that may be difficult to reconcile, for example,
quality audits assess compliance with a system standard, however deficient, whereas
an OSH audit should evaluate effectiveness as well as compliance.

Furthermore, uncertainties regarding the meaning of key terms - already a problem in OSH would be exacerbated in an IMS; an IMS could become over-centralised and over-complex
without the capacity to give sufficient consideration of local needs and constraints. Already,
many employers and employees are sceptical of the excessive bureaucracy of existing
management systems.
The time during which an organisation is planning and implementing an integrated system is
a period of organisational vulnerability. Existing procedures may lapse, or be found wanting,
at the moment when key personnel are focusing attention on the development of new
systems.
System requirements may vary across the topics covered, e.g. an organisation may require
a simple quality system but a more complex OSH or IMS could introduce unreasonable
environmental performance systems.
Bureaucracy into, in this case, quality management.
There may be distortions in IMS coherence associated with: (i) BS EN ISO environmental
performance and quality standards. These are certifications but the BS Guide to
occupational health and safety management is not. It is important to understand that a welldesigned IMS should be able to overcome many of the problems listed here. Organisations
should recognise that the case for retaining largely independent systems is partly that the
process of creating an effective IMS is difficult, and partly that an IMS, however welldesigned, may be irrevocably flawed.
We have in mind, for example, an organisation that manufactures a simple product to a
customer specification, but involves the use of dangerous machinery and the creation of
toxic waste. By way of contrast, a computer software company would need a highly
sophisticated quality management systems but simple (by comparison) OSH and
environmental performance systems. In the latter case, a decision to integrate would be
bizarre.
OSH and environmental performance are underpinned by statute, but quality management
system
requirements
are
largely
determined
by
customer
specification.
Professional/organisational rivalries may impair the collective operation of the system.
Typically, a senior quality manager might seek to impose quality audit objectives on a more

junior OSH team. In contrast, the quality management team might resent supervision by an
environmental manager who lacks an intimate knowledge of quality control statistical
techniques. Regulators and single-topic auditors may have difficulty evaluating their part of
the IMS when it is (quite properly) interwoven with other parts of no concern to the evaluator.
The work of external consultations may be impaired because the needs of business
confidentiality could prevent them taking a rounded view of elements of the IMS;
. . a powerful integrated team may reduce the ownership of the topics by line management,
and a negative culture in one topic may unwittingly be carried over to the others.
The prerequisites for integration
The Institution recommends that organisations should not decide finally to establish an IMS
until the following prerequisites to integration have taken place. The organisation should
have:

reviewed the overall business case for an IMS;

reviewed the adequacy of existing arrangements and future needs of each
management system which will form part of the IMS;
identified the key skills and training needs of each system that must be retained
within the IMS (e.g current arrangements for OSH induction training) and the
appropriate level of detail applicable to each;
decided on the phasing and extent of integration.

It is possible, for example, that organisations will start to integrate at the policy and strategic
planning levels, and also within 'sharp end' operational procedures and systems.
However, they may wish to maintain separate procedures in the short term for specific tasks
such as energy conservation, quality control techniques, and statistical analysis of probative
and reactive OSH data. Many personnel will have extra work to do to achieve an IMS and
their full support is essential as is the enthusiastic support of top management for the IMS,
especially their commitment that appropriate resources will be made available.
The Institution will study the recommendations of any industry-specific IMS standards,
consider the need to take external advice as appropriate and decide on the measurable
criteria that would be used to monitor and review the effectiveness of the IMS.
The process of integration
The institution recommends that organisations should decide:

On the choice of an overall IMS model, e.g. selecting one of the two models given in
BS8800. Caution should be exercised if the BS EN ISO 9000 series approach is
adopted because it is the least generic of the standards, and does not include explicit
considerations of risk assessment. Many organisations may have developed quality
systems that follow too slavishly the sequences of topics given in that standard.

How to retain the integrity and effective functioning of existing systems while the new
system is developed and put into place.

Whether piloting parts of the IMS is necessary prior to its planned introduction.

On a phased plan showing the milestones of an IMS, and the specific responsibilities
of individual members of staff.

On appropriate arrangements for training needs analysis and training covering both
competence and commitment.

On the introduction of a continuing programme designed to retain the commitment of

all affected personnel.

Maintaining and developing integration

The institution recommends that the organisation should make adequate arrangements to
ensure:

that the impact of changes in standards/regulations/best practice in one element of

the IMS has a positive, or at least a neutral, knock-on effect on other elements of the
system;

that it is in a position to respond, when necessary, to a potentially significant event

(internal and external) affecting one (or two) parts of the system; and

a streamlined updating procedure is developed as the combined system may be

more difficult to change.

Useful Documents:

British Standards Institution, BS 8800: 1996, Guide to occupational health and safety
management systems.
British Standards Institution, BS EN ISO 9001: 1994, Quality systems: model for
quality assurance in design, development, production, installation and servicing.
Chemical Industries Association (1995), CIA RC51, Responsible care management
systems for health, safety and environment.
Health and Safety Executive (1997), HSG65, Successful health and safety
management.
Question 9.

Emergency preparedness & response plans may include...

Multiple Choice (HP)
Answer 1: Internal and external communication plans
Response 1:
Jump 1: This page
Answer 2: On site emergency response teams and equipment
Response 2:
Jump 2: This page
Answer 3: Key personnel duties, responsibilities and contract details
Response 3:
Jump 3: This page
Answer 4: All of the above

Response 4:
Jump 4: Next page
Question 10.
All emergency preparedness and response plans should be practiced and tested periodically
True/False (HP)
Answer 1: True
Response 1:
Jump 1: Next page
Answer 2: False
Response 2:
Jump 2: This page
4.0 Summary.
We have looked into the control strategies that are available to the environmental manager.
Some may be dictated by environmental law, others by company or other policies. A policy is
only the first step in a whole strategy and the policy, to be effective, should be backed up by
a management system.
Although an environmental policy is not compulsory (unlike a health and safety policy), it is a
requirement of many customers, suppliers and other stakeholders. The responsibilities and
arrangements of the health and safety policy will be found in the body of the EMS, which
has many clauses, each with the purpose of facilitating and demonstrating management of a
particular area of environmental management.
ISO 14001 is the principle standard which deals with environmental management systems. It
is international, certifiable, and widely used throughout the industrialised world. EMAS, on
the other hand, is the European registration system which covers the same area. It is very
similar to ISO 14001, but differs in one main respect, which is that it requires that
organisations registered to EMAS issue an Environmental Statement
(Note: this is not the same statement which is required by the Environmental Impact
Assessment Regulations).
All of these standards (or in the case of EMAS, a registration system) require self-auditing,
although to achieve a recognised certificate, the system must be externally certified by a
body accredited to UKAS or similar organisations in other EU countries.
The ultimate guiding statement is the environmental policy which makes specific
commitments, including compliance with environmental law, and is often supplemented by
other policies on specific subject areas such as transport or energy.
Governments also have policy statements and the EU and UK policies enshrine international
agreements, whose overall aim is to protect the environment.

Please be advised that the course material is regularly reviewed and updated on the
elearning platform. SHEilds would like to inform students downloading these printable notes
and using these from which to study that we cannot ensure the accuracy subsequent to the
date of printing. It is therefore important to access the elearning environment regularly to
ensure we can track your progress and to ensure you have the most up to date materials.
Version 1.1c

Element 4 - Monitoring, Review and Audit.

Overall aims
On completion of this unit, candidates will have knowledge and understanding of:

the value of proactive and reactive performance measures.

Specific intended learning outcomes

The intended learning outcomes are that candidates will be able to:

select indicators that may reflect an organisation's environmental management

performance;

describe appropriate monitoring techniques, including environmental auditing.

Hours of tuition and private study

5 hours of tuition.
2 hours of private study.
Sources of reference:

http://www.defra.gov.uk/sustainable/government/
http://www.ghgprotocol.org/calculation-tools/service-sector
http://www.epa.gov/wastewise/wrr/factoid.htm
http://www.wasteonline.org.uk/resources/InformationSheets/WasteAtWork.htm
1.0 Monitoring Techniques.

Environmental Management Strategy

Environmental management means different things to different people. Generally, the focus
is on environmental impacts and ways they can be minimised. The scope of the activities,
resources or area that we aim to improve environmentally varies considerably. For example,
a consultant could be asked to develop an environmental management strategy for a factory
to ensure that the factory complies with relevant environmental legislation. A team of
consultants could be asked to develop an environmental management strategy for a group
of factories owned by the same company to ensure that as a whole, the company is a World
leader in Environmental Best Practice.
In the latter case, waste management forms only a small part of the Best Practice style of
environmental management.
On a global scale, environmental strategies are being developed, agreed, haggled over and
implemented to reduce emissions of greenhouse gases and slow the warming of Earths
atmosphere.
There are many styles and scale of environmental management. Some require teams of
experts and whole communities to change their behaviour to reduce environmental impact.

The strategy is an important stage in environmental management as it represents

management commitment. An environmental management strategy provides a way of
identifying and prioritising issues.

The main stages in developing an environmental management strategy are as follows :

Collect preliminary data.
Identify stakeholders.
Determine scope.
Develop aim and goals.
Identify and prioritise projects.
Develop an Action Plan.
Implement the Action Plan.
Monitor and Review.
Report.
1.1 Main Steps in Scoping an Environmental Management Strategy.
Preliminary information gathering - the main environmental issues are identified.
Identify stakeholders.
Identify Constraints.
Determine a process for developing an environmental management strategy.

 Develop Scope.
In scoping the Strategy, the scope should fit the expectations of key stakeholders, resources
and constraints to ensure achievability.
For success of the Strategy, key stakeholders must be included in development of the
Environmental Management Strategy. Stakeholders are usually the people that have the
ability to influence the outcome of the Strategy. In developing an Environmental
Management Strategy, one of the first things to do is to list the main environmental issues or
potential environmental projects.
In establishing the resource requirements section, you need to be clear at what stage of the
Strategy (development, implementation, monitor, report the resource) resources are
required. This section considers resource requirements for development of the Strategy.
Resource requirements during implementation are generally included in the Action Plan.
1.2 Writing the Strategy.
The key elements of an Environmental Management Strategy are:
Environmental policy.
Environmental goals.
Action plan.
Review and Report.
An environmental policy is the public statement of environmental aims and how the activities
will be managed to achieve those aims. The policy includes a statement of intent. The
following is an example of an environmental policy by Ford.
"Motor vehicles have a tremendous positive impact on our society, improving the quality of
our lives in many ways. They allow us to choose where we want to live, work and relax and
they provide mobility and personal freedom. However, the automobile is, in many ways, the
victim of its own success, and its ever-increasing popularity is resulting in legitimate
concerns over its environmental impacts. As the number of vehicles around the world
increases, so do concerns over emissions, energy usage, and over crowded roads.
"Ford acknowledges these concerns and the need to find solutions without jeopardising the
many benefits that the automobile brings. Ford has a long history of excellence in
environmental stewardship and aims to be a model for the industry in this area. Ford is
working on advanced technologies and progressive approaches that will reduce the
environmental impacts of its products and how they are made, whilst providing the utility,
performance and affordability that customers demand. Ford wants it to be easy for people to
say Im an environmentalist and a car enthusiast.
1.3 Goals and Objectives.
Environmental goals could be a series of stretch goals or statements. It is generally
considered that goals are what you aim for, and objectives are measurable actions to
achieve those goals.
Environmental goals and objectives set the scene for how high the Environmental
Management Strategy is aiming and therefore provide the detail in the action plan as to how

the objectives will be achieved.

It is essential that the Strategy addresses the major environmental impacts.
An Environmental Management Strategy is pointless where the major environmental impacts
are not addressed; rather, environmental projects are implemented with minor effect on the
reduction of environmental impact from the organisation as a whole.
It is also essential that any legislative requirements be highlighted to ensure continued
compliance. At this stage, a list of potential projects will have been drawn up, and this list
should have been prioritised. Focus can now be shifted onto the writing of the action plan.
1.4 The Action Plan.
The purpose of an Action Plan is to ensure that projects are delivered as agreed. The action
plan may have different titles. Many factories prefer to use the format of ISO 14001
environmental management systems, which includes an action plan.
The action plan is a tool that can be used to include regular review of environmental issues.
An Aspects and Impacts Register and Environmental Risk Assessment may be separate
tables that feed into the Action Plan depending on the scope and complexity of the
environmental management strategy.
In developing the action plan, consideration must be given to what needs to be achieved
environmentally, what technology is required and what changes in behaviour are required.
Included in the action plan should be

the objectives of the project,

what specific actions are to be carried out,
the timescale,
people responsible,
performance measures and
reports requirements at key milestones of the project.
1.5 Monitor, Review and Report.

All Environmental management strategies must specify a review and report process. This
process may be every year, every three years, at the end of certain stages in the Strategy
implementation, at the end of certain projects etc.
Generally, the report gives information on how projects have progressed.
The results of key performance indicators specified in the action plan are used to monitor
progress. The key issues that need to be considered in a review are assessing whether or
not the environmental objectives have been achieved, what the current environmental
impact is and if there have been any external changes such as changes in legislation.
A report is compiled annually which incorporates monitor and review and the style is
dependent on the target audience.
Question 1.
Key elements of the Environmental Management System are...
Multiple Choice (HP)

Answer 1: Review and report

Response 1:
Jump 1: This page
Answer 2: Action plan
Response 2:
Jump 2: This page
Answer 3: Environmental policy
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
1.6 Environmental Inspections.
An organisation can carry out inspections which are less formal than all of the methods used
as environmental improvement tools. For an organisation to assess their environmental and
energy conditions, an environmental inspection provides a good way of doing this. Using this
method, resource consumption and the handling of materials, products, wastes and
emissions can be charted. Once an overall picture is obtained, the organisation can decide
on taking action.
Organisations wishing to design an environmental management system in accordance with
the ISO 14001 standard or the requirements of the EU Regulation on environmental
management and auditing (EMAS) must chart the whole of their environmental situation.
An environmental inspection consists of:

Preparation of inspection with demarcation of activities and organisation of work.

Recording, i.e collection of information on resources, consumption and emissions
which affect the working environment and the surrounding environment, along with
operational hold-ups and accidents. All information is recorded relative to specific
functions, processes etc.

The information recorded can then be applied to the prioritisation of target areas relative to
the established criteria and any scoring system used and proposals for improvements based
on a more detailed study of the prioritised target areas. Proposals are assessed relative to
environmental improvements, finance and technology.
Check lists can be used to facilitate inspections and can form part of the organisations
procedures and evidenced as such.
1.7 Environmental Management Performance Indicators.
In order for an organisation to measure how successful a project is, performance indicators
are used. So, not only do Strategy objectives need to be worded carefully, so too do the
action plans and the performance indicator for each action or environmental project.
A key to a successful Environmental Management Strategy is ensuring that all projects, the
action plan and Strategy objectives are regularly reviewed. It is vital that projects are
measured for success. This is where careful choice of performance indicators is necessary.

There are many examples of environmental performance indicators which can include the
amount of waste generated or behavioural or attitude change. It is important that there is a
measure of environmental performance so that continual improvement can be demonstrated.
There are 22 'key' performance indicators identified by Defra which are considered
significant to UK businesses. These have been derived from an analysis of the impact that
UK businesses have on the natural environment and takes into account a number of
ecosystems and services. These include:
1.7.1 Emissions to Air.
1. Greenhouse Gases.
2. Acid Rain, Eutrophication and Smog Precursors.
3. Dust and Particles.
4. Ozone-depleting Substances.
5. Volatile Organic Compounds.
6. Metal emissions to air.

Emissions to air
1.7.2 Emissions to water.
7. Nutrients and Organic Pollutants.
8. Metal emissions to water.

Emissions to water
1.7.3 Emissions to land.
9. Pesticides and Fertilisers.
10. Metal emissions to land.
11. Acids and Organic Pollutants.
12. Waste (Landfill, Incinerated and Recycled).
13. Radioactive Waste.

Carbon Emissions to Land

1.7.4 Resource Use.

14. Water Use and Abstraction.

15. Natural Gas.
16. Oil.
17. Metals.
18. Coal.
19. Minerals.
20. Aggregates.
21. Forestry.
22. Agriculture.

Question 2.
Which of the following are identified by DEFRA as some of the 22 key performance
indicators which are considered significant to UK businesses...
Multiple Choice (HP)
Answer 1: Metal emissions to water
Response 1:
Jump 1: This page
Answer 2: Ozone depleting substances

Response 2:
Jump 2: This page
Answer 3: Water use and abstraction
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
1.8 What is an Environmental Review?.
Environmental Reviews provide a baseline overview of current environmental effects or
impacts, relevant environmental legislation and a statement of existing environmental
performance.
The Reviews provide a basis for establishing a management action plan. They can become
part of an environmental management system to help implement the plan.
An environmental review is not mandatory for Environmental Management System (EMS)
development, although it is an advisable step to take.
The EMS operates as a cyclical process of identifying, improving and checking. Periodic
reviews by management ensure that the EMS is achieving the desired outcomes and that
the environmental policy is being implemented. It will also provide a means for management
to review the organisations environmental performance trends to ensure that performance is
being improved and to instigate changes to the system as necessary.
When complying with the requirements of the Eco Management and Audit scheme (EMAS),
an initial environmental review is mandatory for the development and implementation of an
environmental management system and a recommendation in ISO 14001.
When they are undertaken as the first of a series of periodic environmental audits, they are
referred to as a 'Baseline Environmental Audit'.
The environmental review is a systematic process to:

determine the impacts the organisation has on the environment, and which of
them are significant;

understand which of its activities, products and services cause the significant
impacts;

know which of its activities, products and services are covered by

environmental legislation and regulations, whether it is complying with them

and whether this can be sustained on an ongoing basis;

know the extent to which it is controlling its significant environmental aspects

and whether effective controls are already in place; and

be in a position to develop objectives and targets for environmental

improvement and implement additional operational controls where they are
necessary.
1.8.1 What Should the Review Cover?.

Annex VII of the EMAS Regulation suggests that the review should cover:

legislative, regulatory and other requirements;

organisation and systems, including responsibilities, practices and
procedures; including review of management systems, staff information,
training and participation;
environmental aspects and impacts of activities , products and services; and
results of investigations of previous incidents and performance problems.

Other areas could include:

Review of management systems.

Historical review of the site.

Assessment of emissions and impacts on air, water and land.

Control and monitoring of emissions.

Other nuisances, noise odours and landscape.

Waste management, minimisation recycling and disposal.

Raw materials management, transportation, storage and water conservation.

Energy management.

Products planning, design and packaging.

Prevention and mitigation of accidents, gradual pollution and sudden,

accidental and unforeseen pollution.

Staff information, training and participation.

Relationship with the public.

An easy way to get started on the environmental review is to map out the boundaries of the

EMS and highlight areas where there are environmental considerations (this is referred to as
Eco-Mapping). These could include internal and external drainage plans, chemical storage
points, location of waste skips, chimney stacks from boilers and the nearest neighbours.
Alternatively, if the EMS doesnt lend itself to being identified on a map (this is particularly
the case for service organisations), a process flow diagram highlighting inputs and outputs
might be more appropriate.
The EMS should address direct and indirect environmental aspects. Direct aspects are those
caused as a direct result of the organisations operations, whereas indirect aspects are those
over which the organisation has influence, but no direct control. Examples of environmental
aspects include:

emissions to air;
releases to water;
disposal of waste and contamination of land;
use of energy, raw materials and natural resources;
land use and habitat loss;
disposal of the organisations products by customers; and
environmental performance of contractors and suppliers.

Consideration should be given to impacts caused during normal and abnormal operating
conditions and periods of maintenance and shutdown and to significant environmental
impacts that could occur during emergencies. Once impacts have been identified, their
significance should be evaluated.
1.8.2 Assessment of Significance.
Assessing the significance of an environmental impact is one of the most difficult parts of
environmental management. There are many different tools and techniques and, frequently,
more than one approach can be used for a given situation.
In many circumstances, professional judgement will play an important role in determining
how to address significance and this can be helped through consultation with appropriate
stakeholders.
The significance of an environmental impact can be assessed through consideration of:

size, nature, frequency, likelihood and duration of the environmental impact;

the sensitivity of the receiving environment and the extent to which the impact
is reversible;

the extent to which the impact (or the activity, product or service which
causes it) is covered by environmental laws and regulations, or contractual
requirements; and

the importance of the impact to interested parties e.g. employees,

neighbours, regulators.

It is important that the criteria for evaluating significance are clearly defined and that the
procedure and outcome are capable of being replicated by someone else. Some
organisations develop risk matrices to help them evaluate the significance of an
environmental impact and to prioritise its relative importance; however, care should be taken
to ensure that all significant impacts are identified and that there is a robust means of

allocating the scores.

1.8.3 Operational Control, Targets & Objectives.
The results of the environmental review and the evaluation of the significance of the
environmental impacts are used to identify operational control measures and to set
objectives and targets for environmental improvement. Objectives and targets need to relate
to the organisations environmental policy and its environmental aspects. All significant
environmental aspects will require operational controls to ensure that actions are carried out
as planned and some of them will require objectives and targets for improvement.
Objectives are broad-based environmental goals that the organisation sets itself for
environmental management and improvement. They may relate to a specific environmental
issue, for example:

to reduce the overall amount of solid waste produced over the next five years
by 25%; or
to manage issues which will help to deliver the policy e.g to ensure that all
employees receive appropriate environmental training by the end of the
financial year.

Targets are detailed performance requirements that need to be met in order to achieve the
objectives. A number of targets might be required to achieve a particular objective. In some
cases, objectives and targets might relate to the need for further research and analysis on
how to achieve improvements. Where possible, objectives and targets should be SMART

Specific,
Measurable,
Achievable,
Relevant and
Time-related.

This will help to track progress and ensure that achievements are being realised.
1.8.4 Environmental Programme.
The environmental programme turns the environmental objectives and targets into practical
actions that can be taken to improve the organisations environmental performance.
The programme should identify individual responsibilities and the means to achieve the
defined objectives and targets within the specified time scales.
1.8.5 Structure & Responsibilities.
The organisations management will need to assign tasks to people so that everyone knows
what has to be done. It is vital, if the system is to operate effectively, to know who does
what,
how,
when
and
with
what
authority.
Whatever the size of the organisation, the activities of all employees will have an impact on
the environment. Directly or indirectly, significant or small, everyone can contribute positively
by innovating with new ideas, changing behaviour and involving other people. This will
require
information,
training
and
the
development
of
new
skills.
Different people in the organisation will need different types and levels of training. Some will
require general environmental awareness training, others training as auditors. The design
team might need training on how to integrate environmental considerations into new product
designs. The key is to make sure that people are given the knowledge and skills to fulfil their

roles in the EMS and to be able to achieve the environmental targets and objectives for
which they have been assigned responsibility.
1.8.6 Communication.

An EMS relies on good communications for it to be effective.

Internal communication needs to ensure that people are kept up to date with how progress is
being made against environmental objectives and targets, and that they are able to influence
the development of the EMS and environmental improvement programmes.
External communications help to ensure that stakeholders are kept informed of the
organisations progress and can be engaged in the improvement process.
1.8.7 Procedures & Documentation.
The EMS must be documented and procedures need to be established to ensure that
everyone
knows
how
the
system
operates
and
what
is
required.
Documents should be kept up to date and controlled so that only the most recent versions
are available for use. Nothing is more guaranteed to generate confusion than different
versions
of
the
same
document.
Procedures should be established to ensure that activities are carried out in the appropriate
manner.
Question 3.
Environmental reviews provide a baseline overview of current environmental effects or
impacts, relevant environmental legislation and a statement of existing environmental
performance.
True/False (HP)
Answer 1: True
Response 1:
Jump 1: Next page
Answer 2: False
Response 2:
Jump 2: This page

Question 4.
Examples of environmental aspects include...
Multiple Choice (HP)
Answer 1: Environmental performance of contractors and suppliers
Response 1:
Jump 1: This page
Answer 2: Land use and habitat loss
Response 2:
Jump 2: This page
Answer 3: Use of energy, raw materials and natural resources
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
1.9 Monitoring, Audit & Periodic Evaluation of Legal Compliance.
Information on the environmental performance of the organisation is essential if it is to track
progress against its environmental objectives and targets.
Without reliable and robust data, it cannot be sure that it is in control of its environmental
performance, or that performance is improving as intended.
In many cases, the organisation will already be carrying out measuring and monitoring
activities, for example as a requirement of a pollution control licence, and should build on
these in its EMS .
One of the important requirements in ISO 14001 is for organisations to carry out a periodic
evaluation of legal compliance. This is a key task, which will help to inform the organisation
on its performance against environmental laws and regulations and provide information on
whether it is adhering to its environmental policy. The frequency with which the organisation
carries out the periodic evaluation should depend on the potential environmental impacts of
the activity, with the most significant being checked more often than those of lesser
importance.
Auditing helps to determine whether the planned elements of the EMS are being
implemented as intended and that the EMS is functioning as planned. It also provides
information to management on the overall performance of the system. Further information on
environmental auditing can be found in ISO 19011:2002 Guidelines for quality and/or
environmental management systems auditing or in Annex II of the EMAS Regulation
761/2001
1.10 Environmental Review Case Study 1.
Background
The following study describes a preparatory review of a manufacturer of maintenance
chemicals.

Scope
Chemzone, Leicestershire-based manufacturing site.
Objective
The objective was to conduct a preparatory review to highlight areas in need of attention for
the implementation of an environmental management system which meets the requirements
of BS 7750.
Company Description
Chemzone was started in 1972 to supply maintenance chemicals to the automobile industry.
Over 200 products are manufactured although a typical product is a traffic film remover.
Sales are achieved via distributors who provide a top-up service for major products from
their delivery vans. The company operates to ISO 9001 (formerly BS5750 Part 1).
Site Description
The premises comprise some 60,000 sq ft of factory, laboratory and office accomodation.
There is a car valeting bay used for training distributors and customers. A small number of
distributors occupy the site in self-contained units with services provided by the company. A
stream is adjacent to the boundary of the site.
History
The factory is adjacent to a number of others, all of similar design and age. Previous
occupants were in the engineering industry. The general good state of the site supports the
view that there is no significant land contamination.
1.10.1 Environmental Review Case Study 1 (Cont.).
Methodology
The management team led by the technical manager answered a questionnaire which
covered the areas of:

Policy resources.
Operations.
Products.
Waste.
Emissions and discharges.
Monitoring and feedback.
Energy.
Transport.
Premises.
Emergencies.
Legislation and change.

The answers were consistent with a company operating to ISO 9001, i.e areas affecting
quality are under sufficient control but some improvements in control of environmental
effects are required.

Action Required
Based on the information supplied, a factory inspection and discussions with the technical
manager, the actions outlined below were required to achieve BS 7750. With regard to ISO
14001, an environmental review is not a requirement for certification purposes, but would still
be considered a useful preparatory exercise for setting up an environmental management
system.
Policy Resources
Most importantly, senior management had confirmed their commitment to the
implementation of an environmental management system. The following areas required
attention:
(a) An environmental policy had been drafted but required development and acceptance by
the board.
(b) Job descriptions were available but were in need of revision to incorporate
responsibilities for controlling/minimising environmental effects.
(c) Written procedures for operations which have the potential to affect the environment were
not available.
(d) Training needs for other areas of the business had been identified but these needed to
be extended to include a programme for environmental training.
Operations/products/transport
Due to the large product range, there was an even larger raw material inventory. However,
production is controlled by a computer-run 'just in time' programme which minimises stocks
of raw materials and packaging. A small number of raw materials were held in bulk. All tanks
were bunded to the required standard.
Potential environmental impacts could have arisen from:
(a) Spillage or accidents during raw material delivery and storage, production or product
storage.
(b) Emissions to atmosphere during production and product storage.
(c) Improper waste disposal.
In addition, certain products can have an adverse environmental impact when used.
In general, the ISO 19001 management system provides good control of production. The
novel sales and distribution method developed by the company which involved topping up
products at the customers workplace had a positive environmental impact.
Distributors based at the site in the Midlands or within easy travelling distance made their
own collections and deliveries in their delivery vans.
Wherever sales volume justified it, intermediate bulk containers (approx 1 cubic metre

capacity) were used. The top-up service provided by the distributors considerably reduced
the amount of packaging required.
The factory occupies a site in a rural location on the edge of a village. Transport movements
in and out of the factory were minimal and consistent with the general traffic level in the
neighbourhood.
1.10.2 Environmental Review Case Study 1 (Cont.).
Waste
Solid wastes generally arise form raw material packaging, but also from the office and
laboratory areas. A waste compactor is attached to the skip used for disposal. All liquid
wastes are collected and periodically tankered away by Severn Trent.
Although wastes are in general properly handled the following points need to be addressed:
(a) there was no inventory of wastes;
(b) the health and safety implications of handling wastes;
(c) procedures to assess waste minimisation opportunities;
(d) auditing of waste management licences;
(e) records for the generation, storage and disposal of wastes;
(f) allocation of waste costs to the activity producing the waste.
Emissions and discharges
An important part in the implementation of an environmental management system is to
develop a strategy to minimise emissions and discharges. Therefore, an inventory of all
emissions and discharges needed to be established. As part of this activity, the identification
of all regulations applicable to any emissions or discharges was required, together with their
sources.
Monitoring and Feedback
In line with the lack of detailed information about emissions and discharges, additional
monitoring and feedback procedures were required. An emergency plan to cover all leaks,
spills and accidents needed to be established.
Energy
Energy usage was not adequately monitored. This is essential if an energy reduction
programme is to be implemented. The establishment of a monitoring system for energy
usage and all other utilities was required.
1.10.3 Environmental Review Case Study 1 (Cont.).
Legislation
The compilation of a register of legislation applicable to the companys operation was
essential. When specific environmental responsibilities have been defined, these should be

cross-referenced with legislation.

1. COSHH An adequate COSHH system was in place.
2. Environmental Protection Act 1990: Part 1 (prescribed processes) No
scheduled processes were in operation at the site.
3. Environmental Protection Act 1990: Part 2 (waste management) The
procedures at the time of the review met the requirement of this Act, although
some auditing of waste contractors was required.
4. Water Industry Act 1991 and Water Resources Act 1991 (consent limits)
No consent limits had been applied because all liquid waste was tankered off
site.
5. Nuisance the relatively isolated location ensured that there were no
complaints from local residents, etc. There was no visible evidence of any
emissions, smoke, noise or odour arising from the site.
Management Systems
Structure - There was an established management structure with commitment to maximise
the benefits to the company from meeting with the environmental challenge.
Procedures
There was no documented environmental management manual. However, this could not be
written until the full environmental effects of the business were established.
Procedures for monitoring all aspects of emissions and discharges and maintaining
adequate records had to be established.
There was no procedure for dealing with major incidents and accidents which may cause
significant environmental damage.
Waste Minimisation
There was no formal waste minimisation. Some assessment of the environmental effects of
products during their development stage arose as a matter of course but the only procedure
for suppliers was to provide COSHH data.
Summary and Action Plan
After consideration of the findings of the review the following recommendations were
highlighted as priorities:
(a) Write an environmental policy statement and obtain the managing directors approval.
(b) Revise job descriptions to meet the requirements of the environmental policy statement.
(c) Establish the environmental effects of the business.
(d) Establish a register of all legislation etc. and cross reference with the relevant
environmental effects.
It may at first appear that Chemzone has a long way to go before implementing an

environmental management system. However, a company such as this which operates to

the requirements of ISO 9001 will already have systems in place which can be adapted to
meet the requirements of ISO 14001, e.g in the areas of organisation, personnel and
training. Companies who are not already under so much control may require a greater length
of time for the implementation.
At the other end of the scale, highly-regulated organisations - such as the chemical and
nuclear industries - will already be required to have systems in place to control the
environmental effects of their operations and will often require less time to implement an
environmental management system.
1.11 Environmental Review Case Study 2.
Background
The Killingholme combined heat and power (CHP) plant commenced commercial operation
in 1994. Since it fell into the category A section of the Environmental Protection Act 1990
(EPA90), an authorisation under that legislation (AF7045) was already in force under the
ownership of Killingholme Heat and Power Limited. GEP Energy Services (UK) Ltd, a
specialist service company, has a long-term contract to carry out the operations and
maintenance of the site.
The requirements of an EPA 90 authorisation reflect many of the attributes of a good EMS.
These include

provision of training;
management of records;
management of releases to controlled waters; and
provision of calibrations for all testing equipment.

These are all subject to the general requirements. So, when a management decision was
taken in 1997 to establish both ISO 9001 and ISO 14001, these already existed in a nascent
form. It seemed reasonable to aim for accreditation by 1st September 1998. Whilst the ISO
14001 standard had been assigned priority over ISO 9001, both were achieved at the same
time, with the environmental standard being fully supported by the quality standard.
Starting off the process
As a first step in the process, a steering group was formed in October 1997 which brought
together all of the site management. The key decisions made at this first meeting were that:

accreditation could be achieved in-house with the expertise available from

site employees;
the certification company would be EAQA;
a combined gap analysis, to take the form of the environmental review, would
determine what was needed to bring the emerging EMS system to the level
required for ISO 14001 accreditation.

The presence of the entire management team was viewed as critical, since the success of
the project was considered to be wholly dependent on the full commitment of all site
personnel. The champion for the ISO 14001 standard was the Site Chemist and the
champion for ISO 9001 was a Shift Change Engineer with prior experience of quality
systems. The management steering group naturally formed the basis of the management
review once accreditation was achieved.

1.11.1 Environmental Review Case Study 2 (Cont.).

Carrying Out the Review
The environmental review was a relatively straightforward desktop analysis, since much of
the actual work had already been done. The power station was built on a Greenfield site and
had been in commercial operation for just over one year.
The initial environmental review prepared prior to commencement of construction work had
already established the base state of the site and its environment and had forecast the likely
implications of site activities.
The theoretical impact of plant operations had been further assessed both in the application
for the authorisation and in subsequent applications for variations. The impacts had also
been compiled in a database of aspects and impacts of site activities, so that theoretical and
actual could be compared. This process also indicated the best areas to target for
improvement.
A fledgling environmental manual was produced up to the end of 1997. Even without the
review, it was known that certain issues would need to be addressed and a programme had
been put in place to rectify these omissions. This programme included a comprehensive
training programme on environmental awareness for all staff, followed by a training course
on environmental auditing. The attendees of the latter had expressed interest in becoming
internal auditors and the final team was selected from this group. This team was then set up
as the quality review group and so began the audit cycle. What remained was to review that
part of plant operation not already covered in the extensive documentation.
This gap analysis followed a detailed checklist format, whose headings covered areas of the
standard, such as:

policy;
aspects, impacts and the setting of objectives;
the provision of a register of applicable legislation;
the provision of a management programme;
operational structure and operations control;
competencies, communications, documentation and document control;
emergency preparedness;
the audit cycle;
records; and
management review.

Since the plant is relatively small and produces insignificant amounts of solid and liquid
waste - always a problem for an EMS the review could be undertaken by a single
competent individual and the plant chemist fulfilled this role. The programme was modified
following the findings of the gap analysis, which also allowed the final issue of the manual.
The system was initially tested using a pre-assessment, which was carried out by the EAQA
lead assessor in January 1998. The recommendations of the pre-assessment report were
absorbed into the relevant sections of the EMS. The areas that needed more attention were
basically procedural, and typically involved the following.
1. It was felt that the procedures in place could quite easily be rationalised both to reduce
their number and to reduce the volume of information. The latter was often in place for

information purposes only and would be better located outside of controlled procedures.
2. The communications procedure was felt to be insufficiently robust enough to deal with
external communications such as complaints, requests for information and internal
communications.
3. The legislation database was perceived as insufficiently precise and the suggestion that it
was linked into the aspects and impacts database was adopted.
The review also revealed where practices required only minor modification to serve relevant
areas of the standard. This applied - for example - to inspections, which in some cases
became audits. The management target, which was achieved, was to establish a workable
EMS that could be used to drive forward the site environmental improvements plan and so
materially contribute to achieving business plan objectives. The initial review was a valuable
learning experience for site management.
1.12 Environmental Review Checklist.
1.

Legislation
Environmental Protection Act 1990:

2.

Is authorisation required for prescribed processes under

integrated pollution control or air pollution control?
Is the duty of care for waste management being
implemented?
Is a waste management licence required for the site?
Have any abatement notices been served for statutory
nuisances?

Control of Pollution Act 1974

Yes/No

Yes/No

Is the site situated in a noise abatement area?

Is construction work undertaken?

3.

Clean Air Act 1993

Is dark or black smoke emitted from the site?
Is the site situated in a smoke control area?
Is grit or dust emitted from the site?
Are there any chimneys from furnaces on the site?

Yes/No

4.

Water Resources Act 1991:

Yes/No

Is groundwater abstracted on site?

Is any effluent discharged to controlled waters?

5.

Water Industry Act 1991

Is any effluent disposed of to foul sewer?

Yes/No

6.

Town and Country Planning Act 1990:

Yes/No

7.

Environment Act 1995

8.

Have any planning conditions been imposed on the site in

relation to prior planning consent?

Does the company have an obligation to recycle and recover

packaging waste under the Producer Responsibility
Obligations (Packaging Waste) Regulations 1997 (SI 1997
No. 648)?

Pollution Prevention and Control Act 1999:

Yes/No

Yes/No

Is an IPPC permit required for prescribed processes under the

Pollution Prevention and Control Regulations?
1.12.1 Environmental Review Checklist.

2.

3.

4.

Significant Environmental Effects

Raw Materials
Cost
Delivery methods and times
Packaging
Health and safety requirements
Storage arrangements and handling methods
Number of suppliers
Track record of suppliers' environmental performance
Products
Production figures
Batch sizes
Storage
Packaging used
Product design
Environmental impact of product in use
Processes
Process description
Process flow diagrams
Product yield
Conformity to standards
Sources of waste arising from processes
Types of waste arising from processes
Waste (total waste on site)
Waste disposal cost
Disposal routes
Hazardous wastes
Disposal of contractors' waste
Disposal sites

Yes/No

Yes/No

Yes/No

Yes/No

5.

6.

7.

8.

9.

10.

11.

12.

Individual Waste Streams

Volumes arising yearly
Description of the waste
Disposal methods
Disposal costs
Techniques/technology used to control emissions
Monitoring equipment
Mass Balances
Material fed into processes
Product obtained
Waste collected
Losses to each media, i.e. water, land and air
Water Usage
Process water used
Cooling water used
Cleaning water used
Other uses of water
Energy Usage
Usage by area
Cost
Seasonal variations
Are there energy-saving initiatives in operation?
Are there any hazardous substances used
Are there any hazardous substances produced?
Can hazardous substances produced by degraded to be safe?
Are records available of COSHH assessments?
Are safety procedures adhered to?
The Site
Site history evidence of contaminated land
Surrounding geography and neighbourhood
Schools, or locations where water is abstracted
All activities carried out on site
Building layout and drainage plan
Local environment
Have possible nuisance areas been defined?
Have there been any complaints from local residents?
What records exist of the responses to complaints
Have any local sites of special scientific interest been identified?
Waste management
Have all the environmental impacts of all waste produced been
assessed?
Are all wastes correctly stored, handled and labelled?
Are wastes disposed of to licensed waste management facilities?
Have the waste management licenses been audited?
Are waste costs fully documented?
Are any waste minimisation initiatives in operation?
1.12.2 Environmental Review Checklist.
Management

Yes/No

Yes/No

Yes/No

Yes/No

Yes/No

Yes/No

Yes/No

Yes/No

1.

2.

3.

Policy
Yes/No
Does the organisation have an environmental policy?
Is the policy endorsed by senior management?
Are all personnel aware of the policy?
Is the policy realistic?
Management Structure
Yes/No
Is an organisation chart available?
Have environmental responsibilities been delegated?
Do job descriptions define responsibilities?
Management system
Yes/No
Are written procedures available for emergencies?
Are written procedures available for activities which may lead to an
environmental incident?
Are records available for discharge consents?
Are records available for Environmental Protection Act 1990 or IPPC
authorisations?
Are waste transfer notes available?
Planning consents
Emission monitoring
Discharge monitoring
Maintenance of pollution control equipment
Complaints records
Environmental training records
Questions About Abnormal operating conditions
Yes/No
Does any legislation apply relating to the provision of emergency
information, e.g the Control of Major Accident Hazards (Amendment)
Regulations 2005?
Has a documented risk assessment been carried out?
Are there technical controls for plant failure, e.g bunding of tanks or
valves to prevent build up of pressure?
Is there an emergency action plan, for example written procedures for
action to take in the event of a chemical spillage?
Have employees been trained in what to do in the event of an
emergency?

2.0 Environmental Audit.

The periodic environmental audit is central to any management system which attempts to
improve environmental performance. Environmental auditing is at the centre of the systems
approach to environmental management. Auditing offers a methodology to evaluate the
environmental performance of companies and has become increasingly widespread as more
and more environmental regulations and codes of practice have to be adhered to in industry.
The main reasons put forward for conducting audits include the need to obtain information
for business planning, to avoid liabilities, as an opportunity to rectify problems, to generate
information for publicity purposes, to comply with legislation and to identify cost savings.
The United States of America were the pioneers of environmental audits. The focus was on
compliance audits simply adhering to legislation and regulations.
However, during the 1990s some audits were extended beyond this. Proactive audits which
go beyond pure compliance are slowly increasing in popularity.
Traditionally, environmental auditing methodology has represented a systematic series of
activities initiated by management to evaluate environmental performance. They have also
served to check compliance with environmental legislation and to assess whether the
management systems in place to achieve environmental improvement are effective. This
approach centres around auditing management systems. As part of the environmental
management system, audits are done at regular intervals to assess the environmental
performance of the company in relation to the company's own stated objectives,
environmental policy and documented environmental management system.
This type of audit ought to be more than a simple inspection or assessment which offers an
opinion based primarily on professional judgement. It has to be a methodological
examination of a facility's procedures which will include analyses and testing in order to
verify that legal requirements and internal policies are being met. In this context, auditors will
base their judgements of compliance on evidence gathered during the audit. Neither is the
audit a one-off activity. It needs to be seen as an ongoing programme where the audit is not
only repeated periodically but also developed in terms of scope and sophistication over time.
The use of a single audit to improve the environmental management system would be
undesirable since the audit programme should be seen as a commitment to see the process

as continuous and part of a company's wide range of assessment activities.

2.1 The Eco-Management and Audit Scheme (EMAS).

In June 1993 the European Community adopted the Europeans Commission's (EC) Ecomanagement and Audit Scheme. Subsequently, this came into force in April 1995.
All member states were required to adopt the EMAS scheme. This was a mandatory
responsibility because it was introduced under Regulation. However, there is no legal
requirement for companies to participate in the scheme as the scheme itself is entirely
voluntary.
The EMAS Regulation was intended for the manufacturing industry but the scope of this was
widened with its revision in 2001. Now, the scheme can be applied to all economic sectors.
The broadening of the scope allowed the participation of local authorities. This was designed
to assist local authorities in evaluating and improving their environmental performance.
EMAS has much in common with ISO 14001. EMAS aims to encourage continuous
improvements in environmental performance by:
(a) establishing and implementing environmental policies;
(b) establishing an internal environmental protection system;
(c) providing objective and periodic evaluation of environmental performance of the system;
(d) providing publicly available information on environmental performance;
(e) publishing an environmental statement, validated by an accredited environmental verifier.

2.2 ISO 14001 and EMAS.

The requirements of ISO cover

establishing and implementing environmental policies,

establishing an environmental protection system and
providing objective and periodic evaluation of environmental performance of the
system.

However, there are other notable differences:

1) EMAS requires a full environmental statement to be published and independently verified,
whereas for ISO 140001 only the environmental policy is required to be published.
2) EMAS requires a mandatory preliminary review whereas ISO14001 does not.
2.3 Requirements for EMAS Registration.
Until the revisions to EMAS, registration applied only to individual sites; organisations with
more than one site were required to register those sites individually.
Requirements for registration include the following:I. Environmental management system including organisational structure,
responsibilities, practices, procedures and resources, to ensure implementation of the policy
and programme.
II. Environmental policy including commitment to comply with relevant legislation and
continuous improvement in environmental performance.
III. Environmental programme including quantified objectives and targets, together with
measures to show how these will be achieved.
IV. Environmental review to provide baseline data for establishing an environmental
programme.
V. Environmental audit a systematic, documented, periodic and objective evaluation of
the performance of the organisation, management system and processes to ensure
compliance with company environmental policy and the effectiveness of the system itself.
VI. Environmental statement including a description of activities, an assessment of
significant environmental issues and impacts and information on environmental
performance. The statement should be written in non-technical language and be made
publicly available.
VII. Validation the environmental statement must be validated by an independent,

accredited environmental verifier. The environmental statement is then submitted to the

Competent Body for EMAS Registration. The Institute of Environmental Management and
Assessment (IEMA) is the Competent Body in the UK .
The EMS is only one of the requirements for EMAS registration, as the regulation also
requires EMS audit programmes and the publication of an environmental statement.
Organisations with an EMS certified to ISO 14001 were recognised by the EU as meeting
the EMAS requirements for an EMS following an EU Decision in April 1997. There are still
major differences between the EMAS and ISO standards.
2.4 Revision of EMAS Regulation.
In November 1998, the EU published a proposal to revise EMAS. The revised regulation
(761/2001) was given final approval in 2001 and includes the following:
(a) Broadening the scope of eligibility to include all economic sectors, rather than
restricting eligibility to some manufacturing, power and waste industries.
(b) Registering organisational units previously restricted to individual site registration.
(c) Adopting ISO 14001 as the EMS component of EMAS; this will benefit those
companies already registered to ISO 14001, allowing them to achieve EMAS registration
more easily.
(d) EMAS pilot schemes will now be incorporated into the new regulation (eg LAEMAS).
(e) Best available techniques (BAT) EMAS-registered companies will be required to use
BAT and take preventative measures against pollution.
(f) Validation annual validation of environmental statements has changed to every three
years.
(g) Participation employees are required to participate in EMAS implementation.
(h) Promotion Member States are required to encourage participation in EMAS and the
EU will develop a promotional strategy.
(i) SME involvement SMEs will be encouraged to join the scheme.
Question 5.
Periodic environmental audit is central to any management system which attempts to
improve environmental performance.
True/False (HP)
Answer 1: True
Response 1:
Jump 1: Next page
Answer 2: False
Response 2:
Jump 2: This page
Question 6.
An audit is a systematic, documented, periodic and objective review by a regulated entity of

the facility operations and practices related to meeting environmental requirements.

True/False (HP)
Answer 1: True
Response 1:
Jump 1: Next page
Answer 2: False
Response 2:
Jump 2: This page
2.5 Definition of an Audit.
An audit is defined as :
a systematic, documented, periodic and objective review by a regulated entity of facility
operations and practices related to meeting environmental requirements.
The International Chamber of Commerce (ICC) defined audit more specifically as:
a management tool comprising a systematic, documented, periodic and objective evaluation
of how well organisations, management and equipment are performing with the aim of
contributing to safeguarding the environment by facilitating management control of
environmental practices and assessing compliance with company policies, which would
include meeting the regulatory requirements and standards applicable.
The Environmental Audit is a tool for management, originally used in the USA where the
methodology was developed in response to liability laws.
Sometimes audit may be used to sample parts of the environmental management system.
Sampling can be used in these cases allowing the audit to be completed according to the
timescales. There are two types of sampling on the departmental basis which is referred to
as vertical sampling, and sampling on the subject basis referred to as horizontal sampling.
The main principles behind carrying out an audit are that it is systematic, objective,
documented and periodic.
Audits can be placed into three categories consisting of a 1st Party audit or internal audit
where the company will carry out an audit on itself. The 2nd Party audit where an audit is
carried out by the company on a second party. The third party audit is, as the name
suggests, where the company is audited by a third party.
The overall aim of environmental auditing is to gather information in order to provide an ongoing status check which will enable environmental improvement within the organisation to
continue and in so doing, will help to safeguard the environment and minimise the risks to
life. Although auditing alone cannot achieve environmental improvement, it is a powerful
managerial tool. The key objectives of the environmental audit are:

2.6 Goals of an Environmental Audit.

Verify compliance.
Review implementation of policies.
Identify Liabilities.
Review Management Systems.
Identify needs, strengths and weaknesses.
Assess environmental performance.
Promote environmental awareness.

Scope of Audits Level

Sections supervisors inspection.

Facility audit.
Corporate audit.
2.7 Audit Criteria.

An audit reviews a snapshot of environmental management practices and performance.

Audits can be made against several criteria:
Regulations and guidance these include European Directives and Guidelines, National
regulations and local and municipal regulations.
Corporate policies and procedures these include Public Environmental Policy
Statements, internal environmental policies, standard operating procedures (SOP) and
corporate policies.

Best management practices these include standards that are used in similar industries,
British Standards Institute (BSI), International Standardisation Organisation (ISO)
2.8 Two Components of Auditing.
There are two main components of auditing, Assessment and Verification.
1. Components of Auditing - Assessment

Provides expert judgement/opinion on hazards, associated risks and management

and control measures.

Identifies knowledgeable hazards.

Estimates the significance of risks.

Assesses current practices and capabilities.

Provides the basis for recommendations to improve the organisations management

systems and environmental performance.

2. Components of Auditing - Verification

Determines and documents performance by evaluating the application of, and

adherence to, policies and procedures;

Certifies the validity of data and reports;

Evaluates the effectiveness of management systems;

Verifies that regulations and policies are being adhered to;

Assists in identifying gaps in organisational policies and standards;

Confirms that management control systems are in place to manage hazards.

Verification is also there to:

provide management with information in order to help them make informed decisions
relating to improved environmental action;
determine the extent to which environmental management systems in a company are
performing according to their documented procedures and aims;
verify compliance with local, national and European environmental and health and
safety legislation and any voluntary codes which the firm has adopted;
verify compliance with a company's own stated environmental policy, corporate
policy and mission statement where appropriate;
review the internal procedures which aim to achieve the organisation's selfdetermined environmental objectives and targets;
minimise human exposure to risks from the environment and ensure adequate health
and safety provision;
identify and assess company risk resulting from environmental failure', to assess the
impact on the local environment of a particular plant or process by means of air,
water and soil sampling;
advise a company on environmental improvements it can make and on

improvements needed in the definition and/or operation of its environmental

management system.
Question 7.
Goals of an environmental audit are to....
Multiple Choice (HP)
Answer 1: identify strengths and weaknesses
Response 1:
Jump 1: This page
Answer 2: Promote environmental awareness
Response 2:
Jump 2: This page
Answer 3: Identify liabilities
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
2.9 Benefits.

Potential cost savings.

Improved efficiency.

Reduced liabilities.

Better PR and Public Image.

Security to top management.

Environmental protection.

Promotes good practice.

Problem solving.

There are a number of benefits to firms in having an environmental audit undertaken. These
include assurances that legislation is being adhered to and the consequent prevention of
fines and litigation, an improved public image which can be built into a public relations
campaign, a reduction in costs (particularly in the area of energy usage and waste
minimisation), an improvement in environmental awareness at all levels of the firm and an
improvement in overall quality.
However, many environmental audit programmes are still established on the direct orders of
top management for the purpose of identifying the compliance status of individual facilities
and thereby providing management with a sense of security that environmental requirements
are being met. Whilst this is good practice, it leaves open to question the issue as to whether
the traditional auditing process is really identifying the key elements and measures required

to move an organisation towards sustainability.

The primary benefits of environmental auditing are to indicate in good time whether
environmental measures are satisfactory and to assist with the subsequent compliance with
legislation, company policy and the public's demands. Experience of auditing has highlighted
additional benefits. As it is an information gathering exercise at all levels of the organisation,
the process of auditing increases awareness of environmental policies and responsibilities
amongst the whole workforce and provides management with an opportunity to give credit
for good environmental performance.
Many organisations now commission environmental assessments prior to the acquisition of
land. This has become standard practice. There has been a growing awareness that there
are potential risks in acquiring land which has been contaminated. Consumers have become
more aware of green issues and products and many strive to purchase those which are
environmentally friendly. The requirement of environmental legislation to reduce emissions
to the atmosphere and water systems using the best environmental option have also
become drivers to assessing whether their existing techniques are successful.
2.10 Auditors.
In order to ensure consistency when conducting an audit, a number of skills are required by
the auditors.
Some of these have grown out of quality assurance operations and others out of the
expertise developed through environmental impact assessment. However, environmental
auditing requires skills and attributes which go beyond both of these frameworks and entails
a much more interdisciplinary approach.
Increasingly, some degree of external help from specialist consultants will be needed by
business for a number of reasons.
Firstly, all but the largest of firms are unlikely to have the necessary expertise to cover the
legal, scientific and technical and management related requirements of the audit process.
Secondly, companies are increasingly looking for third party verification of their audit results.
External consultants can bring a degree of objectivity to the process and introduce fresh
ideas.
Thirdly, many audits have traditionally been site-specific and have not sought to assess
external environmental effects of operations. There is, however, a clear trend towards an
assessment of external environmental effects where expertise and measurement beyond a
single plant or operation are required.
Finally, the findings of audits were traditionally for internal company consumption but there is
now a move by some companies, reacting to demands from pressure groups and
encouragement from industry itself, government and the EU to publish the results more
widely and to consider the provision of public information. Thus the information resulting
from the audit needs to be comprehensible to the public and believed by them. This can be
achieved with external impartial advice and third party verification.
All environmental audits involve gathering information, analysing that information, making
objective judgements based on evidence and a knowledge of the industry and of
environmental legislation and standards and reporting the results to senior management with

recommendations and possible strategies for the implementation of the findings.

The traditional approach places an emphasis on the auditing of the environmental
management system and an assessment that the organisation is meeting its self-defined
policy objectives and targets. In 1996, the International Organisation for Standardisation
(ISO) introduced guidelines for environmental auditing covering general principles (ISO
14010), audit procedures for EMS (ISO 14011) and qualification criteria for environmental
auditors (ISO 14012).
All of these guidelines have since been replaced by one single standard that covers both
quality and EMS auditing ISO 19011.
2.11 Qualification Criteria for Auditors.

Must have completed secondary education.

Education and work experience a minimum of three years' further education or
appropriate work experience of 5 years.
Auditor training.
Objective evidence of education, experience and training.
Personal attributes and skills (communication, objectiveness and organisation).
Maintenance of competence.
Due professional care.
Language.
Additional auditor training and on-the-job training.
List of personal attributes and skills required (communication, objectiveness and
organisation).
Adhere to an appropriate code of ethics (unspecified).
Knowledge of applicable laws, regulations and other requirements.
Knowledge and skills of environmental science and technology and how human
activities interact with the environment.
Technical and environmental aspects of operations how the auditee organisations
activities, products and services interact with the environment.
2.12 Auditor Registration Schemes.

There two schemes in the UK, the International Register for Certificated Auditors (IRCA) and
the Institute of Environmental Management and Assessment (IEMA).
http://www.iema.net/
Individuals can gain registration by meeting specified criteria for education/training and
auditing experience and becoming members. The IEMA site for example, includes different
levels of membership from student to fellow and Chartered Environmentalist.
IEMA came into being with the merger in 1999 of the Institute of Environmental
Management, the Institute of Environmental Assessment and the Environmental Auditors'
Registration Association. These schemes can be useful in the selection of auditors.
Question 8.
Benefits of environmental audits include...
Multiple Choice (HP)
Answer 1: Better PR and public image
Response 1:

Jump 1: This page

Answer 2: Improved efficiency
Response 2:
Jump 2: This page
Answer 3: Potential cost savings
Response 3:
Jump 3: This page
Answer 4: All of the above
Response 4:
Jump 4: Next page
2.13 Auditing Procedures.
Details of auditing procedures include:

EMS audit objectives, roles and responsibilities.

Define audit objectives.
Roles and responsibilities and activities lead auditor, auditor, audit team, client,
auditee.
Conducting the audit opening the meeting, collecting audit evidence, audit findings,
closing meeting.
Audit reports and document retention preparation of audit report, contents of audit
report, distribution of audit report, document retention.
Specific roles and responsibilities identified.
Audits should be well-planned (scope, documents and process).
Thorough documentation of all aspects of the audit are required.
EMS audit procedures to assess compliance need to be established.
Formal audit procedures including meetings and inspections.
Formalised, well-structured reports.
2.14 The Three Stages of an Audit.

1. Pre-audit activities
The first stage, the pre-audit stage involves:

Initiating the audit audit scope, preliminary document review.

Preparing the audit audit plan, audit team, assignments and working documents.

The aim of pre-audit activities is to minimise the time spent at the site and to maximise the
audit team's productivity. Using the basic data obtained, the team will develop an audit plan
to include a specific list of audit objectives to be achieved and areas to receive emphasis.
The methods and techniques that will be used during the audit are selected.
A preliminary division of responsibility is made among the team members, depending upon
their competencies and experience.
Questions or issues that need to be resolved during the preliminary meetings and points to
be clarified during the administration of a questionnaire are discussed. Pre-survey
questionnaires can also be issued at this stage to management, so that team members can
familiarise themselves with the organisations activities and location. Questionnaires may

also be sent to a representative sample of the workforce (to be filled out in confidence)
asking about key issues such as communications, planning, health and safety and working
conditions.
2. Key activities on site the site audit itself

The main objectives of the audit are an understanding of the management

systems

This involves the inspection of records kept by the company, to include certificates of
compliance, discharge consents, waste licenses, etc., the examination of lines of
management and responsibility and competence of personnel and systems of authorisation.
There needs to be a working understanding of the facility's internal management system and
of its effectiveness.

Understanding plant processes and operating systems

The examination of inspection and maintenance programmes and the company's own policy
on what to do in the event of spills and other accidents. A confidential interview of selected
staff at all levels of operation with a view to collecting information, particularly in the area of
the effectiveness of systems and waste management.

Assessing the strengths and weaknesses

Auditors will have to assess the soundness of the facility's internal controls and assess the
risks associated with the failure of those controls. Such controls will include management
procedures and the equipment and engineering controls that affect environmental
performance.

Gathering audit evidence

A physical inspection of the plant, working practices, office management systems and
surrounding areas including a check on safety equipment, verifying the company's own
sampling and monitoring procedures, investigating energy management systems and where
necessary taking samples of waste, liquids, soil, air and noise.
3. Post-Audit Activities
This final stage of the audit will involve

evaluating audit findings;

reporting audit findings to management.

Evaluating audit findings

The audit team will hold a meeting to discuss all facets of the environmental audit and
confirm that there is sufficient evidence on which to base and justify a set of findings and
evaluate the audit information and observations.
Reporting the audit findings in written form, and in discussion with the management

of the audited company.

This entails a formal review of the audit findings to avoid misinterpretation and discussion
about how to improve the environmental performance of the firm, based on the audit report.
Management is thus provided with information about compliance status and
recommendations regarding action which should be taken.
This will often result in the development of an action plan to address deficiencies. This will
include assigning responsibilities for corrective action, determining potential solutions and
establishing timetables. Recommendations for the next audit may also be made.
2.15 Types of Audit.
Compliance Audits
These type of audits check legal compliance. Before this type of audit is undertaken,
research should be carried out:

Are limits as set by consents/permits/authorisations being achieved?

Is there compliance with other, non-measurable conditions (e.g. how waste is stored,
record keeping)?
Check a sample of records as evidence of performance. Check some data to find the
source of measurements or data inputs. Determine the validity of key data upon
which analysis and reporting of performance is dependent (e.g. calibration of
measuring equipment).
In view of the importance of regulatory compliance, it is advisable to audit all
applicable regulatory requirements more frequently and within a reasonable time
period, if not during the same audit.

Environmental Management Audits or Site Audits

Environmental management audits are wide-ranging audits which cover roots causes of
identified violations and tests methods of control and communication. This type of audit
examines every aspect of single and multi-site operations such as the cultural, management
and operational aspects including;

Policies.
Human resources.
Training.
Monitoring and reporting.

Information management.

Liability Definition or Due Diligence Audits

Review of a site or a company prior to a take-over, merger or land acquisition. These are
external investigations carried out on behalf of a purchaser, lender, etc. The purpose is to
ascertain actual or potential environmental liabilities created for the purchaser/lender.
Audits (such as waste contractors)
Reviews environmental practices and permits and confirms that suppliers conform to
customers requirements. Supplier audits ensure that suppliers maintain records and may
lead to the adoption of controls which would not ordinarily be implemented. Those
organisations seeking more assurance or wishing to influence environmental performance in
other parts of the supply chain or product life cycle will take more proactive steps. Often, this
will concern materials and resources used and the specification of good practices such as
with waste and recycling. Supplier audits can cover:

regulatory compliance for example, waste contractors complying with

waste licensing and disposal regulations;
product and service specifications for example, elimination of cadmium
and lead in automotive products; and
environmental practices or management systems for example, methods for
material and wastes storage and handling, including those in developing
industrial countries.

Programme Audits (such as waste minimisation or energy)

Programme audits are a systematic review of progress and achievements. An audit of a
waste minimisation programme would:

examine waste generated by a site;

identify viable actions for reuse, recycle or reductions;
make recommendations for prioritised programme.

Single Issue Audits (such as noise or waste management)

Single-issue audits involve a detailed examination of a particular issue including paper
usage, energy or waste management audits and could also be conducted following an
environmental incident. An example of this type of audit could be a noise emissions audit
which could:

Activity Audit

identify all noise sources;

establish whether emissions were in breach of the law;
establish whether emissions were in breach of company policy;
detail noise reduction programmes;
identify individuals responsible;
report on efficiency of programme and short-comings.

Examines a particular activity, such as purchasing or distribution.

Procedures Audit
An audit against agreed procedures. This may be part of an Environmental Management
System.
Audit against document or standard
An audit against any agreed document, e.g. an authorisation or ISO 14001.
Environmental Impact Assessment Audit
A specialist audit for Town and Country Planning purposes, a specialised application of audit
techniques.
Corporate Audit
Checks every aspect of a companys operations against set standards (Corporate
Governance).
Specialist Audits Corporate Social Responsibility
The Turnbull report came about following a series of corporate disasters (amongst others
Enron, Barings Bank, Robert Maxwell), which instigated a debate for tighter controls within
publicly listed companies. Specialist audits for corporate social responsibility may be
commissioned to meet the combined code.
The Turnbull report Guidance for Directors on the Combined Code
Question 9.
The review of a site/company prior to a take over/merger/land acquisition to ascertain actual
or potential environmental liabilities created for the purchaser/lender is know as....
Multiple Choice (HP)
Answer 1: Site audits
Response 1:
Jump 1: This page
Answer 2: Compliance audits
Response 2:
Jump 2: This page
Answer 3: Liability definition/due diligence audits
Response 3:
Jump 3: Next page
Answer 4: Activity audit
Response 4:
Jump 4: This page
2.16 Audit Checklist.

The requirements for an audit will depend upon the type of organisation and the terms of
reference of the audit. The following checklist is a practical example of items which may be
examined during an audit.
POLICY
1.1
Is the top management seen to be committed to environmental
protection as a high priority?
1.2
Is there an organisational Environmental Policy?
1.3
Do all employees understand the Environmental Policy?
1.4
Has a senior executive been given the responsibility for ensuring
implementation?
1.5
Is a realistic budget allocated to environmental matters?
1.6
Is adequate training on environmental issues provided throughout
the workforce?
1.7
Is the workforce fully involved in environmental improvement
programmes?
LEGISLATION
2.1
Is there an inventory of all legislation affecting the operation?
2.2
Are all legal requirements being complied with?
PREMISES
3.1
Is there an inventory of all land owned by the organisation?
3.2
Are the past uses of the land known?
3.3
Has the environmental impact of past and current land usage been
assessed (especially regarding contamination of land)?
3.4
Is there an inventory of all buildings and other structures?
3.5
Does this inventory include or refer to any licenses, regulations or
presentation orders which might affect buildings?
3.6
Does this include or refer to any hazard which might accrue from
any historical usage for every building or structure?
WASTE
4.1
Is there an inventory of all wastes normally generated?
4.2
Are the health and safety implications of the wastes assessed?
4.3
Are wastes regularly analysed?
4.4
Are wastes properly labelled?
4.5
Are wastes properly stored?
4.6
Are wastes transported by licensed carriers?
4.7
Are wastes disposed of to licensed waste management facilities?
4.8
Are adequate records kept for the storage and disposal of wastes?
4.9
Are waste costs fully assessed, understood and documented?
4.10
Is hazardous waste produced on-site?
OPERATIONS
5.1
Are any raw materials considered as waste by suppliers (e.g waste
from food processing going to animal feed)?
5.2
Is there a system for controlling the use of raw materials?
5.3
Is there a system for keeping the inventory of raw materials up-todate?
5.4
Is health and safety data available for all raw materials, supplies,
intermediates or products?
5.5
Is a full hazardous substances assessment available, carried out

Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA

Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA

Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA

under the regime of the Control of Hazardous Substances

Hazardous to Health Regulations 2002?
5.6
Are all raw materials, supplies, packaging materials and products
stored in facilities appropriate to their nature?
5.7
Are all storage facilities designed to isolate leakage or spillages?
5.8
Are process flow diagrams available for the total operation?
5.9
Is there a mass balance (i.e. a system for measuring all inputs
relative to outputs) for the total site and each operation?
5.10
Are there systems for monitoring the amounts of energy used?
EMISSIONS AND DISCHARGES
6.1
Is there an inventory of all emissions or discharges?
6.2
Have all release points been identified?
6.3
Are all emissions and discharges regularly monitored, measured
and analysed?
6.4
Have all appropriate consents been obtained to ensure that all
emissions and discharges that may require them have them?
6.5
Is there an adequate system to ensure that emissions are always
given appropriate treatment?
6.6
Are all emissions above set standards investigated in detail?
6.7
Are all leaks, spills and accidental discharges investigated in detail?
6.8
Are there records of past incidents and complaints?
PRODUCTS
7.1
Is a life cycle analysis conducted for all products (i.e an assessment
of the environmental impacts of a product from sourcing of raw
material through its production, use and final disposal)?
7.2
Do any products have an environmental impact in their use?
7.3
Can products be reused or recycled?
7.4
Do products conform to environmental standards of legislation,
where these exist?
TRANSPORT
8.1
Is there an inventory of all transportation under the organisations
control?
8.2
Does the organisations purchasing policy include an aim to reduce
the number of deliveries of raw materials?
8.3
Does production scheduling aim to minimise vehicle movement onsite?
8.4
Have all foreseeable environmental consequences of spills and
leaks during transport been identified?

Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA

Y/N/NA
Y/N/NA
Y/N/NA

Y/N/NA
Y/N/NA
Y/N/NA
Y/N/NA

2.17 Frequency of Audits.

In order to ensure the effectiveness of the environmental management system, audits must
be conducted on an annual basis. However, if there have been changes to the organisation
or process, for example changes to organisational procedure or structure, unscheduled
audits must be performed.
As long as the supervisory agreement is in force (three years) as per ISO 14001, annual
follow-up audits will be performed by an external environmental inspector in order to rectify
compliance.
Since no major changes are typically made to environmental management documentation in
the previous year that would require renewed inspection, follow-up audits are smaller in

scope than the first audit.

Auditing by an external environmental inspector according to the EMAS Regulation is
required every three years. This audit can be performed simultaneously with ISO 14001
auditing.
Environmental auditing is a key part of the environmental management system and takes
many different forms. It can improve environmental performance and direct the organisation
towards sustainability.
In order for the system to be effective, proper planning and testing is imperative. It is through
the audit that organisations can ensure that the environmental management system is
effective and that environmental performance requirements are met.
Question 10.
Audits should be undertaken .....
Multiple Choice (HP)
Answer 1: At least annually
Response 1:
Jump 1: This page
Answer 2: When changes in the organisation or process occurs
Response 2:
Jump 2: This page
Answer 3: All of the above
Response 3:
Jump 3: Next page

Please be advised that the course material is regularly reviewed and updated on the
elearning platform. SHEilds would like to inform students downloading these printable notes
and using these from which to study that we cannot ensure the accuracy subsequent to the
date of printing. It is therefore important to access the elearning environment regularly to
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Version 1.1c

Element 5 - Developments in Environmental Legislation.

Overall aims
On completion of this unit, candidates will have knowledge and understanding of:

factors which have influenced the development of environmental legislation in the

second half of the 20th century and at the start of the 21st century;
the role of the European Union in influencing UK law.

Specific intended learning outcomes

The intended learning outcomes are that candidates will be able to:

describe the factors which have influenced the development of environmental law in
the UK during the second half of the 20th century and the first part of the 21 st
century;
describe the arrangements for implementing EU Directives in UK law;
advise on foreseeable changes in UK environmental law arising from proposed and
draft EU Directives.

Hours of tuition and private study

5 hours of tuition
2 hours private study
1.0 The History of Air Pollution Legislation - Overview.
Concern about urban air quality is not new. Complaints were recorded in the 13th century
when coal was first used in London . Since the middle of the 19th century, the atmosphere of
the major British cities was regularly polluted by coal smoke in winter, giving rise to an
infamous mixture of fog and smoke known as smog. Today the emphasis has shifted from
the pollution problems caused by industry to the ones associated with motor vehicle
emissions. The following pages show in chronological order the major pieces of legislation
passed in the UK since 1845 with regards to combating air pollution in urban areas.
1273
Use of coal prohibited in London as being "prejudicial to health".
1306 - Royal Proclamation:
Prohibiting artificers (craftsmen) from using sea-coal (a soft coal) in their furnaces.
1845 - Railway Clauses Consolidated Act:
Required railway engines to consume their own smoke.
1847 - The Improvement Clauses Act:
Contained a section dealing with factory smoke.
1863 - Alkali, etc. Works Regulation Act:
Required that 95% of the offensive emissions should be arrested.
1866 - The Sanitary Act:

Empowered sanitary authorities to take action in cases of smoke nuisances.

1875 - The Public Health Act:
Contained a section on smoke abatement from which legislation to the present day has been
based.
1906 - The Alkali, etc. Works Regulation Act:
It extended and consolidated previous Acts and embodied the prevention of discharge of
noxious or offensive gases from scheduled works by the use of best practicable means.
1926 - Public Health (Smoke Abatement) Act:
By which the Acts of 1875 and 1891 were amended and extended.
1946
First smokeless zone and prior approval legislation.
1956 - Clean Air Act:
Introduced Smoke control Areas, controlled chimney heights. Prohibited emission of dark
smoke from chimneys, with some exceptions.
1968 - Clean Air Act:
Extended the smoke control provisions of the 1956 Act and added further prohibitions on
dark smoke emission.
1970 - EC Directive 70/220/EEC:
Relating to measures to be taken against air pollution by gases from positive ignition engines
of motor vehicles. Limited emissions of CO and hydrocarbons from petrol engines. Came
into force in 1971.
1972 - EC Directive 72/306/EEC:
Measures to be taken against emissions from diesel engines for use in motor vehicles.
Limited black smoke emissions from heavy duty vehicles.
1973
Motor Vehicles (Construction and Use) Regulations 1973.
1974 - Control of Pollution Act:
Allowed for the regulation of the composition of motor fuels. In addition the Act limited the
amount of sulphur in fuel oil.
1975 - EC Directive 75/441/EEC:
Set up a procedure for exchanging air quality information between Member States.
Repealed in 1982.
1975 - EC Directive 75/716/EEC:
Concerned with the sulphur content of certain liquid fuels. Defined two types of gas oil
(diesel and heating oil). Introduced in two stages, sulphur limits for these fuels. Amended in
1987: EC Directive 87/219/EEC: (1) The motor fuel (sulphur content of gas oil), (2) the oil
fuel (sulphur content of gas).
1978 - EC Directive 78/611/EEC:
Concerning the lead content of petrol. Limited the maximum permissible lead content of

petrol to 0.4gl-1.
1979: International Convention on Long Range Transboundary Pollution:
Introduced to contol the transboundary effects of acid rain and to limit emission of acidifying
pollutants.
1980 - EC Directive 80/779/EEC:
Air quality limit values and guide values for sulphur dioxide and suspended particles.
1981 - The Motor Fuel (Lead content of Petrol) Regulation:
Limited the maximum amount of lead in petrol to 0.4gl-1. Amended in 1989.
1982 - EC Directive 82/884/EEC:
Limit value for lead in the air.
1984 - Directive 84/360/EEC:
Establishes a common framework directive on combating pollution from industrial plants
throughout the Community.
1985 - EC Directive 85/210/EEC:
Allowed for the introduction of unleaded petrol.
1987 - EC Directive 88/77/EC:
Specified the measures to be taken against the emission of gaseous pollutants from diesel
engines for use in vehicles. Controlled emissions of gaseous pollutants from heavy duty
vehicles. AMENDED 1991:
(EC Directive 91/542EEC).
1988 - EC Directive 88/609/EEC:
Limited emissions of SO2 and NOx and particulates from power stations and other large
combustion plants.
1989 - EC Directive 89/427/EEC:
Limit values and guide values of air quality for sulphur dioxide and suspended particulates.
Harmonised measurement methods.
1989 - The Air Quality Standards Regulations:
Brought into UK law as the limit and guide values for SO2 and suspended particulates, lead
in air and nitrogen dioxide set by EU.Updated in 2007.
1989 - EC Directive 89/429/EEC:
Directive on air pollution from existing municipal waste incinerators. Set limits on new waste
incinerators.
1989 - EC Directive 89/369/EEC:
Directive on air pollution from new municipal waste incinerators. Set emission limits on new
waste incinerator.
1990 - Environmental Protection Act:
Brings many smaller emission sources under air pollution control by local authorities for the
first time and establishes a system of integrated pollution control for the most potentially
polluting industrial processes.

1991 - The Road Vehicles Regulations:

Set standards for in service emissions of carbon monoxide and hydrocarbons to be included
in the MOT test for petrol cars and light goods vehicles.
1992 - EC Directive 92/72/EEC:
Air pollution by ozone. Establishes a harmonised procedure for monitoring, exchange of
information and warnings to be issued to the public about ozone pollution.
1993 - The Clean Air Act - consolidated the 1956 and 1968 Clean Air Acts.

Dark Smoke - bans the emission of dark smoke from chimneys and industrial or trade
premises.
Requires new furnaces to be as smokeless as possible.
Limits emissions of smoke, grit, dust and fumes.
Specifies required chimney heights.
Authorises local councils to declare smoke control areas in order to improve air
quality.
Only allows authorised fuels to be used in smoke control areas, with limited
exceptions.
Authorises the government to control the content of motor fuels and oil fuel for
furnaces.
Bans burning cables to retrieve metal.
Information Allows local councils to investigate, research and publicise air pollution
problems.
Sets out actions local councils can take in investigations and the procedures they
must follow.
Requires owners of mines or quarries to take action to prevent fire in colliery
spoilbanks, and prevent or minimise the risk of producing smoke and fumes.
Extends the smoke controls from Part I to apply to emissions from railway engines,
water vessels (eg in canals, ports, harbours). Allows local councils to suspend some
of the controls of this Act if necessary for air pollution research.
Sets out local councils duties on air pollution from government premises.

1995 - The Environment Act:

This provides a new statutory framework for local air quality management. The Act requires
publication of a National Strategy which will set air quality standards and targets for the
pollutants of most concern.
1996 EC Directive 96/62/EC:
This provides a new statutory framework for controlling levels of sulphur dioxide, nitrogen
dioxide, particulate matter, lead and ozone, benzene, carbon monoxide, and other
hydrocarbons.
1997 - The National Air Quality Strategy:
The final version of the National Air Quality Strategy was published in response to The
Environment Act on March 12th 1997, with commitments to achieve new air quality objectives
throughout the UK by 2005. It is reviewed periodically.
2000 - Sale of leaded petrol banned.
2000: The Air Quality Strategy for England , Scotland , Wales and Northern Ireland :
The second National Air Quality Strategy was published with new air quality objectives for

local authorities.
2002 Road Traffic (Vehicle Emissions) (Fixed Penalty) (England) Regulations 2002 and the
Road Traffic (Vehicle Emissions) (Fixed Penalty) (Wales) Regulations 2003, Road Traffic
(Vehicle Emissions) (Fixed Penalty) (Scotland) Regulations 2003 give the authorities the
power to carry out roadside emission tests on vehicles.
2007 - Integrated Pollution Prevention and Control Regulations now fully phased in.
2007 - New Air Quality Standards Regulations published.
2007 New National Air Quality Strategy published in two parts, available here and here.
April 2008 - Pollution Prevention and Control Regulations are replaced by Environmental
Permitting Regulations 2007.
2010 - New Environmental Permitting Regulations come into force.
1.1 The History of Air Pollution Legislation.
Specific reference to industrial air emissions was made in the Alkali Act 1863, which was
passed in order to control the emission of muriatic (hydrochloric) acid and acid gases, by
requiring the registration of processes which involved the release of these substances. The
Act was later amended to extend control over sulphuric acid gases. These amendments
were eventually consolidated into the Alkali, etc. Works Regulations Act 1906. This
legislation laid down the general requirement that:
the owner of any work specified in the schedule to this Act shall use the best practicable
means for preventing the discharge into the atmosphere of all noxious gases and of all
evolved offensive gases involved in such work, or for rendering such gases harmless and
inoffensive when discharged.
However, this provision was qualified by the definition of noxious or offensive gas. The
definition excluded sulphurous acid arising from the combustion of coal. Note the use of the
words 'best practicable means'. These are still used in legislation today - over a century
later.
In Britain and other western industrialised countries, it was assumed that human activities
and inudstry took priority. Besides, went the prevailing opinion, the oceans and atmosphere
were for all practical purposes, infinite and should with facility absorb anything that was
discharged into them.
When it is considered that a trip from England to the United States took six days by boat and
a voyage to India took six weeks, those making the trip, watching the ocean and the sky
slipping by for days on end, must have seen no reason to doubt the virtual infinity of the
earths resources.
It was not until the smog (a combination of fog and smoke) in the 1950s led to the
introduction of the Clean Air Acts that the concept of reducing pollution at source and
reducing the total volume of waste in the waste stream became a reality. The Great Smog of
5th-9th November 1952 was particularly bad. There was no wind to disperse the smog, into
which poured more and more pollutants day by day; an estimated 4,000 people (and
possibly as many as 12,000) are thought to have died as a result of respiratory illness
caused by the poor air quality.

It could be said that one of the most pervasive environmental problems was the domestic
coal fire. Most people did not realise that the efficiency of an open fire was very low.
Between 7/8ths and 9/10ths of the heat generated is lost. A calculation of the average
deposits of soot in 1914, falling per square mile showed the following:

Tons per square mile

Sheffield
9.6

London
5.9

Manchester Malvern
4.3
0.04

Put another way, it would mean Sheffield residents annually swept up eight ounces of dust
for every square yard of their property. This situation continued until the early 1950s, and
even then a quarter of homes were still cooking by coal.
The photograph below was taken in St Peters Square, Manchesters city centre in the middle
of the afternoon, 1950.

1.2 The Clean Air Acts 1956 and 1968.

Until the introduction of the Environmental Protection Act 1990, the principal statutes
relating to emissions to the air were the Alkali, etc. Works Regulation Act 1906 (as
amended), the Clean Air Acts of 1956 and 1968, the Public Health Act 1936 and the
Health and Safety at Work, etc. Act 1974.
The main aim of the Clean Air Acts was to introduce control over emissions of smoke, grit
and dust into the atmosphere. This was achieved by prohibiting the release of smoke, grit
and dust under certain circumstances from:

the chimney of any building;

any industrial or trade premises not registered under the Alkali Acts;
railway engines;
vessels or ships.

A defining feature of the Clean Air Acts is the large number of associated regulations.
Examples of these are shown below and they lay out in precise detail the requirements of
the law. This type of prescriptive regulation was typical of regulation in health and safety, as
well as environment at the time. Modern legislation tends to be Framework Acts and
regulations are less precise, the details usually being found in guidance.

1.3 Examples of Regulations Made Under the Clean Air Acts.

Here are examples of legislation now subsumed within later statutes:
The Dark Smoke (Permitted Period) Regulations 1958 (SI 498).
The Clean Air (Emission of Dark Smoke) (Exemption) Regulations 1969 (SI 1263).
Clean Air (Heights of Chimneys) (Exemption) Regulations 1969 (SI 411).
There are also a number of Orders such as the Smoke Control Areas (Exempted
Fireplaces) Order 1970, 1971, 1972, etc. These set out the precise model (and
manufacturer) of fireplaces which are permitted under the requirements of the Act.
The Smoke Control Areas (Authorised Fuels) (England) Regulations 2001consolidates
and revokes all earlier regulations on this topic. Again, there is a huge amount of
prescription, with the precise trade name and manufacturer of the fuel being defined. It is
difficult to imagine the same degree of prescription in more recent legislation.
The Clean Air Acts of 1956 and 1968 have now been repealed and their requirements
consolidated and updated in the Clean Air Act 1993. This picked up on the key themes of
the older Acts and modernised them. A more detailed discussion of the Clean Air Act 1993
is given later in the course.
Under Section 92 of the Public Health Act 1936, any dust or effluvia caused by any trade,
business manufacture or process and injurious, or likely to cause injury, to the public health
or a nuisance is a statutory nuisance. The relevant local authority then served an abatement
notice on the person responsible for any statutory nuisance, and if the person concerned
failed to comply with any of the requirements of the notice the authority could then obtain a
nuisance order, which permitted it to do whatever was necessary to abate the nuisance.
The costs of taking action to abate the nuisance were recoverable from the person on whom
the order was made.
Prior to the Environmental Protection Act 1990, the principal statute for controlling
emissions to atmosphere from industrial premises was the Health and Safety at Work, etc.
Act 1974. Section 5 of the Act imposed a general duty for persons in control of prescribed
premises to use best practicable means to prevent the emission of noxious or offensive
substances, or for rendering them harmless or inoffensive. This should be compared with the
general duty in Section 7(2) of the Environmental Protection Act 1990, which states that
the objectives of conditions in an authorisation to operate are:
ensuring that in carrying on a prescribed process, the Best Available Techniques Not
Entailing Excessive Costs will be used for preventing the release of substances prescribed
for any environmental medium into that medium, or where that is not practicable by such
means, for reducing the release of such substances to a minimum and for rendering
harmless any such substances which are so released.
Part 1 of EPA 1990 has now been repealed and completely replaced by the Pollution
Prevention and Control Act 1999 and the Pollution Prevention and Control Regulations
2000.
1.4 The History of Water Pollution Legislation.
Following the second major Cholera outbreak in 1847, the Government was propelled into
the introduction of the Public Health Act, 1848. This Act created a General Board of Health;

Edwin Chadwick (1800-1890) was one of its three members. During its five years of
existence, the Board was empowered to provide sewerage systems for the water-borne
collection of domestic wastes. A Medical Officer of Health could also be appointed. Despite
the patent need for public health schemes, the vested interests of landowners and others
formed a vociferous lobby against the granting of the necessary powers to any public body.

When the Board of Health was abolished, the Times concluded that "the English People
would prefer to take the chance of Cholera, rather than be bullied into health". In a clear
case of cognitive dissonance, the same newspaper called the 1848 Act "a reckless invasion
of property and liberty". Even so, the Act was only mandatory in towns where the death rate
was greater than 22 per thousand of population or where 10% of ratepayers petitioned for its
adoption. After the demise of the Board of Health, the Privy Council was made responsible
for public health (1858) and John Simon (1816-1904) was appointed as Medical Officer.
The Public Health Act, 1875 was a measure of great significance on a national scale, this
Act was partly a consolidation of the existing legislation. It went further in that it allowed any
local authority to carry sewers "into, through, or under any lands whatsoever within their
district", provided that reasonable notice in writing was given to the owner or occupier. The
1875 Act also declared that all existing and future sewers within a Local Authority district
would belong to that Local Authority - i.e. they would be public sewers. Exceptions were to
be any sewers which had been constructed privately for profit. Under the 1875 Act, urban
authorities could, at their own desire, keep a map of sewerage in their districts.
The Rivers (Prevention of Pollution) Act, 1876 prohibited the pollution of rivers by the
discharge of sewage and other waste material. A possible weakness of this Act was that the
local authorities which were made responsible for the enforcement of its provisions were
often the very bodies which were causing the pollution through the discharge of sewage.
Furthermore, each local authority was apt to be interested in river quality only within its own
boundaries. The Local Government Act, 1888 however, empowered county councils or
joint committees of county councils to enforce the 1876 Act.
The Public Health Act, 1936, like the great 1875 Act before it, confirmed that sewerage and
sewage disposal were to be administered by local authorities. It went further than merely
empowering the local councils however: effective waste-water management was now
required. The Act required local authorities to provide the necessary sewers for the 'effectual'
drainage of their districts. This requirement embraced both foul sewage and surface water
run-off. The Act gave the occupier of any domestic premises the right to connect to the
public sewers, but industrial effluent could only be discharged with the consent of the local
authority. The power of the local authority to lay sewers across any land was reinforced.
Furthermore, any private person or company constructing a new sewer could be required to
upsize or otherwise amend the design of this sewer if the local authority considered that
such changes would benefit the sewerage system as a whole.
The Water Act, 1973 created 10 Regional Water Authorities in England and Wales . These
Authorities inherited the accumulated assets and responsibilities of local authorities and
other public undertakings in the area of Water Supply, Sewerage and Sewage Disposal.
These assets came from:

29 River Authorities;
157 Water Undertakings;
1,393 Sewerage Undertakings.

The Act obliged the Water Authorities to enter into Agency Agreements with the local
authorities for the design, construction and operation of the sewerage system within the area
of each local authority.
The Water Act, 1989 required the functions and assets of the Water Authorities to be
transferred to 10 Water Service Companies. The public water supply, sewerage and sewage
treatment service was 'privatised'. This Act brought about a fundamental change in the basis
upon which the sewerage function was to be administered. The provision of sewerage
henceforth was to be a commercial undertaking - carried out for profit.
The Water Act 1989 was consolidated in 1991 into five separate Acts. The Water
Resources Act 1991 confirmed the duties and functions of the National Rivers Authority.
The Water Industry Act 1991defined the water supply functions and sewage undertaking
responsibilities of the ten Water plcs. It also established the office of the Director General of
Water Services. The Statutory Water Companies Act 1991covers the 29 Statutory Private
Water Companies, which still exist. The Land Drainage Act 1991describes the land
drainage functions of drainage boards and the NRA and the Water Consolidation
(Consequential Provisions) Act 1991contains resolution of issues arising from the
consolidation of the other legislation.
Question 1.
Which early legislation was developed after a major cholera outbreak and was concerned
with providing sewerage systems for the water-borne collection of domestic wastes?
Multiple Choice (HP)
Answer 1:

Local Government Act

Response 1:
Jump 1:

This page

Answer 2:

Rivers (Prevention of Pollution) Act

Response 2:
Jump 2:

This page

Answer 3:

Public Health Act

Response 3:
Jump 3:

Next page

1.5 The History of Waste.

The problem of what to do with waste has increased throughout history. As man has become
more sophisticated and prosperous, the material he produces and throws away reflects a
changing society. To begin with, the problem was manageable, but as the population
increased and lifestyles changed, measures had to be taken to tackle the growing problem.
In the early days of the hunter-gatherer, life was simple; ash from fires, bones and animal
waste were left on the ground to enrich the soil, and broken tools or pottery were left behind
when nomads moved on. When the hunter-gatherer became a farmer, everything was
repaired and reused if possible, and as populations were small and spread out, waste was
easy to deal with.
As humans began to congregate in first towns and then cities, the amount of waste produced
increased dramatically. With less access to the open spaces where waste had previously
been disposed of, solutions had to be found to the problem of disposal and more often than
not, it was a case of 'out of sight, out of mind' - dumping waste in the streets and in water

courses; the attitude was that once it was no longer on the waste producer's property, it was
no longer their problem. The potential for decay and disease can be imagined.
During the first half of the 19th century, there was no organised means of dealing with the
waste from households. The 1848 Public Health Act began the process of waste regulation.
The solution was to remove it from the dwellings and store it in " midden heaps" next to
them. These were large holes, and when full, the waste and sewage was dug out and
removed by a horse and cart for disposal. This was a horrible and heavy job, but labour was
cheap.
A cholera outbreak in London claimed many lives and led to The Public Health Act of 1875
. This was quite a step forward, as it charged local authorities with the duty to arrange the
removal and disposal of waste.
In 1874, the first energy from waste "destructor" was designed and built in Nottingham. It
burned mixed waste and produced steam to generate electricity. 250 were built over the next
30 years.
Work started in 1875 on the building of a pumping station for sewage in Garnier Road,
Winchester. Household refuse was used as fuel to produce steam which pumped
Winchesters sewage three quarters of a mile to St Catherines Hill for processing. Dustcarts
delivered refuse throughout the day, and boilers were stoked every two hours, day and night.
Each week 160 tons of material was burned. In 1950, two steam engines were installed and
these powered rotary pumps which discharged one million gallons of sewage every 24
hours. Steam engines were superceded by electric motors or diesel engines, and the
pumping station closed when the new Otterbourne incinerator was built in 1973.
In 1885, Fryer's Destructor was built at Corporation Wharf, Chapel, Southampton, also
burning refuse to produce steam to pump sewage, and integrating the two processes.
To comply with the Public Health Act 1875, refuse was collected regularly to provide a
routine for householders and also to reduce infestations of the housefly; the life cycle of the
pest, from egg laying to the emergence of the adult insect was taken into account. This had
a huge impact on death rates, which fell from 33 per 1000 population in 1870, to 13 per 1000
in 1930. In 1926, Birmingham City Council proposed a national waste reduction campaign.
Most refuse collection was by horse and cart, but in 1922 the first petrol-engined vehicle was
used. Southampton did not use motorised vehicles for refuse collection until 1964.

Kitty leaving Shirley Depot for the last time in 1967, with Mr Tony Wiseman
Meanwhile, types of waste produced were changing. Until the early 20th Century, packaging
was minimal, and very little was thrown away. The packaging revolution grew slowly to begin
with, and the throwaway culture began with the marketing aim of making the customer
constantly come back for more. It began with the disposable crown-shaped bottle top,
followed by the throwaway razor blade. In 1904, New York tea importer Thomas Sullivan
invented the tea bag; this was really to save money on tin tea boxes, but the bags became
popular. This was followed by the disposable paper cup, advertised with the slogan
"Influenza sits on the brim of the Common Drinking Cup" , and the disposable paper
handkerchief. Aluminium foil was used for milk-bottle tops in Sweden in 1914, but not
elsewhere until after the Second World War.
The Public Health Act of 1936 was passed, giving Authorities the power to prosecute
people for dumping and scavenging; it also set out rules for landfill site management, though
these were mainly ignored. The standard British galvanised metal dustbin was developed. In
the 1930s, a large proportion of peoples waste was dust from fires. People were
encouraged to burn their waste, with the slogan " Burn your refuse reduce your rates "
which was painted on the sides of refuse vehicles throughout Britain. Paper and coal were
burned on home fires and there were only small amounts of textiles, glass and metals,
because most of these went into reclamation schemes or were collected by rag and bone
men.
Fifty-two years after the building of Fryer's Destructor, on 29th June 1937 the Refuse
Disposal Plant at Corporation Wharf, Chapel, Southampton was opened. Items such as tins
and other magnetic material were extracted and baled; bottles and other valuables were
hand picked.
36.39% of the refuse was ashes and dust, so measures had to be taken to prevent it from
being blown about the site. The dust was screened and barged out to sea.
Non-salvageable material and the "more offensive classes of trades refuse and garbage with
a high moisture content", were conveyed to furnaces and incinerated.
During the wars there was a great deal of reclamation and recycling, promoted by a national
salvage publicity campaign to help "the War Effort". However, after the Second World War,
huge refuse tips grew up round the big cities and these burned continuously, causing
problems of pollution and risk to health.
In the post-war years, landfill dominated waste disposal but nobody thought much about the
environmental impact of water pollution and methane gas.
The consumer society began to evolve, and production and consumption increased, creating
new wastes and new problems; products were designed to be thrown away and packaging
increased. The use of aluminium cans grew.
In the 1930s polythene plastics began to be manufactured from chemicals produced from
petroleum (cellophane from plant cellulose had been produced in small quantities since
1908). Plastic production grew slowly for a while, and then from the 1950s, very quickly. To
meet consumer demand, there was an increase in manufacturing, industry, mining and
quarrying, agriculture and food processing, all producing waste.
In 1956, the Clean Air Act was passed. There were fewer open fires as these were

replaced by central heating, fuelled by oil, gas or electricity. Household waste changed from
being mostly ash, dust and cinders from fires to other wastes like food and paper, which
would previously have been burned.
In the 1960s, the Royal Commission on Environmental Pollution was set up.
The 1970s saw increased clean air legislation and health and safety awareness, and an
increase in concerns about use of energy and depletion of resources. The public at last
began to become aware of the environment, and the emphasis changed from protecting
public health to include environmental protection. Public outcry over some dumped drums of
cyanide led to legislation to control hazardous waste.
The Control of Pollution Act, in 1974 led to the creation of Waste Collection Authorities
and introduced the licensing of waste disposal facilities.
In 1973, the production of the plastic bottle was perfected. Although plastic packaging
reduced food waste, increasing amounts of non-biodegradable plastic has become a
problem. Throwaway nappy pads first appeared in Sweden soon after the Second World
War, but they werent very successful until Pampers were launched in 1966.
In the 1970s "throwaway" became fashionable, with disposable pants, shirts and furniture
becoming popular. Disposable cameras, lighters and watches were common in the 1980s.
During this decade public concern over waste disposal increased.
In spite of increased awareness and legislation to tackle the waste problem, the 1990s saw a
surge in convenience food and ready meals with all the packaging they require.
White goods such as fridges and cookers are being thrown away in ever increasing
numbers, and electronic goods are a relatively new waste.
Already millions of televisions, videos, home computers, telephones and microwaves are
being landfilled every year. The age of electronic communication is beginning to reduce the
amount of paper produced by businesses, but there is still a culture of dependence on the
printed word. The average household throws away 1.3 tons of waste each year.
In 1990, a White Paper on the Environment set out a waste strategy including waste
minimisation and recycling as priorities, and setting a target of 25% recycling by the year
2000.
The Environmental Protection Act of 1990 brought new regulations and controls, including
a requirement for local authorities to contract out household waste disposal operations.
This was followed by the Duty of Care, requiring anybody dealing with waste to manage it
safely, and legislation requiring large businesses to recover and recycle packaging waste.
Landfill Tax was introduced in 1996 to encourage reuse and recycling and promote waste
minimisation, and responsibility for regulation of waste management passed from local
authorities to a new Environment Agency.
In June 2000, the governments National Waste Strategy set new higher targets for local
authority recycling, paved the way for a network of energy recovery incinerators and further
discouraged landfilling as a means of waste disposal.

Recycling
Reuse and recycling have been carried out to a greater or lesser extent throughout history,
until recently as a necessity for economic reasons. Money and resources could be saved by
reuse, and made by recycling. It was labour intensive and mainly carried out by the poor.
As the economy developed in the 19th Century, reuse and recycling became less important
and the more prosperous throwaway society saw little need for them. Following the Second
World War, in order to stimulate demand and revitalise manufacturing, populations were
encouraged to replace rather than repair. This had the effect of introducing a throwaway
society and led to the decline of the repairman as people chose to buy new items rather than
make-do and mend.
In the second half of the 20th Century, people slowly became aware of the need to preserve
the environment, save energy and conserve resources, and recycling again became
important. With the current economic crisis, people are again starting to look at how to make
what they have last longer.
Composting has always been used by farmers and gardeners as a means of using biodegradable waste. This is also now carried out on a larger scale at central composting sites
where householders garden waste is composted. Composting is now seen as an important
contribution to waste reduction, also lessening the harmful effects of landfill gas. In cities
where there are few gardens and home composting is not an option, new technologies such
as anaerobic digestion are being considered.
Burning of waste on home fires was practiced extensively until the 1950s. Central heating
put an end to such widespread use of domestic fires. When they first appeared, incineration
plants produced unacceptable levels of dust, ash and smoke but they have now been
developed and regulated to produce environmentally safer emissions and play a part in
reducing landfill.
Landfilling is the oldest method of waste disposal, and is still used extensively, but although
management of sites is becoming more scientific, reducing the damage to the environment,
space is a problem, it is becoming more expensive and alternatives are being pursued.
National and local government interest and funding for environmental issues has set the
agenda for more sophisticated methods of reclamation and disposal. Public awareness of
waste minimisation as an important part of sustainable development is essential as we enter
the 21st century.
1.6 Control of Pollution Act 1974 and subsequent legislation.
The Deposit of Poisonous Waste Act 1972was drafted in haste and was quickly followed
by a more considered and general piece of legislation. This was the Control of Pollution
Act (COPA) 1974. This addressed all aspects of pollution including waste intended for
landfill. It was the means by which waste disposal sites first came to be licensed, a fact
which in itself started to bring about environmental improvement. It also put into being the
notion of controlled waste and, in later regulations, the concept of a special waste.
Controlled waste was effectively any waste controlled by the Control of Pollution Act and
means all waste, including household waste, commercial waste and industrial waste.
Special Waste, now called Hazardous Waste is also a controlled waste but is waste which is
considered to be so dangerous or difficult to dispose of, that special provision is required for
its disposal. Regulations to manage special (hazardous) wastes were drafted later and are

now incorporated into the Hazardous Waste Regulations 2005.

The definition of hazardous waste is now contained in the Hazardous Waste Regulations
2005. Most of the provisions of the Control of Pollution Act 1974 have been absorbed into
the Environmental Protection Act 1990.
Although COPA was contemporary with the Health and Safety at Work, etc. Act 1974, the
two acts were very different in their effects, and in practice COPA had far less influence on
the industrial scene than HSWA, and some of its provisions were never enacted. It was not
until EPA 1990 that environmental legislation took off and started to grow in its influence
and importance.
After several postponements in the early 1990s, the Department of the Environment (as
was) finally launched a new Waste Management Licensing System. The scheme was
established under the Environmental Protection Act 1990 to implement the requirements
of the EC Framework Directive on Waste, 91/156/EEC. The Waste Management Licensing
Regulations 1994,came into operation on 1st May 1994 . They were supported by statutory
guidance in the form of a circular and two new Waste Management Papers.
The new regime replaced and updated most of the existing controls on Waste Management
under the Control of Pollution Act 1974 and conferred several major additional
requirements on waste disposal site operators. The system introduced a new test on
whether a licence applicant or holder was a fit and proper person to hold a waste
management licence. Before being granted a licence, applicants were also required to
satisfy the three main components of the test. They were not deemed to be fit and proper, if
they had been convicted of a relevant offence.
Applicants also had to demonstrate technical competence by holding relevant certification,
and site operators had to provide evidence of suitable financial provisions to cover all of the
obligations of their licence, including monitoring and maintenance of the site between site
closure and the surrender of the waste management licence.
Under this system, licence holders could not surrender waste management licences until this
was accepted by the Environment Agency. This only occurred when the Environment
Agency were satisfied that the site was no longer a threat to the environment or public
health.
Whilst some types of industrial sites and especially landfill waste sites were recorded and
registered by various authorities and organisations, the House of Commons Select
Committee on the environment recognised that there was no National Register of
Contaminated Land. Consequently, the Committee recommended to the Government that
such a Register be established. Various options were discussed and feasibility studies
carried out. It was established that a protocol involving the identification of potentially
contaminated sites, followed by investigation of the site to determine the nature and extent of
any pollution, would cost in the order of 600 million and take well over ten years to
complete. So the Government proposed under section 143 of the Environmental
Protection Act 1990 that Regulations should be drafted to the effect that the first part of the
protocol be carried out, to establish a Register of potentially contaminated sites.
The proposed Register, as outlined in the Environmental Protection Act 1990 (Section
143: Registers), was in fact a land use register rather than a register of polluted land. The
Regulations envisaged District Council officers carrying out desktop exercises to identify
land which had been used for a purpose which may have led to contamination. One of the

purposes of the Register was to alert potential purchasers or users of such land that further
investigation was necessary.
The method of compiling the Register envisaged District Council officers, such as
Environmental Health Officers and Planning Officers reviewing the industrial properties and
disposal sites in their Districts and then studying maps, plans and archive material, as far
back as records permitted, to identify any land use which could have resulted in soil
contamination. The list of possible sites was large and, in some industrial urban areas, a
large proportion of the District area would have been included in the Register.
A particular feature of the Register and one which attracted a great deal of criticism, was that
entries in the Register were to be permanent. The Register entry defined the area and
contained notes on the activities which could have resulted in contamination. However, if the
site was cleaned up, with any polluted soil removed, the entry would still have remained on
the Register, with an additional note to the effect that site remediation had taken place.
The justification for this was that the Register would have listed current and former land use
with no value judgment having been made as to whether the land was actually polluted.
Similarly, there were no opportunities to prevent land being included on the Register, on the
grounds that the site was not polluted. If the use of the land met the definitions in the Draft
Regulation, then it would have been included on the Register. However, the District Council
would have had to inform the public that particular areas of land were to be included on the
Register and, of course, the Register was to be open to the public.
However, the proposed Register met serious opposition which resulted in its abandonment.
This arose because the Register would have included not only polluted sites, but also every
other site which had been used for the specified processes. It was feared that this would
have resulted in a widespread and unwarranted fall in land and property values for those
sites which are not actually polluted.
Attempts to limit the scope of the Register, by reducing the number of processes which were
considered to be contaminating and therefore reducing the number of sites listed, were not
successful. The result would have been a Register which contained details of potentially
contaminated sites, many of which would in fact not be contaminated and a larger number of
contaminated sites not included due to the industrial activities undertaken on site, not
defined as 'contaminating'.
To resolve the situation, in March 1993 the Department of the Environment established a
policy review of the arrangements for controlling contaminated land. A wide range of
interested parties contributed to this review and, after a year, a consultation paper was
published entitled Paying for Our Past the arrangements for controlling contaminated land
and meeting the costs of remedying the damage to the environment. This outlined the main
questions of concern and outlined preliminary conclusions.
The Commission of the European Community (as was) published its Green Paper entitled
On Remedying Environmental Damage in May 1993. This was a discussion document which
drew on the experience of many European countries and the US, in attempting to draft
legislation to remediate hazardous contaminated sites.
The Green Paper discussed many of the issues associated with imposing strict,
retrospective, joint and separate liabilities. However, there was a strong bias toward strict
civil liability for environmental damage, since this was easier to administer than a fault-based
system. There was acknowledgement that the concept of environmental damage would

require a more precise definition if the legislation was to be effective. The Green Paper also
dealt with the problems of applying the polluter pays' principle when the pollution occurred
several decades in the past and could not be identified, or where the polluter was insolvent.
It proposed the establishment of a joint compensation system comprising funds maintained
within different industrial sectors to pay for remediation of sites polluted by that industry
sector.
The Council of Europe published the Convention on Civil Liability for Damage resulting from
Activities Dangerous to the Environment in June 1993, at the Lugano Convention. One of the
features of this convention was that the definition of damage and that of environment was
very wide. Whilst the Environmental Protection Act 1990 defined the environment to
include the air, water and land; and the air within buildings and other natural or man-made
structures above or below ground, man, other living organisms and ecological systems, the
Convention also included within the definition of the environment property which forms part
of the cultural heritage and the characteristic aspects of the environment.
The Lugano Convention also proposed that, amongst other principles, if a person suffered
damage as a result of the operation of an industrial site, all of the operators involved had to
prove that they were only responsible for part of the damage. In addition, if damage was
discovered after the installation had ceased operating, the last operator would be held liable
unless he could prove that the events which gave rise to the damage occurred before he
was the site operator. In this case, the previous operators would be jointly and separately
liable.
The similarity between some aspects of the EC Green Paper and the Lugano Convention
and the US CERCLA (Comprehensive Environmental Response and Liability Act) legislation
led to opposition from many European business and industrial organisations and several
Member State Governments.
In November 1993, the Confederation of British Industry (CBI) published a response to the
speculation on the environmental liability embodied in the Cambridge Water case, the EC
Green Paper and the Lugano Convention. It was entitled Firm Foundations: CBI proposals
for environmental liability and contaminated land. It summarised the views expressed by
many sectors of British industry that the British Government should reject the possibility of
imposing retrospective liability for damage caused by lawful activities and reflect any
widening of strict liability under civil or regulatory law. The CBI also recommended that the
British Government should reject the proposal in the EC Green Paper that a harmonised
liability scheme should be applied across the Member States.
In November 1994, the Department of the Environment (as was) published the outcome of
this policy review and the conclusions from the consultation paper in a document entitled
Framework for Contaminated Land. The report confirmed the Governments commitment to
a suitable-for-use approach to the control and treatment of contaminated land. The report
went on to set out the Governments proposals to change certain aspects of the relevant
legislation and to leave other aspects of the law relatively unchanged. The main changes
were to be included in the Environmental Agencies Bill of 1994. The contaminated land
powers in the Bill would update the statutory nuisance provisions of Part II of EPA 1990. The
Local Authorities would retain their role of identifying and acting on land contamination and
the new Environment Agency would provide technical and policy guidance to the Local
Authorities.
The Environment Act 1995received Royal Assent on 19th July 1995. The primary objective
of the Act was to establish the Environment Agency and the Scottish Environmental
Protection Agency. However, it also introduced a number of significant measures aimed at

improving the existing systems of environmental regulation. Section 57 of the Environment

Act 1995 contained a number of provisions on contaminated land which were inserted into
EPA 1990 as Part IIA. Most significantly, this contained the first statutory definition of
contaminated land in the UK. These provisions also created a new statutory framework for
ensuring the identification and ultimate remediation of contaminated land.
Question 2.
The Control of Pollution Act includes which types of waste?
Multiple Choice (HP)
Answer 1:

Household waste

Response 1:
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Answer 2:

Commercial waste

Response 2:
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Answer 3:

Industrial waste

Response 3:
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Answer 4:

All of the above

Response 4:
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Question 3.
Environmental Legislation took off and started to grow in its influence and importance
following the department of which Act?
Multiple Choice (HP)
Answer 1:

Health & Safety at Work Act 1974

Response 1:
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Answer 2:

Environmental Protection Act 1990

Response 2:
Jump 2:

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Answer 3:

Control of Pollution Act 1974

Response 3:
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1.7 Events Shaping Modern Legislation.

There has been a series of serious events that had increased the need and demand for
stronger approaches towards regulation and legislation. DDT
(Dichlorodiphenyltrichloroethane) is one example. A pesticide, non-toxic to mammals and
invaluable in the control of malaria and typhoid, was found to be persistent and toxic to birds
and caused them to lay thin-shelled eggs. As a result, its use is widely banned throughout
the western world although it is still used in Africa due to its effectiveness and low cost. More
complete data on the effects of DDT at the time could have prevented the near extinction of
many species as well as saving time on the development of alternatives.

In June 1974 the Nypro site at Flixborough was severely damaged by a large explosion.
Twenty-eight workers were killed and 36 more were injured. The death toll would have been
greater but the explosion occurred when the office staff were away. Prior to the explosion, it
was noted that there was a crack in a reactor that was leaking cyclohexane and a bypass
system was installed so production could continue. On the day of the accident, a small fire
ruptured the bypass system causing cyclohexane to escape and subsequently ignite,
causing an explosion. The bypass system had been hurriedly installed and had not been
tested properly. A lack of proper system testing and safety controls were responsible
although the risk of accident could have been reduced if large amounts of cyclohexane had
not been stored on site. Making the cyclohexane in-situ or only storing small volumes of
cyclohexane on site would provide greater intrinsic safety.

Flixborough Site After the Explosion ( 01/06/1974 )

At the trichlorophenol plant at Seveso, Italy a reactor overheated and popped a safety valve.
A large quantity of TCDD, a dioxin and carcinogenic, was released into the neighbouring
town. Thousands of people were exposed but no increased levels of cancers have been
experienced. The birds and animals around the town were not as resilient and local livestock
had to be culled. The risk could have been lowered by storing lower volumes of chemicals
on site and by operating continuous processes that use smaller reaction volumes.

Seveso Trichlorophenol Plant After the Accident

Cuyahoga River, Ohio, has caught fire on at least three occasions to date. All the industry
based around the river released their effluents into it; these mixed and started a reaction
which caused all the oils and flammables to catch fire and burn for several days. This
example shows that the cumulative effects on the environment of the different wastes from
various factories along the river should have been considered instead of separately
appraising each release into the river.

Cuyahoga River on Fire (left) and Sign Warning Potential Bathers (right)
1.8 More Recent Developments.
Recently, we have seen more use of fiscal measures and target-setting through regulation in
the pursuance of greater environmental controls. Examples include the Climate Change
Levy, the Landfill Tax, the Aggregates Tax and the Producer Responsibility Obligations
(Packaging Waste) Regulations.New regulations such as the Pollution Prevention and
Control Regulations 2000and the Contaminated Land Regulations 2000, as amended
2006,incorporate provisions to return sites to the condition they were in when the process
was granted a permit to operate, or to clean up the land which is polluted, thus incurring new
liabilities.
There are more regulations in the pipeline to further change the way we dispose of water,
banning certain wastes from being landfilled and encouraging recycling. All of these will be
discussed in the appropriate section.
Environmental Permitting Programme
There is currently a joint Environmental Permitting Programme (EPP) launched by Defra, the
Welsh Assembly and the Environment Agency. The programme is to deliver modernised
permitting systems. The first EPP consultation closed on 15th May 2006 .
Historically, environmental permitting regimes in England and Wales have developed largely
independently of one another. This has led to an overall regulatory system that is widely felt
to be extremely complex. The EPP programme is examining how to combine PPC and
Waste Management Licensing systems into common systems.
1.9 The Environmental Permitting (England and Wales) Regulations 2008 & 2010.
The position in 2008
The aim of these Regulations is to:

protect the environment;

ensure the whole permitting system is simple and reduces the amount of paperwork
for the regulators and operators;

work to ensure European legislation is implemented.

Scope:
Facilities in England and Wales, which were covered by the PPC regulations and Waste
Management licensing Regulations are now covered under these regulations.
What do these regulations cover?
Regulations set out the following:

the facilities that need environmental permits or need to be registered as exempt;

how to apply for and determine permit applications;
requirements that environmental permits contain conditions to protect the
environment;
how environmental permits can be changed and ultimately be surrendered;
compliance obligations backed up by enforcement powers and offences;
provisions for appeals against permitting decisions.

The principal offences under the Regulations are operating without a permit or in
contravention of permit conditions, and failing to comply with enforcement related notices.
Changes made in 2010
The Environmental Permitting (England and Wales) Regulations 2010 extend the permitting
regime introduced in 2008 (which provided a unified system for permitting waste operations,
mining waste operations, mobile plant and installations) to include water discharge consents,
groundwater permits and radioactive substances regulations. The new Regulations also
introduce the new waste exemptions regime which was consulted upon in 2008 and 2009.
The Environmental Permitting (EP) regime aims to protect the environment while simplifying
the regulatory system and minimising the administrative burden on the regulators and the
operators of the facilities regulated under the regime. The Regulations transpose the
provisions of eighteen European Directives regulating emissions to air, water and soil, waste
management and management of specific substances.
Summary of the Environmental Permitting Regulations 2010
European Directives transposed by the EP Regulations
The EP Regulations introduced in 2008 a permitting and compliance regime which deliver
many of the requirements of the European Environmental Directives and of national policy.
The Schedules to the Regulations identify precise requirements, article by article, for each
Directive which must be delivered through the permitting system. Each Directive covered by
the Regime has a specific schedule. The most relevant are:
Part A installations and Part A mobile plant (the Integrated Pollution Prevention and Control
Directive) - Schedule 7
Domestic Part B installations and Part B mobile plant - Schedule 8
The Waste Framework Directive - Schedule 9
The Landfill Directive - Schedule 10
The Asbestos Directive - Schedule 16
The Mining Waste Directive - Schedule 20.

DEFRA has published guidance illustrating how each Directive has been implemented by
the EP Regulations.
What do the EP Regulations contain?
The EP Regulations set out:

which facilities need an environmental permit ("regulated facilities") or need to be

registered as exempt;
how to apply for, change, extend and surrender a permit and register an exemption;
how the environmental protection requirements set out by European Directives and
national policy are implemented within the conditions of the permits;
a streamlined permitting system which uses standard rules;
powers and functions of the regulators, the Secretary of State and the Welsh
Assembly Government;
transition to the new regime; and
provisions for appeals against permitting decisions.

Information on which activities are regulated by whom, including an explanation of standard

rules and related standard permits, is included within the Permitting and Exemptions section.
Establishments and undertakings holding a permit or a waste exemptions under the 2007 EP
Regulations, as amended, or working under the Environment Agency Low Risk Waste
regulatory position are affected by the 2010 Regulations in different ways.
Regulated facilities
The 2010 EP Regulations change slightly the definition of regulated facility, i.e. a facility
which is required to operate under the authority of a permit.
The definition is quite complex and there is guidance available from the Environment Agency
(Regulatory Guidance Note RGN EPR 2) to help operators understand:

whether their activity/operation is a regulated facility;

which type it is (e.g. an installation, a waste operation, a mining waste operation, a
mobile plant etc.);
how it is defined (i.e. which activities are part of the regulated facility) etc.

The most important change introduced by the 2010 EP Regulations is that regulated facilities
can overlap. Hence, even if a waste operation is part of a regulated facility such as an
installation, it will be itself a regulated facility. In other words, the waste operation will still
require a permit whether stand-alone or part of another regulated facility. The only exception
to that is if the waste operation is exempt or excluded.
However, the Regulators can adopt a common sense approach and, under certain
conditions, group together regulated facilities under a single permit. Some information is
provided within section 3 and 4 of the DEFRA Core Guidance on Environmental Permitting.
Changes to the exemption regime
The Environmental Permitting (England and Wales) Regulations 2010 introduce the new
exemption regime. This regime, which had been consulted upon in 2008 and 2009,
rationalises how waste operations are regulated on the basis of their risk.

Many changes have been introduced, with the result that many more activities previously
exempt are now regulated through a permit, and that many activities regulated under the
Agency's Low Risk Waste regulatory approach are now exempt or require a permit.
Provisions are in place to facilitate the transition to the new regime.
1.9.1 What Facilities are Covered?.
The facilities which require an Environmental Permit are described in the Regulations.
However, specific waste operations covered by other legislation are excluded from
permitting.
An Environmental Permit is required for any of the following:

an installation (which carries out the activities listed in Schedule 1 to the Regulations
and any activities that are technically linked;
a waste operation;
a mobile plant.

Who should apply for the Permit?

A permit can only be obtained by someone in charge/control of the facility - this person will
be then referred to as the operator. A single operator will need to obtain a single
Environmental Permit for each regulated facility.
However, in some instances two different operators run different aspects of a facility - in this
case, each operator will need to obtain a permit for the areas in their control.
1.9.2 The Process.
Pre-application Discussion
To start the process, it is always recommended that there is a pre-application discussion
between the operator and the regulator. This can help the process and can improve the
quality of the application.
It is during this pre-application discussion that it can be determined whether a permit is
actually required for the facility, and if so, the pre-application discussion can provide the
operator with general advice and guidance.
Using existing data
Other sources of information may be used to support the application, so long as their
relevance is explained. These other sources may include the following:

Environmental Impact Assessments.

Documents relating to an installations regulation under the Control of Major Accident
Hazards (COMAH) Regulations.
Prior investigations for compliance with the Groundwater Regulations.
Externally certified environmental management systems.
Site reports prepared for planning purposes.

Timings of applications
An application should normally be made when designs have been drawn up and before

construction work commences. If the facilities are not complex, the operator should usually
be able to submit an application at the design stage containing all the information the
regulator needs.
Determination periods
The determination period begins on the date the regulator receives an application.
The periods for determining applications are:

Two months for an application to transfer a permit.

Three months for an application to surrender a permit, to vary a permit (other than
where public participation is required), for a mobile plant and for a permit for a
standard facility.
Four months for an application: for the grant of an Environmental Permit (other than
mobile plant and most standard facilities), and to vary a permit where public
participation is required.

1.9.3 Enforcement & Appeals.

Enforcement notices
Enforcement notices can be served by the regulator if they believe an operator has
contravened, is contravening, or is likely to contravene any permit conditions.
Enforcement notices will specify the steps required to remedy the problem and the time
scale in which they must be taken. Enforcement notices may include steps to remedy the
effects of any harm and to bring a regulated facility back into compliance.
Suspension notices
If the operation of a regulated facility involves a risk of serious pollution, the regulator may
serve a suspension notice. This applies whether or not the operator has breached a permit
condition.
The suspension notice must describe the nature of the risk of pollution and the actions
necessary to remove that risk. The notice must specify the deadline for taking actions.
When the regulator serves a suspension notice, the permit ceases to authorise the operation
of the entire facility or specified activities depending upon what is specified in the notice.
When the operator has taken the remedial steps required by the notice, the regulator must
withdraw the notice.
Prosecutions
If an operator has committed a criminal offence under the Regulations, regulators should
consider a prosecution. Conviction in a magistrates court carries a fine of up to 50,000 and
up to twelve months imprisonment for the most serious offences under the Regulations.
Conviction in the Crown court for those offences may lead to an unlimited fine and
imprisonment for up to five years.
The Environment Agencys enforcement and prosecution policy sets out a range of possible

enforcement actions. These range from warnings to formal cautions to prosecution

depending upon the facts.
Where an environmental permitting regulator and another enforcement body both have the
power to prosecute in respect of the same subject matter, they should endeavour to liaise to
avoid inconsistencies and make sure that any proceedings are for the most appropriate
offence.
Remediation
If a regulated facility gives rise to a risk of serious pollution, a regulator may arrange for the
risk to be removed. If an operator commits an offence that causes pollution, the regulator
may arrange for steps to be taken to remedy pollution at the operators expense.
Appeals
When an operator makes an appeal, this must be done so before a revocation notice takes
effect, within two months from the date of a suspension, enforcement or landfill closure
notice and a variation notification and no later than fifteen working days after receiving notice
that the application is deemed to be withdrawn.
The operator and regulator will normally be expected to pay their own expenses during an
appeal. However, where a hearing or inquiry is held, either the operator or the regulator can
apply for costs. There is no provision for costs to be awarded where appeals are dealt with
by written representations.
Appeal decisions
After the exchange of written representations has been completed or the hearing or inquiry
held, the appointed person will either make a decision or report their conclusions and
recommendations to the Secretary of State or Welsh Minister for determination.
The appointed person or the Secretary of State or Welsh Minister may dismiss the appeal or
may uphold the appeal in total or in part. They may quash or vary any notice. They may also
direct the regulator on what permit conditions to impose.
If the appeal is dismissed, the original decision by the regulator continues in force. Where
the original decision has been ineffective during the appeal (i.e. for a revocation notice), the
regulator's decision becomes effective from the end of the day on which the appeal is
dismissed or withdrawn.
If the appeal is upheld, either in total or in part, the regulator has a duty to give effect to that
decision. Consequently, where the regulator grants a permit or issues a variation notice
following an appeal, such a notice should include reference to the fact that the decision is
giving effect to a determination by the appointed person or the Secretary of State or the
Welsh Ministers.
The regulator should take into account relevant appeal decisions when reviewing and
developing the conditions to be attached to permits.
Appeal decisions may be challenged by judicial review on a point of law.
Business Link - Overview of environmental permits and licences
Question 4.

The increase in the need and demand for a stronger approach towards regulations and
legislation came about after a series of serious events
True/False (HP)
Answer 1:

True

Response 1:
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Answer 2:

False

Response 2:
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1.10 Summary.
What we have seen is a high degree of environmental concern, stretching back hundreds of
years. Unfortunately, there was no corresponding degree of environmental understanding.
Therefore, legislation tended to be piecemeal, and in response to particular problems. There
was no holistic view of the environment and there was a view that the environment could
somehow absorb all the pollution thrown at it. Unfortunately, we know now that this is not
the case and there is a historic legacy of pollution in some places.
Liability for this is still under discussion, but many of the latest pieces of legislation
incorporate the requirement to adopt a cradle-to-grave approach and take responsibility for
the decommissioning and long-term issues associated with a manufacturing process, or with
disposal of waste, whether this be solid, liquid or gas arising from any source. This will be
explored further with regard to specific legislation later in the course.
Environmental regulation has been slow to get off the ground, but if a graph were to be
drawn of the growth in regulation, it would probably look something like this:

Number of Statutes

Growth of Environmental Legislation

2.0 The European Union.
The countries that make up the EU are independent Member States that have delegated
some of their decision-making powers to the European institutions they have helped create.
This enables collective and democratic decision-making at European level on matters of joint
interest, such as environmental policy.

There are three main decision-making institutions in the EU.

1. The European Parliament, which represents the citizens of the EU and is directly elected
by them.
2. The Council of the European Union, which represents the individual Member States.
3. The European Commission, which upholds the interests of the EU as a whole.
Collectively, these bodies develop the policies and laws (directives, regulations and
decisions) that apply throughout the EU.
EU Environmental Policy is broadly defined in its Action Programme entitled Environment
2010: Our Future, Our Choice, which focuses on four themes.
1. Climate change and global warming.
2. The natural habitat and wildlife.
3. Environment and health issues.
4. Natural resources and managing waste.
Specific cross-cutting issues are addressed in Thematic Strategies which deal with

air pollution,
the marine environment,
waste prevention and recycling,
soil,
pesticides,
resource use and
the urban environment.

Most of these environmental issues are controlled or managed through the implementation
of EU regulations, directives and/or decisions.
2.1 EU Enlargement.
The EU agreed to begin proceedings to admit a large number of new member states from
Eastern and Central Europe in 1997 and the accession process began in 1998.
Cyprus, the Czech Republic, Estonia, Hungary, Latvia, Lithuania, Malta, Poland, the Slovak
Republic and Slovenia joined the EU on May 1st 2004. Bulgaria and Romania joined in
2007.
To qualify for EU membership, a state must meet the 'Copenhagen criteria':
1. To be a stable democracy, respecting human rights, the rule of law, and the protection of
minorities.
2. To have a functioning market economy.
3. To adopt the common rules, standards and policies that make up the body of EU law that is, to incorporate the acquis communautaire into domestic law.
While the EU has successfully enlarged on four previous occasions (1973, 1981, 1986 and

1995), it had never before taken on so many new members at once. The ten states that
joined in 2004 added 105 million to the population of the EU and increased its geographical
size by 34 per cent.
Nor have the economies and cultures of the incoming member states been so different
previously. The former Soviet bloc countries are considerably poorer than any pre-2004 EU
member states and have very young democracies.
As such, enlargement presents a number of major challenges, which were due to be
resolved with the ratification of the EU constitutional treaty.
2.2 Institutions of the European Union.
The European Union has a number of decision-making, supervisory and consultative bodies,
which function autonomously within the frameworks laid out in EU law and which interact
with one another in line with those frameworks.
However, the EU is inherently a political organisation and how they interact and how the
processes are implemented in any given situation is influenced by a range of outside factors.
European Commission
The European Commission was created by the 1967 Merger Treaty, replacing the 'High
Authorities' that administered the ECSC, EURATOM and the early EEC.
The European Commission is sometimes called the civil service of the EU, but it is also
sometimes called the government of the EU. This seemingly paradoxical situation stems
from the unusual position the commission occupies in the EU system of government. The
powers of the commission have been steadily increased by the new treaties adopted since
1987.
The European Commission comprises 25 commissioners, one of whom is the resident of the
commission and five of whom are vice-presidents. Until the accession of the Barroso
commission, the five large member states - Germany, France, the UK, Italy and Spain nominated two members each and the other member states nominated one member each.
Since November 2004, every member state has had one commissioner. The allocation of
the presidential and vice-presidential roles are matters of political negotiation between
member states.
While commissioners are appointed by member states' governments, they are not national
delegates, owing their loyalty to the EU and the promotion of its interests as a whole.
Although commissioners (and the president and vice-presidents) are nominated by member
states, their appointments are subject to ratification by the European parliament.
Commissioners are appointed for a five-year period.
Council of Ministers
The Council of Ministers, typically referred to as 'the Council', is the EU's main decisionmaking and legislative body. In conjunction with the European Parliament, the Council of
Ministers forms the EU's legislature.
The Council of Ministers should not be confused either with the European or the Council of
Europe. The former is a distinct EU institution that is discussed below. The latter is an
international body, completely separate from the EU, set up in 1949 with the aim of
promoting democracy, human rights and the rule of law within its 40 member states.

The Council of Ministers comprises ministers from each member state with responsibility for
the policy area under discussion. As such, the Council of Ministers is not a body that has a
fixed membership - it is a legislative concept that is given expression at any given time in
one of nine distinct 'councils'.
1. General affairs and external relations council.
2. Economic and financial affairs council (ECOFIN).
3. Justice and home affairs council.
4. Employment, social policy, health and consumer affairs council.
5. Competitiveness (internal market, industry and research) council.
6. Transport, telecommunications and energy council.
7. Agriculture and fisheries council.
8. Environment council.
9. Education, youth and culture council.

The Council of Ministers exercises the following functions.

1. The Council of Ministers is the EU's principal legislative body, with the unique power to
make legislation in some areas. In others, this is exercised in conjunction with the European
parliament.
2. The Council of Ministers (through ECOFIN) co-ordinates the domestic economic policies
of member states.
3. The Council of Ministers concludes international agreements, negotiated by the
Commission.
4. Along with the European parliament, the Council of Ministers authorises the budget
proposed by the commission. The council has the final word in relation to 'compulsory'
expenditure (eg CAP spending).
5. The Council of Ministers is the sole decision-making authority in respect of common
foreign and security policy proposals, within the framework set by the European Council.
6. The Council of Ministers co-ordinates the activities of member states and adopts
measures in relation to justice and home affairs policy.
The council votes either by unanimity of by qualified majority voting (QMV). The voting
system used for a given decision depends on the policy area to which that decision belongs.
According to the treaties, some subjects require unanimity, while others require only a
qualified majority.
Under QMV, each member state has a fixed (weighted) number of votes. The total number
of votes is 345 and a qualified majority will be obtained if the decision receives at least 255
votes (the qualified majority threshold) and the decision is approved by a majority of the
member states.
Where the council is required to act by a qualified majority, the votes of its members are
weighted as follows:

Germany - 29
United Kingdom - 29
France - 29
Italy - 29
Spain - 27
Poland - 27
Romania - 14
Netherlands - 13
Greece - 12

Czech Republic - 12
Belgium - 12
Hungary - 12
Portugal - 12
Bulgaria - 10
Sweden - 10
Austria - 10
Slovakia - 7
Denmark - 7
Finland - 7
Ireland - 7
Lithuania - 7
Latvia - 4
Slovenia - 4
Estonia - 4
Cyprus - 4
Luxembourg - 4
Malta - 3

European Parliament
The European parliament (EP) is the world's largest multinational parliamentary body,
representing over 500 million citizens. It was originally constituted as the assembly of the
ECSC, adopting the title 'European parliament' in 1962. As well as exercising an increasingly
important legislative and supervisory role, the EP functions as the primary source of
democratic authority and legitimacy within the EU.
Prior to 1979, it was not an elected body, with member states nominating delegations to the
EP. From 1979, elections have been held to the EP every five years, with the last held in
June 2009.
Today, the EP has 736 members, with all currents of political thought represented therein.
Each member state has a specific number of seats allocated to it, on the basis of population.

The electoral systems used for EP elections vary between member states. Most member
states treat the whole country as a single constituency - only the UK, Ireland, Italy and
Belgium have separate electoral regions with MEPs specifically elected to represent them.
European Council
The European Council brings together the heads of government of the member states and
the Commission at least twice a year and typically four times a year (twice per Presidency).
As such, each meeting of the European Council is often referred to as a 'Summit' or simply
'Council' - in conjunction with the name of the city in which the meeting is held.
Such meetings began to be held in 1974 and achieved a formal place in the structure of the
EU in the Single European Act. Over this time, the role of the European Council has shifted developing in the late 1980s into the current arrangement whereby the European Council
provides broad strategic direction to EU affairs in a manner comparable to a company's
board of directors.
The European Council is only vaguely defined in law and is largely free to decide what it

wishes to do. Each European Council meeting is arranged by the incumbent presidency, and
as such, the items that appear on the agenda - and hence are discussed and therefore more
likely to be the subject of action in future - are ultimately decided by the presidency. As such,
the significance of and controversy generated by each European Council is largely
determined by the level of activism and radicalism of the member state occupying the chair,
and its allies.
However, a number of items frequently appear on the European Council's agenda, including
constitutional and institutional reform, EMU and the euro and EU enlargement. In addition,
the European Council frequently focuses on major contemporary issues - eg reacting to
failed referenda on Denmark and Ireland, BSE etc.
The European Council also has a specific role to play with regard to international affairs in
general and with regard to common foreign and security policy in particular. The European
Council has frequently issued 'soft' foreign policy announcements and is required to set the
framework within which CFSP (common foreign and security policy) is conducted by the
Council of Ministers.
The development of the European Council as a significant institution has complicated the
structure of the EU.
The 'agenda setting' pronouncements of the European Council interfere with the
commission's de jure monopoly on policy initiation.
A tendency that developed in the 1980s to 'refer up' major issues to the European Council
has undermined the power and authority of the Council of Ministers.
The European parliament has little or no input into the activities of the European Council.
The rise of the European Council has reinforced the intergovernmental character of the EU
at the expense of the supranational, increasing the power of the member states. While it has
little formal power, as the conclave of the highest political authorities in the member states and one that pronounces purely on the basis of unanimity - the political force of the
European Council's statements is virtually irresistible, and highlights the lack of democratic
legitimacy enjoyed by the rest of the EU's decision-makers.
2.3 Other EU institutions.
The EU includes a number of other bodies that play a role in the legislative process. These
are the economic and social committee (the ESC or ECOSOC) and the committee of the
regions (the COR).
The ESC has 344 members, allocated to member states by population and appointed by
national governments for terms of four years. Members are drawn from three groups in each
member state.

1. Group 1 - Employers (approximately half from industry, the rest from the public and
commercial sectors).
2. Group 2 - Workers (generally representatives of national trade unions).
3. Group 3 - 'Various interests' (including agriculture, small and medium enterprises,
professional bodies, local authorities, consumer groups etc).

The ESC aims to provide a voice for sectional interests in the EU decision-making process,
supplementing the 'popular will' expressed by the EP. The ESC engages in three types of
work:

1. Mandatory consultations - In some areas, the ESC must have given an opinion for
legislative proposals to proceed. These are

agriculture,
free movement of labour,
internal market issues,
economic and social cohesion,
social policy and the European Social Fund,
regional policy and the European Regional Development Fund,
the environment,
research,
training and education,
employment,
transport,
taxation,
public health and consumer protection

as stated in the Maastricht treaty and the Euratom treaty.

2. Optional consultations - The council and commission may refer any matter to the ESC for
consultation as they see fit.
3. Own initiative work - The ESC is empowered to launch investigations of its own and to
publish the findings.
The committee of the regions plays a similar role to that of the ESC, providing a voice for
local and regional bodies in the EU decision-making process and to act as a guardian of the
principle of subsidiarity.
The COR has 344 members, allocated to member states by population and appointed by
national governments for terms of four years. While members must be 'representatives of
local and regional bodies', it is not required that they be elected representatives.
Like the ESC, the COR engages in three types of work:

1. Mandatory consultations - The COR must be consulted by the council or the commission
on matters with cross-border implications, economic and social cohesion, transport,
telecoms and energy networks, public health, education, training and youth policy and
culture.
2. Optional consultations - The council, commission or EP may seek the COR's opinion on
any matter as they see fit.
3. Own initiative work - The COR must be informed whenever the ESC is consulted on a
matter and has the right to issue an opinion if it believes that regional interests are affected.
The COR may also launch investigations at its own initiative.
There are also many other EU bodies that have important executive responsibilities, but
none are involved in the actual decision-making processes.
Question 5.

Who are the European Unions main decision making and legislative body?
Multiple Choice (HP)
Answer 1:

European Commission

Response 1:
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Answer 2:

Council of Ministers

Response 2:
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Answer 3:

Council of Europe

Response 3:
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Question 6.
To qualify for EU membership a state must meet the 'Copenhagen Criteria' which
includes.....
Multiple Choice (HP)
Answer 1:

To incorporate the common rules, standards and policies into domestic

law

Response 1:
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Answer 2:

To have a functioning market economy

Response 2:
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Answer 3:

To be a stable democracy

Response 3:
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Answer 4:

All of the above

Response 4:
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3.0 EU Legislative Process.

The EU's legislative process is more complex than that which operates at Westminster - this
reflects the institutional arrangement, the international character of the EU and the extent of
diversity that must be accommodated in the EU's actions and the shifting basis of the EU's
'constitution' (the treaties).
The ordinary legislative procedure, formerly known as Codecision procedure, is the main
legislative procedure by which directives and regulations are adopted.
Article 294 TFEU outlines ordinary legislative procedure in the following manner. The
Commission submits a legislative proposal to the Parliament and Council. At the first reading
Parliament adopts its position. If the Council approves the Parliament's wording then the act
is adopted. If not, it shall adopt its own position and pass it back to Parliament with
explanations. The Commission also informs Parliament of its position on the matter. At the
second reading, the act is adopted if Parliament approves the Council's text or fails to take a
decision. The Parliament may reject the Council's text, leading to a failure of the law, or

modify it and pass it back to the Council. The Commission gives its opinion once more.
Where the Commission has rejected amendments in its opinion, the Council must act
unanimously rather than by majority.
If, within three months of receiving Parliament's new text the Council approves it, then it is
adopted. If it does not then the Council President, with the agreement of the Parliament
President, convenes the Conciliation Committee composed of the Council and an equal
number of MEPs (with the attendance and moderate of the Commission). The committee
draws up a joint text on the basis of the two positions. If within six weeks it fails to agree a
common text, then the act has failed. If it succeeds and the committee approves the text,
then the Council and Parliament (acting by majority) must then approve said text. If either
fails to do so, the act is not adopted.
The procedure was introduced with the Maastricht Treaty as the codecision procedure and
was initially intended to replace the Cooperation procedure (see below). The codecision
procedure was amended by the Treaty of Amsterdam and the number of legal bases where
the procedure applies was greatly increased by both the latter treaty and the Treaty of Nice.
It was renamed the ordinary legislative procedure and extended to nearly all areas (such as
agriculture, fisheries, transport, structural funds, the entire budget and the former third pillar
by the Treaty of Lisbon.
EU Law
There are three sources of European Union law: primary sources, secondary sources and
supplementary law.
Sources of primary law
The main sources of primary law are the treaties establishing the Communities and the
European Union. They contain the formal and substantive rules on the basis of which the
institutions implement the various policies of the Communities and the Union. The formal
rules set out the division of powers between the Union and the Member States and confer
powers on the institutions. The substantive rules define the scope of policies and the
activities of the institutions within each policy area.
Primary law consists principally of:

the "founding" treaties establishing the various European Communities and the
European Union;
the major amending treaties of the various European Communities and the European
Union;
the protocols annexed to the treaties, such as Protocol No 2 annexed to the
Amsterdam Treaty integrating the Schengen rules;
additional treaties amending the founding treaties in specific sectors;
and the treaties on accession to the various European Communities and the Union.

Sources of secondary law

Secondary law comprises unilateral acts and agreements.
Unilateral acts can be divided into two categories:

those listed in Article 249 of the Treaty establishing the European Community:
regulations, directives, decisions, opinions and recommendations;
those not listed in Article 249 of the Treaty establishing the European Community, i.e.
"atypical" acts such as communications and recommendations, and white and green
papers.

Agreements comprise:
international agreements, signed by the Community or the European Union and a country or
outside organisation;
agreements between Member States; and
interinstitutional agreements, i.e. agreements between the institutions of the European
Union.
Sources of supplementary law
Besides the case law of the Court of Justice, supplementary law includes international law
and general principles of law. It has enabled the Court to bridge the gaps left by primary
and/or secondary law.
International law is a source of inspiration for the Court of Justice when developing its case
law. The Court cites written law, custom and usage. For example, in order to validate the
external agreements concluded by the European Community, the Court relied on the rules of
international law relating to treaty-making power (the international capacity to enter into
agreements with non-member countries and organisations) arising from international legal
personality.
General principles of law are unwritten sources of law developed by the case law of the
Court of Justice. They have allowed the Court to implement rules in different domains of
which the treaties make no mention, concerning the non-contractual liability of the European
Community, for example.
3.1 The Treaties.
European union has been promoted since 1951 by means of a series of treaties agreements with the force of law reached between member states.
The Treaty of Paris of 1951 established the European Coal and Steel Community (ECSC),
which comprised Belgium, West Germany, France, Luxembourg, Italy and the Netherlands.
The Treaties of Rome of 1957 established the European Atomic Energy Community
(EURATOM) and the European Economic Community (EEC), comprising the same six
countries.
These three bodies were united by the Merger Treaty of 1967, under the name 'the
European Economic Community'.
The EEC changed its name first to the European Community and latterly to the European
Union, brought in new members and took on new powers and responsibilities under a series
of additional treaties amending the previous agreements.

The most important of these are:

The Single European Act (in force 1987)

The Treaty on European Union or the Maastricht treaty (in force 1993)
The Treaty of Amsterdam (in force 1999)
The Treaty of Nice (in force 2003)
The Treaty of Lisbon (effective from 2009)

The treaties established an independent system of law that takes precedence over national
law, empowering EU institutions to make secondary legislation to which member states are
subject.
3.1.1 The Treaty of Rome.
The legislative instrument which brought the European Economic Community into being was
the Treaty of Rome. Britain signed this treaty and agreed to be bound by it in 1973. The UK
legislation governing membership of the EC is the European Communities Act 1972. This
provides that the UK will be bound by all the provisions of the treaties governing the
Common Market and the rules made under them, without the need for any further legislation.
The provisions of this treaty are therefore important in understanding the mechanisms
working within the EU and their importance to UK industry and commerce. The most
important articles of the treaty and their significance are discussed below.
Article 2
The community shall have as its task, by establishing a common market and progressively
approximating the economic policies of Member States, to promote throughout the
community a harmonious development of economic activities, a continuous and balanced
expansion, an increase in stability, an accelerated raising of the standard of living and closer
relations between the States belonging to it.
Article 100
The council shall, acting unanimously on a proposal from the Commission, issue directives.
Article 117
Member States agree upon the need to promote improved working conditions and an
improved standard of living for workers, so as to make possible their harmonisation while the
improvement is being maintained.
Article 118
Without prejudice to the other provisions of this treaty and in conformity with its general
objectives, the Commission shall have the task of promoting close co-operation between
Member States in the social field, particularly in matters relating to:
Employment.
Labour law and working conditions.
Basic and advanced vocational training.

 Social security.
Prevention of occupational accidents and diseases.
Occupational hygiene.
The right of association, and collective bargaining between employers and workers.
These articles have been given in some detail because they form the Framework of what
follows.
3.2 Secondary Legislation.
The EU's 'secondary legislation' is that form of legislation that affects day to day life within
the EU and with which most people are familiar.
It is the kind of law made under the powers created and invested in the EU by the treaties the EU's 'primary legislation'.
EU secondary legislation falls into four categories:
1. Regulations issued by the EU are directly applicable and binding in all member states
without the need for any legislation in the member states.
2. Directives state objectives to be achieved and impose a requirement on member states to
take domestic legislative action themselves to implement those objectives.
3. Decisions are binding directly in the same way as regulations, but they only apply to those
to whom they are addressed - which may be member states, companies or individuals.
4. Recommendations and opinions are not binding.
3.2.1 Regulations, Directives and Decisions.
Regulations are applicable law in Member States and do not need to be transposed through
national legislation. They usually focus on policy or administrative matters. Examples include
the Eco-management and Audit Scheme (1836/93/EC), the Community Eco-label Award
Scheme and the Transfrontier Shipment of Waste Regulation.
Directives are binding on each Member State as to the end results that must be achieved
usually by a given date. Directives also allow each State to choose its own processes and
methods to achieve those results. This is the most appropriate and commonly used
instrument for the implementation of environmental protection. There are many examples in
this course of Council Directives transposed into UK legislation and supporting statutory
instruments. For example, Directive 96/61/EC concerning Integrated Pollution Prevention
and Control (IPPC) is implemented in the UK by the Pollution Prevention and Control Act
1999 (PPC).
Decisions are binding upon those States that they concern; they do not normally concern all
Member States. They have been used in relation to international environmental conventions.
Supporting the EU is the European Environment Agency (EEA) who provides information
and statistics to help decision-makers deliver policies to protect the environment and support
sustainable development. The EEA does not make or enforce EU environment policy or
legislation but does advise on policy development. The EEA focuses on assessing current
and future environmental trends across Europe and is itself supported by the European
Environment Information and Observation Network (EIONET) with over 300 environment
bodies, agencies, public and private research centres and centres of expertise across

Europe. The EEA's tasks also include disseminating best practice in environmental
protection and technologies and supporting the European Commission in diffusing
information on the results of environmental research.
3.3 Case Law.
Case law has a similar place in EU law to that held by common law in English law.
Case law comprises the accumulated judgments of the European Courts - the European
Court of Justice and the European Court of the First Instance.
EU case law informs decision-making in the absence of an overriding statutory requirement
dictating what must be done.
Question 7.
Most Environmental Legislation in the UK now comes from the EU in the form of regulations,
directives and decisions.
True/False (HP)
Answer 1:

True

Response 1:
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Answer 2:

False

Response 2:
Jump 2:

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4.0 International Protocols.

The Montreal Protocol was an International agreement on the acknowledged, world-wide
problem of depletion of the ozone layer. There are others, examples of which are shown as
follows. The EU has been proactive in bringing in legislation on its Member States, to bring
legislation into play and to reduce these worldwide problems.
The Kyoto Protocol expires in 2012, and it had been hoped that the Copenhagen Summit on
Climate change could have established a new protocol to replace it. However, the summit
failed to achieve its objectives due to disagreements on action required to combat climate
change.
International Conventions and Protocols on the Environment
Subject

Year in

Title
Force
This is the main international convention
1973
covering prevention of pollution of the marine
environment by ships, from operational or
accidental causes. It is a combination of two
treaties adopted in 1973 and 1978 respectively,
and updated by amendments through the
years.
The Geneva Convention This Convention was concerned with long1979
on Long-Range
range transboundary air pollution throughout
Transboundary Air
Europe. It provides a framework for the
Pollution
development of
MARPOL Convention

international law concerned with protecting

human health and the environment. Further
protocols have extended the original agreement
since 1983.
Helsinki Protocol
This Protocol was concerned with the reduction 1985
of sulphur emissions by 30%. The UK was not
a signatory to the original agreement.
Sofia Protocol
The Sofia Protocol was concerned with
1988
retaining nitrogen oxides emissions at 1987
levels and was ratified by the UK.
The Montreal Protocol This protocol was concerned with reduction in 1989
on Substances that
the use and availability of those substances
Deplete the Ozone
known to deplete the stratospheric ozone layer.
Layer
155 countries ratified the agreement, including
the UK.
The International
This deals with the adoption of a global
1990
Convention on Oil
framework for international co-operation for
Pollution Preparedness, combating major incidents or threats from
Response and Comarine oil spills.
operation (OPRC)
Geneva Protocol
Concerned with reducing VOC emissions.
1991
Ratified by the UK, where a 30% reduction in
emissions by1999 (over 1988) was agreed.
OSPAR Convention
The Convention on the Protection of the North 1992
Sea and NE Atlantic. Deals with pollution of the
sea, conservation and repair of marine
ecosystems and reduction of eutrophication.
The Framework
The Convention was launched at the Earth
1994
Convention on Climate Summit in Rio de Janeiro in 1992, and came
Change
into force two years later. It was concerned with
the reduction in those gases considered to
contribute to the phenomenon of global
warming. The treaty was ratified by 180
countries, including the UK.
Oslo Protocol
Further reduction in sulphur emissions; different 1994
countries agreed to different levels of
emissions.
The UK was a party to the sulphur emission
reductions.
Now
Convention on Marine
Pollution by Dumping
Wastes and other
Matter, 1972

Prohibits the dumping of certain hazardous

materials and introduced a permit system for
the dumping of other materials.

replaced by
the 1996
Convention

Convention on Marine
Pollution by Dumping
Wastes and other
Matter, 1996

The Convention adopted a cautionary approach

to permitted dumping at sea. The aim was:
1996
To individually and collectively protect and
preserve the marine environment from all

sources of pollution and take effective

measures, according to their scientific,
technical and economic capabilities, to prevent,
reduce and where practicable, eliminate
pollution caused by dumping or incineration at
sea of wastes or other matter.
Convention on the
Protection and Use of
Transboundary
Watercourses and
International Lakes.
Kyoto Protocol

Aarhus Protocol

Requires parties to prevent, reduce and control

releases of hazardous, acidifying and
1996
eutrophying substances into the aquatic
environment.
This protocol also concerns global warming
1997
gases. It introduced individual, legally binding
targets to cut global warming gases by 20082012, including a cut of up to 5% over 1990
levels. Only a few countries have not ratified
the Kyoto Protocol but among their number is most sigificantly - the United States.
This protocol was concerned with reducing
1998
cadmium emissions, particularly from
incineration and combustion processes. The
UK ratified this protocol in February 2005.
A second Aarhus Protocol concerned persistent 1998
organic pollutants (11 pesticides, two industrial
chemicals and three by-products).

Protocol of
Preparedness,
The HNS Protocol follows the principles of the
Response and CoOPRC Convention and was formally adopted
operation to Pollution
by states already party to that convention at a 2000
Incidents by Hazardous diplomatic conference held at IMO
and Noxious
headquarters in London in March 2000.
Substances
Protocol on Civil Liability Individuals affected by the transboundary
2003
for pollution of
impact of industrial accidents on transboundary
transboundary
watercourses will be able to claim
watercourses
compensation.

Gothenburg Protocol

Operators covered by the protocol will need to

have adequate financial insurance.
This protocol concerned the abatement of
2005
ground level ozone, acidification and
eutrophication.

4.1 EC Environmental Policy.

The EC Environmental Policy published in the Environmental Action Programmes follows the
basic principles, which are described below:

Principle of Prevention: the concept of predict and prevent rather than react and
cure.
Planning: environmental effects are more easily dealt with the earlier they are
considered in the planning process.
Protection of the Natural Environment: the pollution burden on the natural
environment must be carefully balanced to prevent irreparable damage.

Reliable information: decisions must be taken in a Sound Scientific Basis,

consequently, information and data must be collected and evaluated to allow reliable
decisions to be made.
Polluter Pays: the cost of preventing pollution and cleaning up the consequences
should be paid for by the polluter. However, some exceptions are recognised and
allowed.
Community Responsibility: activities in one member state should not adversely
affect the environment in another.
Developing Countries: environmental policies and legislation must reflect a
consideration for developing countries.
Community Action: the community should act as a co-ordinated unit in promoting
international environmental policy.
Education: improvements in local, national and community environmental
performance affects everyone and so education is necessary.
Subsidiarity: the most appropriate administrative level should be identified for
dealing with specific environmental issues. These levels may be local, regional,
national, community or international.
Coordinated policies: the member states national environmental policies should be
coordinated within the community.

The principles in the policy will be incorporated into the decisions of the EU and UK, when
formulating environmental policy and regulation.
5.0 Influence of the EU on UK Law.
The European Union
The European Union is a supranational and international organisation that brings together
27 member states under a common system of law, established by a series of treaties.
The member states are as follows:

Belgium
Germany
France
Luxembourg
Italy
Netherlands
UK
Ireland
Denmark
Greece
Spain
Portugal
Austria
Sweden
Finland
Cyprus
Czech Republic
Estonia
Hungary
Latvia
Lithuania
Malta
Poland

Slovenia
Slovak Republic
Bulgaria
Romania

Trying to provide a definition of what the EU is presents difficulties because its purpose is
contested - and as such, the very definition of the EU is an irremediably political question. Its
scope and purpose has changed and developed over the past half century, and as this
process has progressed, the terms of the debate as to what the EU is and what it should be
has shifted.
Even today, some regard it just as a means for co-ordinating policies between closely-linked
member states, others as a stage towards the creation of a unified European 'superstate'.
5.1 UK Legal Framework.
Most environmental legislation in the UK now comes from the European Union (EU) in the
form of regulations, directives and decisions. These are passed down to Member States,
including the UK, where they are transposed into legislation and supporting Statutory
Instruments, more commonly referred to as regulations. Devolution of power in the UK
means that some environmental laws and regulations apply differently in Scotland, Wales
and Northern Ireland.
International Protocols
Some national and European laws have their origins in international treaties, agreements
and protocols which are negotiated and agreed by international organisations such as the
United Nations Environment Programme (UNEP) and the Council of Europe. These
international protocols become legal when individual governments ratify them. The UNEP
Montreal Protocol on Substances that Deplete the Ozone Layer, which was adopted in
September 1987, is a good example. The Kyoto Protocol to the United Nations Framework
Convention on Climate Change is another. There are many protocols that were established
to protect landscapes, wildlife and the environment, many of which have directly or indirectly
influenced both European and domestic environmental legislation. Further details of UNEP
global agreements and protocols are available at www.unep.org .
5.2 UK Framework Acts.
Framework Acts are the opposite of Prescriptive Acts described earlier, e.g. Deposit of
Poisonous Waste Act. They set out a broad framework for action rather than imposing a
detailed set of rules. All the principal modern Acts (Primary legislation) are set out in this
form and the detail is to be found in Secondary legislation set within the broad framework.
This means that Acts are often enacted in stages, through detailed regulations or
Commencement Orders. Additionally, the definitions will be broad, often needing clarification
by the Courts. Thus it may not always be clear whether a particular section of a Framework
Act will be in force; it can sometimes take years after the original date of the Act before the
detailed regulations are drafted.
EU Directives are sometimes also issued as Framework Directives, e.g. The Water
Framework Directive 2000, implemented in the UK through the Water Environment
(Water Framework Directive) (England and Wales) Regulations 2003.
Examples of UK Framework Primary Legislation:

The Environmental Protection Act 1990.

The Water Resources Act 1991.
The Water Industry Act 1991.

Question 8.
The Framework Acts impose a detailed set of rules for action
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:

Framework Acts set out a broad framework for action. It is the

Prescriptive Acts which impose the detailed set of rules for action.

Jump 2:

Next page

6.0 Government Departments.

Department for the Environment, Food and Rural Affairs
The aim of the Department for the Environment, Food and Rural Affairs (DEFRA) is to
promote sustainable development by working to protect quality of life food, air, land,
water, people, animals and plants. It also aims to integrate the environment with other
government social and economic policies and is the lead department seeking international
agreement on climate change.
DEFRA has five strategic priorities to support its primary aim of sustainable development.
1. Climate change.
2. Sustainable consumption and production.
3. Protecting the countryside and natural resource protection.
4. Sustainable rural communities.
5. A sustainable farming and food sector including animal health and welfare.
DEFRA has a number of executive public bodies including the Environment Agency and
English Nature as well as other non-departmental public bodies (NDPB) such as:
(a) the Advisory Committee on Business and the Environment.
(b) the Advisory Committee on Consumer Products and the Environment.
(c) the Advisory Committee on Hazardous Substances.
(d) the Advisory Committee on Packaging.
Further information about DEFRA policies and responsibilities and the full list of NDPBs can

be found on its website at www.defra.gov.uk.

DEFRA oversees the following elements:
(a) The Environment Protection Group.
(b) The Wildlife and Countryside Directorate.
(c) All the functions of the Ministery of Agriculture, Fisheries and Food.
(d) Certain animal welfare issues, including hunting, from the Home Office.
DEFRA also sponsors a number of public bodies including the following.
(a) The Environment Agency.
(b) The Countryside Agency.
(c) The Meat and Livestock Commission.
(d) Kew Gardens.
(e) English Nature.
(f) Food From Britain .
(g) The Royal Commission on Environmental Pollution.
Following the introduction of the Natural Environment and Rural Communities Act 2006
(NERC) in March 2006, English Nature joined forces with parts of the Rural Development
Service and the Countryside Agency's Landscape, Access and Recreation division, under a
single body, Natural England.
This new body is responsible for enhancing biodiversity, landscapes and wildlife in rural,
urban, coastal and marine areas. English Nature and the Countryside Agency were wound
up on 1st October 2006 when Natural England was formally established.
Department for Transport
The Department for Transport (DfT) focuses solely on transport issues. Some of these relate
to the environment, including the department's sustainable travel policies and support for
improved integrated transport systems through modernisation of local public transport. The
DfT oversees local transport planning and expenditure, with the aim of helping local
authorities and transport operators improve local roads, bus, taxi and light rail services, as
well as walking and cycling facilities.
Department for Business, Innovation and Skills
This is the current successor to the former Department for Trade and Industry.

It regulates business law.

It oversees consumer law.

It oversees employment regulation and legislation.

It supports business and enterprises.
It supports strategically important business sectors.
It is involved in three key areas of importance to companies trading and exporting
internationally: Europe, trade and export control.
It is in the process of reforming regulation to reduce the administrative burden on
business.
It promotes the achievement of global excellence in science and research to help
maintain economic prosperity and address key global and domestic challenges, such
as climate change and security.
It is taking action to boost innovation in the economy and across the public sector.
It aims to help every region in England to increase sustainable regional economic
development and narrow the gap in growth rates between regions.

Department for Communities and Local Government

The Department for Communities and Local Government (DCLG) is the government
department that has taken over many of the functions of the previous Office of the Deputy
Prime Minister (ODPM). The DCLG has responsibility for housing, urban regeneration,
planning and local government. Its remit also includes promoting 'community cohesion' and
equality, and it has taken over "civil renewal" functions previously undertaken by the Home
Office.
Devolved Government
The devolution of power to Scotland, Wales and Northern Ireland means that environmental
responsibilities have, to a large extent, also been devolved. The Scottish Parliament, for
example, now has powers of primary legislation, while the Welsh and Northern Ireland
Assemblies have powers of secondary or implementing legislation. With regard to the EU,
from where most UK environmental legislation originates, the UK's Permanent
Representation to the Community (UKREP) represents the official views of the UK. The
devolved administrations can, however, consult with Whitehall on how EU environmental
legislation, mainly in the form of directives, can be best implemented and enforced, which
may be through separate legislation. This means that in some cases environmental laws
may be implemented or enforced differently across the four countries that make up the UK.
6.1 The European Courts.
There are two European courts, which have the task of interpreting and enforcing EU law:
the European Court of Justice and the European General Court, which was - until November
2009 - known as the Court of the First Instance. Both are based in Luxembourg.
These bodies should not be confused with the European Court of Human Rights, which is an
arm of the Council of Europe, which enforces and interprets the European Convention on
Human Rights. The European Court of Human Rights sits in Strasbourg.
Nor should they be confused with the Court of Auditors. This is an EU body, but its role is to
examine the revenue and expenditure accounts of EU institutions, ensuring that EU funds
are spent in accordance with budgetary rules.
The General Court (GC) is an offshoot of the Court of Justice (often known as the 'European
Court'), which came about to reduce the growing workload imposed on the former.

Together, the two courts act as the EU's constitutional court (ruling on inter-institutional
disputes and disputes between the EU and member states), its supreme court (interpreting
EU law) and its administrative court (protecting private individuals against
maladministration). Since the Treaty of Lisbon in 2007, the court's remit has expanded to
include justice and home affairs.
The Court of Justice comprises 27 judges - one from each member state and nominated by
their governments - appointed for a six-year term, with half the members' terms ending every
three years. The judges appointed elect a president, who serves for three years. The judges
are assisted by eight advocates-general.
The power of the court to influence the EU's development is limited by its lack of any power
to initiate cases - it can only consider matters that are referred to it by third parties, including
EU institutions, member states, corporate bodies and individuals.
The court undertakes two types of action: direct actions and preliminary rulings. The former
seek rulings in disputes between institutions or individuals for breaches of EU law; the latter
are requests for authoritative interpretation of points of EU law.
Direct actions include:

Proceedings for failure to fulfil an obligation under the treaties.

Proceedings for the annulment of EU law.
Proceedings for failure to act.
Proceedings to establish liability and award damages in civil suits brought against the
EU.

Requests for preliminary rulings are made to the court exclusively by national courts - and
the court is permitted only to respond to the precise question it has been asked. The council
and the commission may also seek the court's opinion on the compatibility of international
agreements with EU law.
The Court of Justice also hears appeals against judgements made by the General Court but these can only be on points of law, generally lack of GC jurisdiction, breach of procedural
rules and infringement of EU law.
The court's procedures are extremely slow and laborious, with preliminary rulings typically
taking 18 months, and direct actions two years. In urgent cases, the court is able to issue
interim rulings through accelerated procedures.
The General Court
The General Court, like the Court of Justice, has the task of ensuring that the law is
observed in the interpretation and application of the Treaties constituting the European
Communities and the provisions adopted by the competent Community institutions.
In order to fulfil its main task, the General Court has jurisdiction to hear and determine at first
instance all direct actions brought by individuals and the Member States, with the exception
of those to be assigned to a judicial panel and those reserved for the Court of Justice.
Categories of direct actions

Actions for annulment (against acts of the Community institutions)

Actions for failure to act (against inaction by the Community institutions)

Actions for damages(for the reparation of damage caused by unlawful conduct on the
part of a Community institution)
Actions based on an arbitration clause (disputes concerning contracts in public or
private law entered into by the Community, containing such a clause)
Actions concerning the civil service - As of 2006 these cases were transferred to the
new Civil Service Tribunal (disputes between the Community and its officials and
other servants)

Subject-matter of direct actions: all matters, including:

agriculture;
state aid;
competition;
commercial policy;
regional policy;
social policy;
institutional law;
trade mark law;
transport.

Procedure
The General Court has its own Rules of Procedure. As a rule the Courts procedure includes
a written phase and an oral phase. The proceedings are in a language chosen by the
applicant. The working language of the Court, however, including the language in which the
judges deliberate and the language in which preliminary reports and judgments are drafted is
French. This makes the General Court, along with the Court of Justice of the European
Union, the only international court where French is the sole working language.
The Court is divided into eight chambers, generally consisting of three judges, except for the
sixth and the eighth chambers, which consist of four judges and alternate to form three-judge
chambers for the purposes of dealing with cases. Cases are distributed by the President of
the Court to the Presidents of the chambers. The Presidents of chamber then assign a
Judge-Rapporteur amongst the judges in the chamber, whose clerks write a preliminary
report (rapport prealable) based on the pleadings received from the parties and the
applicable law.
At the close of the written procedure and, as the case may be, on adoption of measures of
inquiry, the case is argued orally in open court. The proceedings are interpreted
simultaneously, as necessary, into different official languages of the European Union. The
Judges then deliberate on the basis of a draft judgment prepared by the Judge-Rapporteur.
The judgment is delivered in open court.
Question 9.
European Union Law is interpreted and enforced by...
Multiple Choice (HP)
Answer 1:

European Court of Justice

Response 1:
Jump 1:

This page

Answer 2:

European Court of the First Instance

Response 2:
Jump 2:

This page

Answer 3:

All of the above

Response 3:
Jump 3:

Next page

7.0 Future Developments.

Trends in the Development of EU Law Including Civil Liability
Civil liability for environmental actions leading to pollution and damage has long been a
matter for consideration and concern. The Green Paper, Remedying Environmental Damage
was published on 14th May 1993. In it, two approaches were put forward, Fault Based
Liability and Strict Liability. The paper also considered apportionment of liability and
compensation.
The paper was discussed at length between ECSOC and the European Parliament, with
different countries having different views of the scope of the European Union. In this paper,
the approach suggested in the Lugano Convention was put forward as an option.
The Convention on Civil Liability for Damage Resulting from Activities Dangerous to the
Environment (the Lugano Convention) advocated that operators of dangerous processes be
liable for all the damage that they cause.
Dangerous activities include

the production, handling, storage, use and discharge of dangerous substances, as

well as
waste management operations and installations.

'Dangerous' is defined in the convention. It was also proposed that if several operators are
involved, they are jointly and severally liable and if the activity has ceased, then the last
operator is responsible.
Operators of landfill sites were particularly at risk as liability would arise when the damage is
detected, not when the pollution incident occurs. The Lugano Convention will not become
law, but it had an important influence on the European Commissions Green Paper on
Environmental Liability.
In the intervening time, further discussions have taken place and Directive 2004/35/CEon
Environmental Liability, with regard to the prevention and remedying of environmental
damage, was adopted on 30th April 2004 . The Directive was transposed to national law in
May 2007. It was amended in 2006 with a transposition date of 2008. The Directive applies
to all commercial and professional activities that cause significant environmental damage.
The main provisions are below:

Only damage identified after the implementation date is covered.

Does not apply to diffuse sources of pollution, as liability is difficult to establish.
The parties potentially liable are those undertaking risky activities.
The operator causing the damage would be liable but, if the polluter cannot be
found, the State will have to pay.
There should be encouragement of financial insurance/guarantees within member
states.

Authorities within Member States would need to ensure the baseline conditions are
restored.
Persons who are adversely affected may request appropriate action to be taken.

In practice, some of the requirements are being adopted already through existing legislation,
such as the requirements of the Pollution Prevention and Control Regulations and the
Contaminated Land Regulations. Both of these regulations set out operators liability as a
result of activities carried out, including in the case of the Contaminated Land Regulations,
retrospective liability. In the PPC Regulations, there is the Site Report requirement which
requires decommissioning of the equipment and return of the land to the state it was in when
the Permit was issued, and Landfill sites are considered as processes under the PPC
Regulations.
Control of Volatile Organic Compounds (VOCs)
VOCs react with nitrogen oxides and are a major air pollutant responsible for the formation
of ground level ozone. Motor vehicle exhaust, fuel storage, distribution and dispensing,
industrial coating operations, printing shops, paints and household chemicals are just some
of the sources of such hydrocarbon compounds.
A number of international protocols and directives exist on the control of emissions of VOCs
and their long-range transboundary fluxes, such as the 1991 Geneva Protocol and European
Parliament and Council Directive 94/63/ECof 1994. They all involve setting emission
reduction targets by making process changes or the installation of air pollution control
equipment (such as carbon absorbers or incinerators).
8.0 Annex I : The Treaties.
The European Union is based upon and governed in accordance with a number of Treaties
between the Member States.
These Treaties are the most fundamental part of the acquis communautaire (see footnote)
and in every case have been the subject of (sometimes prolonged) negotiations leading to
unanimous agreement amongst governments and ratification by national parliaments and, in
some cases, by referendum too.
The Treaties not only serve as the Unions constitution but also are prescriptive in that
several of them set objectives for the future, usually accompanied by a deadline and
sometimes by a precise timetable.
Most of the Treaties contain provision for their own amendment and, with one exception,
were concluded for an unlimited period.
In common with the rest of the acquis communautaire, the Treaties must be accepted in their
entirety by states wishing to join the Union .
The table below lists the main Treaties and Acts in chronological order, together with the
date of entry into force and a brief summary, where relevant, of how each relates to the
others. The first three Treaties, establishing three legally distinct Communities are
sometimes referred to as the founding Treaties.
Treaty
European Coal and Steel
Community (ECSC) Treaty (Treaty

In force
1952

Summary
Concluded for 50 years amongst the Six on the
basis of the Schuman Plan.

of Paris, 1951)
European Economic Community
(EEC) Treaty (Treaty of Rome,
1957)
European Atomic Energy
Community (EAEC or Euratom)
Treaty (also signed in Rome , 1957)
Treaty establishing a Single Council
and a Single Commission of the
European Communities (Merger
Treaty, 1965)
Treaty amending certain Budgetary
Provision of the Treaties
establishing the European
Communities (and of the Merger
Treaty) (Treaty of Luxembourg,
1970)
Treaty amending certain Financial
Provisions of the Treaties
establishing the European
Communities (and of the Merger
Treaty) (1975)
Act concerning the election of the
representatives of the European
Parliament by direct universal
suffrage (European Elections Act,
1976) elections
Single European Act (1986)

Treaty on European Union

(Maastricht Treaty, 1992)

Treaty of Amsterdam (1997)

1958

Concluded on the model of the ECSC Treaty

but with a much broader range of objectives;
the most important of the Treaties.

1958

A sector-specific Treaty of limited application.

Amended the ECSC, EEC and Euratom

July 1967 Treaties to create a Council and a Commission
serving all three Communities.

1971

Laid down a new procedure for settling the

Budget and introduced the system of own
resources.

1978

Refined the budgetary procedure to give the

European Parliament more power and set up
the Court of Auditors.

1978

The basis for the first (1979) and subsequent

European elections.

Amended and expanded the EEC Treaty (most

importantly by extending the scope of qualified
July 1987
majority voting) and laid down new procedures
for foreign policy co-operation.
Established the European Union; amended and
expanded the EEC Treaty; created the coNovember decision procedure; created pillars of
1993
Common Foreign and Security Policy (CFSP)
and Co-operation in the Fields of Justice and
Home Affairs (JHA).
Amended the Maastricht Treaty and the EEC
Treaty; extended co-decision; added new
provisions on social policy; incorporated the
Schengen acquis into EEC Treaty; created
constructive abstention; strengthened
transparency.

Treaty of Nice
Prepared the EU to cope with enlargement
1st February 2003 in force
Treaty of Accession 2003
Dealt with the entry into the Union of

Cyprus,

Czech Republic,
Estonia,
Hungary,
Lithuania,
Latvia,
Malta,
Poland,
Slovenia and
Slovakia

1st May 2004 in force

Treaty of Accession 2005
Bulgaria and Romania
1st January 2007 in force
Treaty of Lisbon

created European Council President,

enhanced foreign policy,
abolished pillar system,
expanded Parliament's powers and QMV,
made Rights charter binding.

December 2009 in force

Footnote: Acquis communautaire: a phrase used to cover all legislation in force including the
Treaties in their entirety, all Directives, Regulations, Decisions, Trade and Association
Agreements as well as the case law of the European Court of Justice and of the Court of
First Instance.

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Version 1.1c

Element 6 - Environmental legislative framework and methods of enforcement.

Overall aims
On completion of this unit, candidates will have knowledge and understanding of:

the framework of environmental legislation;

methods for the enforcement of environmental law;
enforcement authorities.

Specific intended learning outcomes

The intended learning outcomes are that candidates will be able to:

describe the procedures for making Acts and Regulations;

explain the statutory obligations imposed on the organisation by the Environmental

Protection Act 1990 Part I, its associated regulations and the Pollution Prevention
and Control Act 1999;

advise managers on the powers of inspectors, different types of enforcement action

and their implications.

Hours of tuition and private study

7 hours of tuition
2 hours private study

Relevant Statutory Provisions:

The Pollution Prevention and Control Act 1999 (PPC Act),

The Environmental Permitting (England and Wales) Regulations 2010 and
associated legislation

1.0 The Environmental Legislative Framework.

English law has been developing since the Norman Conquest in 1066. The law that exists
today is the result of the influences from several sources over many centuries. The earliest
source of legal rules was based largely on local customs. In fact, local customs can
sometimes still be upheld as part of the law today, if they are reasonable, certain, have
continued without interruption since 'time immemorial' (i.e. since 1189) and if they do not
contravene common law or a statute.
By the time of King Henry II (1154-89) judges began to travel round the country on circuits
hearing disputes in the local courts. The judges applied the laws of the kings Court (Curia
Regis), but if there was no Kings law they used the laws or rules and customs that already
existed in the area. Eventually, the judges began to disregard unsatisfactory local customs
and take together the best ones to form a body of unwritten rules which they agreed to apply
throughout the country. They also compared their rulings and sentences in the cases they
had decided. In this way came about the start of the English system of common law. Rules

of law were being applied for the first time which were common to the whole of country. By
the end of the 13th Century, there was a recognisable body of common law based on the
decision of judges in particular cases. Common law made by the judges is still a source of
much of our present day law. Some areas of law are still essentially based on common law.
However, legislation (statute law) is today the prime source of law. A statute is made by
Parliament (Act of Parliament) or by somebody authorised to do so by Parliament (e.g.
Regulations, bylaws, orders, etc).
Since 1973, there has been one other important source of law, namely EU law. Since the UK
joined the EU in 1973, European Regulations and Directives have become just as much part
of English Law as Acts of Parliament and are equally binding.
1.1 Legislation.
Legislation comprises Act of Parliament (often called 'statutes') together with various Orders,
Regulations and bylaws (called delegated legislation).
Acts of Parliament
Sources of Law: Criminal Law
The primary sources of UK law are Acts of Parliament, or statutes as they are sometimes
called.
An 'Act of Parliament' is law made by Parliament. Acts of Parliament are superior to all other
sources of law (with the exception of some EU law) and judges must enforce them in the
courts, even if they are contrary to existing precedent.
The supremacy of Parliament over other sources of law is known as the 'sovereignty of
Parliament'. It also means that laws made by Parliament cannot be challenged by British
Courts on the grounds that they are illegal or unconstitutional.
An Act of Parliament creates a new law or changes an existing law. An Act is a Bill approved
by both the House of Commons and the House of Lords and formally agreed to by the
reigning monarch (known as Royal Assent). Once implemented, an Act is law and applies to
the UK as a whole or to specific areas of the country.
Acts of Parliament start life in a variety of ways; however, most ideas for new legislation
come from party politics. After an initial period of consultation with interested parties outside
Parliament, the Government may publish a Green Paper outlining the proposals for
discussion. This may be followed by a White Paper setting out the actual proposals.
The proposals are then translated into legal language by a team of civil servants and experts
in the relevant cabinet department ('the parliamentary draftsmen'). It is then referred to as a
Bill. Sometimes a Bill is introduced by an individual MP; it is then called a Private Member's
Bill.
Each Bill must pass through five separate stages in both the House of Parliament (House of
Commons and House of Lords), but more controversial Bills are usually presented to the
House of Commons first.
1.2 Passage of a Public Bill Through Parliament.

House of Commons
1. First Reading
A dummy copy of the bill is placed on the table at the House of Commons. It is allocated a
bill number. The House of Commons order that the Bill be printed. This is done by the
Stationery Office.
2. Second Reading
The printed Bill is examined for compliance with the Houses rules. The House considers the
principles of the Bill and a debate ensues. The debate is printed in Hansard, the official
report of debates. At this stage, the government bill can be defeated.
3. Committee Stage
At the committee stage, a public bill committee (formerly known as a standing committee)
will examine each clause and schedule of the bill and debates amendments.
4. Report Stage
At this stage, the bill is considered as a whole. The house may amend or reverse changes
by the public bill committee.
5. Third Reading
This third reading enables the house to take an overview of the bill.
The bill is then sent to the House of Lords.
6. House of Lords
At the House of Lords, the bill goes through five similar stages to those of the House of
Commons. It is down to the House of Lords and House of Commons to finally agree a text of
each bill.
7. Royal Assent
When a text has been agreed by both Houses, the bill is submitted for Royal Assent. The
Crown must give Assent to a bill for it to pass into a law. After signification of royal assent,
the bill becomes an Act. Some parts of an Act may never come into force, e.g. certain
sections of the Control of Pollution Act 1974 have not been enacted, while provisions of the
Environmental Protection Act have been repealed even before they were brought into force.
For more information, see the Parliamentary Stages of a Government Bill House of
Commons Information Office Fact sheet L1
http://www.parliament.uk/documents/upload/L01.pdf
An act may come into force immediately, on a specific starting date, or in stages.
The practical implementation of an Act is the responsibility of the appropriate government
department, not Parliament. For example, laws relating to transport issues would come

under the administration of the Department of Transport.

Parliament or its committees may investigate how the government implements the Act and
would consider any future Bills that amended or replaced it.
1.3 Changes to Acts.
Future changes to the law happen through the passing of another Act or delegated
legislation. An Act can also be repealed so that its provisions no longer apply. Parliamentary
committees examine UK laws and recommend the removal of out-of-date legislation
Delegated Legislation
Not all legislation is made by Parliament. Some is made by others who are authorised to do
so by Parliament. These laws are just as effective as sources of legal rules and duties as
Acts of Parliament. The law made by means of delegated authority is called delegated
legislation (sometimes also called subordinate legislation).
Acts generally set out principles of law and may also give power to other bodies to legislate
ministers may have to pass regulations which are a form of statutory instrument (SI) or
subordinate legislation, for example, the Environmental Protection Act makes it an offence to
operate a prescribed process without authorisation from the enforcement authority.
The actual specification of which industrial processes are prescribed is made by the
Environmental Protection (Prescribed Processes and Substances) Regulations 1991 (SI
1991 No. 472) and the precise information required in an application for authorisation is set
out in the Environmental Protection (Applications, Appeals and Registers) Regulations 1991
(SI 1991 No. 507).
Regulations on environmental matters are usually drawn up by DEFRA. A process of
consultation with relevant bodies is followed, but regulations do not have to be debated in
the Houses of Parliament in the same way as Acts. If anyone breaches the provisions
contained in a statute, a criminal offence may have been committed.
Criminal proceedings can be instigated by an enforcement body, e.g. the Environment
Agency or by a private individual or organisation unless this right is excluded by statute. The
prosecution must prove the case beyond reasonable doubt. If the case is proved, the court
will impose a penalty (fine and/or imprisonment) after taking into account any mitigating
factors, e.g. clean-up works or the existence of an EMS. The court hierarchy in criminal
proceedings is the:
(a) Supreme Court
(b) Court of Appeal (Criminal Division)
(c) High Court
(d) Crown court
(e) Magistrates' court.
Court action under civil law is taken by a person or organisation in order to remedy or
prevent damage to person or property which someone has caused or is likely to cause, e.g.
granting compensation where smoke from someone's bonfire has damaged another

person's property or to stop someone from starting or continuing a polluting activity. The
burden of proof is on the balance of probabilities which means that the judge must be
convinced that the plaintiff's statement of events is more probable than that of the defendant.
Delegated legislation appears usually in one of three main forms:
1. Orders in Council: used to implement matters of great importance (e.g. orders issued by
the Government under emergency powers during war time).
2. By-laws: made by local authorities or other authorised bodies within the areas of their
responsibilities.
3.Regulations, Orders, Rules, Directives etc. made by a government minister under Acts of
Parliament which affect his/her department.
Delegated legislation made by a government minister is often called a statutory instrument.
Far more delegated legislation is produced than Acts of Parliament (there are more than
2000 statutory instruments made each year). However, there are certain safeguards which
ensure that delegated legislation is controlled.
(1) Control by Parliament.
(2) Control by the Courts.
1) Control by Parliament.
Parliament often includes limitations in the enabling Act, directing that only certain types of
law can be made and/or that they must consult with interested parties before making new
delegated legislation.
Parliament has the right to inspect every new piece of delegated legislation and set up a
select committee to scrutinise certain delegated legislation.
Every statutory instrument (law made by a government minister) is subject to either an
affirmative resolution (which means that Parliament must specifically approve them by a vote
before they become law) or a negative resolution (which means that they become law
without Parliament considering them and will remain in force unless rejected by Parliament
within 40 days).
In addition, of course, Parliament can withdraw at any time the authority to make delegated
legislation.
2) Control by the courts.
The courts have the power to review any piece of delegated legislation and decide if it is
valid or not. Delegated legislation can be challenged in the courts by an interested party
under the doctrine of 'ultra vires' (going beyond the powers).
If the court agrees that a government minister or local authority has overstepped their
powers (i.e. has gone beyond their powers given by Parliament) when making the piece of
legislation, it will be declared void (invalid).
1.4 Enforcement.

The operator of an organisation and/or the owner of land may be subject to criminal
proceedings for failing to comply with certain environmental legislation.
Environmental legislation in the UK is enforced by the use of criminal sanctions, e.g. fines
and imprisonment, or administrative proceedings, e.g. service of notices, clean-up works or
informal methods to encourage compliance, e.g. warning letters.
It is important to note that the maximum penalties that can be awarded in relation to
environmental offences can be as high as 20,000 in summary proceedings (magistrates'
court hearings), or an unlimited fine and/or imprisonment can be awarded by a crown court
(on indictment).
The vast majority of environmental offences do not require proof of fault by the accused,
although the responsible party must be identified. This is known as "strict liability" and the
prosecution need only prove that the accused is responsible for the offending act.
It is a traditional view that an organisation, as a separate legal entity, is solely responsible for
any environmental damage it causes, rather than its directors. However, courts have powers
in limited circumstances to consider who is in control of the organisation and responsible for
the damage. Most environmental, health and safety and planning statutes contain a clause
imposing personal liability on directors and other company officers for offences committed by
their organisation.
Any person may commit an offence where the statute specifically provides that any person
who commits a particular act is guilty of an offence. For example, under s.85(i) of the Water
Resources Act 1991, it would be an offence to knowingly permit any poisonous matter to
enter controlled waters. Liability may also be incurred in the capacity of an accomplice or
conspirator.
There is a growing trend towards making senior officers personally liable for an
organisation's actions. Organisations cannot be imprisoned, but directors can. In addition to
incurring personal liability, the Company Directors Disqualification Act 1986 permits a court
to disqualify a director convicted of a criminal offence connected with the management of the
organisation.
Disqualification can be up to five years where the case is heard in a magistrates' court and
up to 15 years where the case is heard in a crown court.
It is not possible to insure against criminal sanctions in the form of fines. Most directors' and
officers' liability policies exclude cover for environmental pollution or breaches of
environmental legislation. Companies are unlikely to indemnify a director for the cost of legal
representation until after the case has been decided. This may impose a considerable
financial and emotional burden on a director. If the director is found guilty, it is also usual for
the court to make an order for the defendant to pay the prosecution costs.
1.5 Approved Codes of Practice.
These are recommended means of compliance with the requirements of an Act and have
been developed after consultation with the industry or industries concerned.
An approved code does not necessarily contain the only acceptable ways of achieving the
standard required by the Act. But, in most cases, compliance will meet the requirements of
the Act, in relation to the subject matter of the code.

An approved code does not have the same legal force as a regulation, and failure to comply
with a code of practice is not, of itself, an offence.
However, observance of a relevant code of practice may be considered as evidence of good
practice in a court.
Question 1.
A public bill goes through which parliamentary body first?
Multiple Choice (HP)
Answer 1:

House of Lords

Response 1:
Jump 1:

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Answer 2:

House of Commons

Response 2:
Jump 2:

Next page

Question 2.
Unlimited fines and/or imprisonment are the maximum penalties that can be awarded in
relation to environmental offences but through which court are they awarded?
Multiple Choice (HP)
Answer 1:

Magistrates Court

Response 1:
Jump 1:

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Answer 2:

Crown Court

Response 2:
Jump 2:

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2.0 The Environmental Protection Act 1990.

Introduction
The Environmental Protection Act came about from the Royal Commission on the
Environments recommendation in 1970 to make provision for the improved control of
pollution arising from certain industrial and other processes.
The Act is the most profound development in British Environmental Law this century. The
Royal Commission identified that there had been a need for just one law covering
environmental pollution and to have this law covered by one agency. Prior to the Act,
legislation on environmental pollution control was fragmented and complex.
The environmental pollution control inspectorates also had a poor understanding of the
legislation enforced by other inspectorates.
The Act was introduced in 1990 to update the Control of Pollution Act 1974 (much of which
has never been implemented) and to introduce a more integrated approach.
The main features of the Act are:

the classification of Part A and Part B processes;

the new structure of the enforcement agency.

Further details on the Environmental Protection Act are available from the following link:
http://www.opsi.gov.uk/acts/acts1990/Ukpga_19900043_en_1.htm
2.1 Environmental Protection Act 1990 (Great Britain 1990).
The Environmental Protection `Umbrella` Act

The Environmental Protection Act 1990 opens with the following paragraph:
An Act:

to make provision for the improved control of pollution arising from certain industrial
and other processes;
to re-enact the provisions of the Control of Pollution Act 1974 relating to waste on
land with modifications as respects the functions of the regulatory and other
authorities concerned in the collection and disposal of waste and to make further
provision in relation to such waste;
to restate the law defining statutory nuisances and improve the summary procedures
for dealing with them, to provide for the termination of the existing controls over
offensive trades or businesses and to provide for the extension of the Clean Air Acts
to prescribed gases;
to amend the law relating to litter and make further provision imposing or conferring
powers to impose duties to keep public places clear of litter and clean, to make
provision conferring powers in relation to trolleys abandoned on land in the open air;
to amend the Radioactive Substances Act 1960;
to make provision for the control of genetically modified organisms;
to make provision for the abolition of the Nature Conservancy Council and for the
creation of councils to replace it and discharge the functions of that Council and, as

respects Wales, of the Countryside Commission;

to make further provision for the control of the importation, exportation, use, supply or
storage of prescribed substances and articles and the importation and exportation of
prescribed prescriptions of waste;
to confer powers to obtain information about potentially hazardous substances;
to amend the law relating to the control of hazardous substances on, over or under
land;
to amend section 107(6) of the Water Act 1989 and sections 31(7)(a), 31 A(2)(c)(i)
and 32(7)(a) of the Control of Pollution Act 1974;
to amend the provisions of the Food and Environment Protection Act 1985 as
regards the dumping of waste at sea;
to make further provisions as respects the prevention of oil pollution from ships;
to make provision for and in connection with the identification and control of dogs;
to confer powers to control the burning of crop residues;
to make provision in relation to financial or other assistance for purposes connected
with the environment;
to make provision as respects superannuation of employees of the Groundwork
Foundation and for remunerating the chairman of the Inland Waterways Amenity
Advisory Council; and
for purposes connected with those purposes.[1st November 1990]".

Question 3.
The Control of Pollution Act was updated with the introduction of the Environmental
Protection Act in what year?
Multiple Choice (HP)
Answer 1:

1980

Response 1:
Jump 1:

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Answer 2:

1990

Response 2:
Jump 2:

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Answer 3:

1995

Response 3:
Jump 3:

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2.2 Arrangement of Sections.

The Act is split into 9 Parts.
Part 1
Integrated Pollution Control and Air Pollution Control by Local Authorities.
This part has been repealed by the Pollution Prevention and Control Act 1999 and the
Environmental Permitting Regulations 2010.

2.3 Part 2.

Waste on Land
Waste is defined as any substance which is surplus to the requirements of the process or
company. Certain substances are listed under the Hazardous Waste Regulations 2005.
There are strict procedures for their disposal.
The Environmental Protection Act 1990 also introduces the concept of Duty of Care. Those
involved in the handling of waste must prevent the keeping, treatment or disposal of waste
without a licence or in breach of a licence, prevent the escape of waste, transfer waste only
to an authorised person, ensure that the information and labelling of the waste is clear and
retain documentary evidence. The creator of this waste is responsible for ensuring that these
duties are fulfilled.
Preliminary
29. Preliminary.
30. Authorities for purposes of this Part.
31. Power to create regional authorities for purposes of waste regulation.
32. Transition to waste disposal companies etc.
33. Prohibition on unauthorised or harmful deposit, treatment or disposal etc. of waste.
Duty of care etc: respects waste
34. Duty of care etc. as respects waste.
Waste Management Licences
35. Waste management licences: general.
36. Grant of licences.
37. Variation of licences.
38. Revocation and suspension of licences.
39. Surrender of licences.
40. Transfer of licences.
41. Fees and charges for licences.
42. Supervision of licensed activities.
43. Appeals to Secretary of State from decisions with respect to licences.
44. Offences of making false statements.

Collection, disposal or treatment of controlled waste.

45. Collection of controlled waste.
46. Receptacles for household waste.
47. Receptacles for commercial or industrial waste.
48. Duties of waste collection authorities as respects disposal of waste collected.
49. Waste recycling plans by collection authorities.
50. Waste disposal plans of waste regulation authorities.
51. Functions of waste disposal authorities.
52. Payments for recycling and disposal etc. of waste.
53. Duties of authorities as respects disposal of waste collected: Scotland.
54. Special provisions for land occupied by disposal authorities: Scotland.
55. Powers for recycling waste.
56. Powers for recycling waste: Scotland.
57. Power of Secretary of State to require waste to be accepted, treated, disposed of or
delivered.
58. Power of Secretary of State to require waste to be accepted, treated, disposed of or
delivered: Scotland.
59. Powers to require removal of waste unlawfully deposited.
60. Interference with waste sites and receptacles for waste.
61. Duty of waste regulation authorities as respects closed landfills.
Hazardous waste and non-controlled waste
62. Special provision with respect to certain dangerous or intractable waste.
63. Waste other than controlled waste.
64. Public registers.
65. Exclusion from registers of information affecting national security.
66. Exclusion from registers of certain confidential information.

67. Annual reports.

Supervision and enforcement
68. Functions of Secretary of State and appointment etc. of inspectors.
69. Powers of entry etc.
70. Power to deal with cause of imminent danger of serious pollution etc.
71. Obtaining of information from persons and authorities.
72. Default powers Of Secretary of State.
Supplemental
73. Appeals and other provisions relating to legal proceedings and civil liability.
74. Meaning of ''fit and proper persons".
75. Meaning of ''waste'' and household, commercial and industrial waste and hazardous
waste.
76: Application of this Part to Isles of Scilly.
77. Transition from Control of Pollution Act 1974 to this Part.
78. This Part and radioactive substances.
2.4 Part 3.
Statutory Nuisances and Clean Air
Statutory nuisances - England and Wales
The emission of smoke, fumes, gases, dust, steam, smells, other effluvia and noise which is
judged to be prejudicial to the health of or nuisance to the community or anyone living near it
is classed as statutory nuisance. Abatement notices can be served which can require the
abatement, prohibition or restriction of the nuisance. Appeals against the notice can be
made within 21 days and failure to comply with a notice can attract a fine or conviction of up
to 20,000.
79. Statutory nuisances and inspections therefore.
80. Summary proceedings for statutory nuisances.
81. Supplementary provisions.
82. Summary proceedings by persons aggrieved by statutory nuisances.
Statutory nuisances: Scotland

83. Statutory nuisances: Scotland.

Termination of existing controls over offensive trades and businesses
84. Termination of Public Health Act controls over offensive trades etc.
Application to gases of certain Clean Air Act provisions
85. Application to gases of certain Clean Air Act provisions.
2.5 Part 4.
Litter etc.
Provisions relating to litter

86. Preliminary.
87. Offence of leaving litter.
88. Fixed penalty notices for leaving litter.
89. Duty to keep land and highways clear of litter etc.
90. Litter control areas.
91. Summary proceedings by persons aggrieved by litter.

92. Summary proceedings by litter authorities.

93. Street litter control notices.
94. Street litter: supplementary provisions.
95. Public registers.
96. Application of Part 11.
97. Transitional provision relating to section 89.
98. Definitions.
Abandoned trolleys.
99. Powers in relation to abandoned shopping and luggage trolleys.

2.6 Part 5.
Amendment of the Radioactive Substances Act 1960
100. Appointment of inspectors and chief inspector.
101. Fees and charges under 1960 Act.

102. Enforcement powers of chief inspector.

103. Withdrawal of UKAEA exemptions from requirements of 1960 Act.
104. Application to Crown of 1960 Act.
105. Consequential and further amendments of 1960 Act.
2.7 Part 6.
Genetically Modified Organisms
Preliminary
106. Purpose of Part VI and meaning of ''genetically modified organisms'' and related
expressions.
107. Meaning of ''damage to the environment's, ''control'' and related expressions in Part VI.
General controls
108. Risk assessment and notification requirements.
109. General duties relating to importation, acquisition, keeping, release or marketing of
organisms.
110. Prohibition notices.
Consents
111. Consents required by certain persons.
112. Consents: limitations and conditions.
113. Fees and charges.
Inspectors
114. Appointment etc. of inspectors.
115. Rights of entry and inspection.
Enforcement powers and offences
116. Obtaining of information from persons.
117. Power to deal with cause of imminent danger of damage to the environment.
118. Offences.
119. Onus of proof as regards techniques and evidence.

120. Power of court to order cause of offence to be remedied.

121. Power of Secretary of State to remedy harm.
122. Public register of information.
123. Exclusion from register of certain information.
Supplementary
124. Advisory committee for purposes of Part VI.
125. Delegation of enforcement functions.
126. Exercise of certain functions jointly by Secretary of State and DEFRA.
127. Definitions.
2.8 Part 7.
Nature Conservation in Great Britain and Countryside Matters in Wales
New Councils for England, Scotland and Wales
128. Creation and constitution of new Councils.
129. Grants by Secretary of State to new Councils.
Countryside matters
130. Countryside functions of Welsh Council.
Nature conservation in Great Britain
131. Nature conservation functions: preliminary.
132. General functions of the Councils.
133. Special functions of Councils.
134. Grants and loans by the Councils.
Transfer of property, rights and liabilities to new Councils
135. Schemes for the transfer of property etc. of the Nature Conservancy Council.
136. Transfer to Welsh Council of certain property etc. of Countryside Commission.
Employment by new Councils of staff of existing bodies
137. Offers of employment to employees of Nature Conservancy Council and certain
employees of Countryside Commission.

Dissolution of Nature Conservancy Council

138. Winding up and dissolution of Nature Conservancy Council.
Transitional provisions and savings
139. Transitional provisions and savings.
2.9 Part 8.
Miscellaneous
Other controls on substances and articles
140. Power to prohibit or restrict the importation, use, supply or storage of injurious
substances or articles.
141. Power to prohibit or restrict the importation or exportation of waste.
142. Powers to obtain information about potentially harmful substances.
143. Public registers of land which may be contaminated.
144. Amendments of hazardous substances legislation.
145. Penalties for offences of polluting controlled waters etc.
Pollution at sea
146. Deposits of substances and articles in the sea, etc.
147. Public registers relating to deposits in the sea and incineration at sea.
148. Oil pollution from ships.
Control of dogs
149. Seizure of stray dogs.
150. Delivery of stray dogs to police or local authority officer.
151. Enforcement of orders about collars and tags for dogs.
Straw and stubble burning
152. Burning of straw and stubble etc.
Environmental expenditure
153. Financial assistance for environmental purposes.
154. The Groundwork Foundation: superannuation.

155. Remuneration of chairman of Inland Waterways Amenity Advisory Council.

2.10 Part 9.
General
156. Power to give effect to Community and other international obligations etc.
157. Offences by bodies corporate.
158. Offences under Parts I, II, IV, VI, etc. due to fault of others.
159. Application to Crown. Service of notices.
160. Regulations, orders and directions.
161. Consequential and minor amendments and repeals.
162. Financial provisions.
163. Short title, commencement and extent.
Question 4.
The Environmental Protection Act covers...
Multiple Choice (HP)
Answer 1:

Waste on land

Response 1:
Jump 1:

This page

Answer 2:

Control of dogs

Response 2:
Jump 2:

This page

Answer 3:

genetically modified organisms

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

3.0 The Environment Act 1995.

A number of new arrangements for dealing with environmental pollution, in particular the
creation of the Environment Agency for England and Wales were brought in under the
Environment Act.
The Environment Agencies
Part I of the Act
From 1st April 1996, the Environment Act brought together HM Inspectorate of Pollution, The
National Rivers Authority and local waste regulation authorities. Similar arrangements were

made in Scotland with the creation of the Scottish Environment Protection Agency. Local air
pollution control, formerly the responsibility of district and island councils, came under this
agency. The Act contains detailed provisions for dealing with a range of environmental
problems and issues. To quote the word of Sir John Harman, chairman of the environment
agency:
"We are the leading public body for protecting and improving the environment in England
and Wales. It's our job to make sure that air, land and water are looked after by everyone in
today's society, so that tomorrow's generations inherit a cleaner, healthier world."
Aims and objectives
Section 4 of the Act states that the principal aim of the Agency was to make whatever
contribution Ministers considered appropriate (having regard to the Agency's responsibilities
and resources) towards attaining the objective of achieving sustainable development. The
Agency was to follow Ministers' guidance in this respect.
Functions and duties
In addition to those carried over from its component organisations, the Act (sections 5-10)
set out explicitly functions and duties of the Agency. These include:

compiling information relating to pollution of the environment;

carrying out assessments for Ministers of the effects of pollution on the environment;
and
reporting on the options for preventing, minimising or remedying or mitigating the
effects of pollution and on the costs and benefits of doing so.

The duties of the Agency include:

conservation and enhancement of beauty of waterways and associated land;

conservation of water resources;
maintenance, improvement and development of fisheries;
general environmental and recreational duties.

In exercising functions other than pollution control functions, the Agency has a duty to use its
powers to further the conservation and enhancement of natural beauty and the conservation
of flora, fauna and geological or physiological features of special interest, whereas in
exercising its pollution control functions, it must only have regard to those aspects.
3.1 Advisory Committees.
For each region in England and Wales, there is to be an Environment Protection Advisory
Committee which is established and maintained by the Agency and consulted by the Agency
on matters affecting that region. The Agency must also establish and maintain fisheries
advisory committees on matters relevant to salmon fisheries, trout fisheries, freshwater
fisheries or eel fisheries. There are also to be regional flood defence committees which
follow on from those established under the Water Resources Act 1991.
Scottish Environment Protection Agency
In Scotland, the functions of the river purification authorities, the waste regulation authorities
and HM Industrial Pollution Inspectorate are transferred to SEPA.

Appropriate property, rights and liabilities are transferred as with the Agency. The functions
and duties of SEPA are generally similar to those of the Agency (sections 20 to 36 of the
Act).
Cost-benefit analysis
One of the most significant of the general duties of the new Agencies is that they must, when
considering whether or how to exercise a power, take in to account the likely ''costs and
benefits'' of using its power (section 39). Note that this only applies to the Agency's powers,
not its duties.
3.2 The New Contaminated Land Regime.
Section 57 of the Environment Act amends Part 11 of the Environmental Protection Act 1990
(EPA 90) by introducing new provisions on the identification and remediation of
contaminated sites. However, key areas of the regime depend upon guidance from the
Secretary of State. The 'polluter pays' principle was reinforced, but there was also
recognition that land-owners should be responsible for some aspects of land, if original
polluters cannot be found.
The "suitable for use" approach implements measures for the removal of real environmental
hazards with the imposition of unnecessary costs. This approach requires remedial action
only where there is significant harm or pollution of controlled waters and where there are
appropriate cost-effective means available to take such action, taking into account the actual
or intended use of the site.
When is land contaminated?
The requirement on any party to take action will be limited to ''contaminated land'' as defined
in the Environment Act:
''any land which appears to the local authority in whose area it is situated to be in such a
condition, by reason of substances in, on or under the land, that (a) significant harm is being
caused or there is a significant possibility of such harm being caused; or (b) pollution of
controlled waters is being, or is likely to be, caused. If it is not, then these provisions of the
Act are irrelevant."
Harm relates to: '' the health of living organisms or other interference with the ecological
systems of which they form part and, in the case of man, includes harm to his property".
Clean-up is required to a standard appropriate for after use. This requires remedial action to
be taken as regards contaminated land only where the contamination causes an
unacceptable actual or potential risk to health or the environment and there are appropriate
and cost-effective means available to do so, taking into account the actual or intended use of
the site.
Question 5.
Duties of the Environment Agencies include...
Multiple Choice (HP)
Answer 1:

Maintenance, improvement and development of fisheries

Response 1:
Jump 1:

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Answer 2:

General environmental and recreational duties

Response 2:
Jump 2:

This page

Answer 3:

conservation and enhancement of beauty of waterways and associated

land; conservation of water resources

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

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3.3 The Regulator.

Local Authorities are the key regulators regarding contaminated land under the Act with the
Agency playing a consultative/advisory role.
They have a duty to cause their areas to be inspected from time to time for the purpose of
identifying contaminated land and of enabling it to decide whether any such land requires
''special site'' designation.
Special sites are sites which appear to be in such a condition by reason of substances
(including liquids and gases) in, on or under them, that serious harm or serious pollution of
controlled waters is being or is likely to be caused. Procedural means for designation of a
site are set out in the Environment Act including an appeal mechanism. Once a site is so
designated, the Agency becomes its regulator.
Remediation notices
Once contaminated land has been identified, attention needs to be taken as to:

when the relevant regulator decisions how clean-up should take place;
to what standard; and
who should pay.

The authorities have a duty except in specific circumstances to serve a remediation notice
on ''the appropriate person'' regarding contaminated land.
The Agency has a similar power regarding special sites. This has to set out what is to be
done by way of remediation and the periods within which such things are to be done. The
authority must specify any matters in the notice it considers reasonable having regard to: the
cost of carrying out remediation works and the seriousness of the harm or pollution of the
controlled waters in question. The Environment Act sets out specific procedures for the
serving of remediation notices. The Local Authority is placed under an obligation to use
reasonable endeavours to consult with all relevant persons concerning what is to be done by
way of remediation.
Furthermore unless there is imminent danger, there is a three month period before the
remediation notice can be served. Any party upon whom such a notice is served can appeal
against it to the Magistrate's Court.
Non-compliance with a remediation notice related to industrial, trade or business premises,
exposes a person to criminal sanctions. The enforcing authority will also be empowered to

carry out the necessary works itself and recover the reasonable cost of doing so.
Remediation declarations and statements
Where the authority is satisfied that it would not be reasonable to issue a remediation notice
taking into account cost and seriousness, it will not serve a remediation notice. Instead the
authority shall issue a remediation declaration. This sets out why the authority would have
specified a particular form of remediation and the reasons precluding it from doing so.
Alternatively, the authority will not serve a remediation notice when it is satisfied that the
works will be carried out by the appropriate person without a notice being required, the
authority would be the person upon whom the notice should be served, or it would be more
appropriate for the authority to carry out the work itself.
However, in such circumstances it shall require the responsible person (defined below) to
prepare a remediation statement. This will record what is being, has been, or is expected to
be done by way of remediation; the name and address of who is doing, has done or is
expected to do the remediation; and the periods within which each of these things is being,
or is expected to be, done.
Details of remediation notices, statements and declarations (together with appeals, and
other matters) will be included in registers to be held by the enforcing authorities.
The responsible person - the polluter if the land is ''contaminated''. Primary liability rests with
the person who ''caused or knowingly permitted'' the substances to be in, on or under that
land (the ''Polluter'').
The Environment Act assumes that the Polluter will also have caused or knowingly permitted
those substances to be in, on or under any other land to which they appear to have
escaped.
The responsible person - the owner/occupier
The owner/occupier of land will be enforced against where the Polluter has not, after
reasonable enquiry, been found.
The Act does not provide a definition of a ''reasonable enquiry''.
Apportioning liability - the position as between an owner and an occupier in terms of liability,
or means to exclude liability, is not set out. The Environment Act states that, when there
would otherwise be more than one appropriate person who would be responsible for
remediation, guidance will be provided on which of them is to be treated as not being an
appropriate person in relation to that remediation. Guidance will also be provided on
proportioning the cost of remediation when there is more than one appropriate person.
The old regime Section 61 of the Environmental Protection Act - which gives the waste
regulation authority (WRA) power to require clean up of contaminated land and recover the
cost of doing so from ''the owner of land for the time being'' is repealed unimplemented,
together with Section 149 registers. The Environment Act therefore reduces the impedance
of ownership as the means to attracting liability for contaminated land in four ways: it repeals
s61 of the Environmental Protection Act.
1. Though ownership is still a potential trigger to liability, primary liability rests with the

Polluter;
2. The occupier shares the possibility of potential liability with the owner, and
3. provisions of the Environment Act restrict liability as owner/occupier for off-site
remediation.
4. The Environment Act provisions in regard to contaminated land do not apply in
respect of any land where there is a waste management licence in force. A
remediation notice should also not be served where waste deposit has taken place in
or on any land in contravention of the waste management regime under the
Environmental Act where the waste has essentially been fly-tipped or otherwise
unlawfully deposited and it appears to the local authority that the powers of the WRA
may be exercised in relation to that waste or the consequences of its deposit.
3.4 Lender's Concerns.
The Environment Act provides exemption from liability for ''a person acting in a relevant
capacity."
A person acting in a relevant capacity is defined to include, for example, a person acting as
an insolvency practitioner and receivers.
The definition of an owner includes a mortgagee not in possession. Lenders can however
find themselves in possession simply by virtue of the borrower surrendering the keys. This
would potentially expose them to the cost of remediation. It forms a close part of the concept
of ''control''
The question needs to asked as to what the lender needs to do to be deemed as ''causing''
or ''knowingly permitting."
Question 6.
Who are the key regulators regarding contaminated land under the Act?
Multiple Choice (HP)
Answer 1:

Environment Agency

Response 1:
Jump 1:

This page

Answer 2:

Local Authorities

Response 2:
Jump 2:

Next page

Answer 3:

Health & Safety Executive (HSE)

Response 3:
Jump 3:

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3.5 Protection of the Water Environment.

The tripartite samples required for discharge consent prosecutions is repealed. Monitoring
data obtained under environmental licence conditions is admissible in evidence in any
proceedings, whether against the party subject to the condition or any other person. For this
purpose, apparatus is presumed in any proceedings to register or record accurately unless
the contrary is shown or the relevant licence provides otherwise. Where licence conditions

require record entries to be made and an entry has not been made, that is in itself
admissible in proceedings as evidence that the condition has not been observed.
Enforcement powers
In the past, the NRA perceived itself as having little power to require works to be carried out
in order to avoid future problems, that is, to be pro-active. In schedule 22 to The
Environment Act, there are important amendments to the primary legislation which will give
significantly increased powers to the Agency. For example, an amendment to the Water
Resources Act 1991 provides that if the Agency is of the opinion that a consent holder is
contravening any condition of its consent, or is likely to contravene any such condition, it
may serve on him an enforcement notice.
The enforcement notice will need to specify the matters constituting the contravention or
likely contravention of the consent and specify the steps to remedy this and the time in which
the works need to be carried out.
Where it appears to the Agency that any poisonous, noxious or polluting matter or any solid
waste matter is likely to enter, or to be or have been present in, ''controlled waters''
(including ground and surface waters) it is entitled to serve a works notice on any person
who has caused or knowingly permitted it either: to be in controlled waters; or to be in a
position where it is likely to enter controlled waters.
Where the pollutants have not yet entered into controlled waters, the works notice may
specify the works or operations needed to prevent it from doing so.
Where the pollutants have entered the controlled waters, the Agency may specify the works
or operations necessary: to remove or dispose of the matter, to remedy or mitigate any
pollution caused, or so far as is reasonably practicable to do so, to restore the waters
including any flora or fauna.
3.6 Producer Responsibility.
The Environment Act introduces the skeleton for a regime to ensure that UK industry meets
the targets for reuse, recovery or recycling required by European Legislation. It provides the
framework within which the Producer Responsibility system will work and reveals a central
theme the co-operation of industry. The goal is explicit:
"For the purposes of promoting or securing an increase in the re-use, recovery or recycling
of products or materials, the Secretary of State may by regulations make provision for
imposing producer responsibility obligations on such persons and in respect of such
products and materials, as may be prescribed. (s93(1)) Environment Act"
A key theme is the concept of consultation with trade representative bodies. Regulations will
be introduced following such consultation (s93(2)) and when the Secretary of State is
content that the following fundamental concepts are satisfied that:

the proposed exercise of the power would be likely to result in an increase in the reuse, recovery or recycling of the products or material in question;

any increase would produce environmental or economic benefits;

those benefits are significant as against the likely costs resulting from the imposing of

the proposed producer responsibility obligation;

the burdens imposed on business by the regulations are the minimum necessary to
secure those benefits; and

those burdens are imposed on persons most able to make a contribution to the
achievement of the relevant targets. Having regard to the desirability of acting fairly
between persons who manufacture, process, distribute or supply products or
materials (though this does not mean that the obligation cannot be placed just on one
class to the exclusion of others) and taking account of the need to ensure that the
proposed producer's responsibility obligation is so framed as to be effective in
achieving the purpose for which it is to be imposed.

3.7 Air Quality.

Perhaps the part of the Environment Act which attracted most press coverage was that
concerned with air quality, partly because of the emotive suggestion that traffic might be
banned from the streets in order to prevent air pollution.
Certainly there is provision for the Secretary of State to make regulations which prohibit or
restrict access of prescribed vehicles to prescribed areas but, if made, these would be part
of a wider development of a national air quality strategy. Section 80 of the Environment Act
requires the Secretary of State to prepare and publish a national air quality strategy;
containing policies on the assessment and management of air quality."
Local Authorities duties
Local authorities (district councils or unitary authorities) are given, by sections 82-84 new
duties with regard to the management of air quality in their areas. A local authority is
required ''from time to time'' to have a review of the air quality in its areas and an
assessment of whether air quality standards or objectives are being met (or are likely to be
met in future).
If the standards or objectives are not being met or are likely not to be met in the future in any
area, the local authority is required to issue an order designating that area an ''air quality
management areas". For such an area the local authority is required to prepare an action
plan.
There are provisions (s85) for reserved powers where the Secretary of State may carry out
reviews and assessments and require local authorities to take action, including the
designation of air quality management areas and the implementation of an action plan.
Also, where the district council is in the area of a county council the district is required (s86)
to take into account recommendations by the county on reviews, assessments and the
preparation of action plans.
Section 87 is where the Environment Act allows for the making of regulations relating to the
implementation of the national air quality strategy, the implementation of EU obligations or
international agreements or otherwise with respect to the assessment or management of air
quality. These Regulations may, amongst other things prescribe air quality standards,
prescribe objectives for restricting the presence in the air particular substances, confer
powers or impose duties on local authorities, prohibit or restrict the carrying on of
''prescribed activities'' and prohibit or restrict the access of prescribed vehicles to prescribed

areas.
4.0 Pollution Prevention and Control Act 1999.
The Pollution Prevention and Control Act 1999 received Royal Assent on 27th July 1999 .
Overview of the Pollution Prevention and Control Act 1999
Sections 1 and 2 of the Act confer on the Secretary of State power to make regulations
providing for a new pollution control system to meet the requirements of European Council
Directive 96/61/EC on Integrated Pollution Prevention and Control (the IPPC directive) and
for other measures to prevent and control pollution. It is intended that, generally, these
regulation making powers will be transferred to the National Assembly for Wales in so far as
they are exercisable in relation to Wales, and to the Scottish Executive in so far as
exercisable in or as regards Scotland.
Section 3 of the Act enables the Secretary of State to make regulations conferring powers to
prevent pollution following an accident involving an offshore installation.
Section 4 addresses a problem arising under the transitional provisions in Part 11 of the
Environmental Protection Act 1990 by removing time limits applying to waste disposal
licenses inherited from the regime under the Control of Pollution Act 1974. Amongst other
things, this means that holders of such licenses will not be able to walk away from their
waste disposal sites until it is shown that the site is unlikely to cause pollution of the
environment or harm to human health.
4.1 Background.
Part I of the Environmental Protection Act contains the Integrated Pollution Control (IPC)
regime and Local Air Pollution Control (LAPC) regime. Both are concerned with regulating
pollution from industrial processes.
The first is concerned with preventing or minimising pollution of the environment due to the
release of substances into the air, water or land.
The second is concerned with preventing or minimising air pollution and applies to those
industrial processes which are not considered to give rise to significant pollution of water or
land.
Central to both regimes is the requirement that the ''Best Available Techniques Not Entailing
Excessive Costs'' should be used to prevent or minimise pollution.
In addition to these regimes, Part 11 of the Environmental Protection Act contains the Waste
Management Licensing system, which is concerned with regulating the deposit, disposal or
recovery of waste.
The UK implemented the IPPC Directive by October 1999. It requires a range of industrial
installations to be regulated by a system of integrated pollution control (i.e. a system in which
emissions to air, water and land, plus other environmental effects, are considered together
and conditions set so as to achieve a high level of protection for the environment as a
whole).
Permit conditions must be based on the use of the ''Best Available Techniques", which is a
very similar concept to ''Best Available Techniques Not Entailing Excessive Cost'' in Part I of

the Environmental Protection Act.

Both concepts are designed to provide for a flexible, case by case approach to regulation
which balances cost with environmental benefit. Around 7,000 installations in the UK will be
covered by the Directive including most of those regulated at present under the IPC regime
in Part I of the Environmental Protection Act; some 1,500 of the 13,000 regulated at present
under the LAPC regime in Part I of that Act; over 1,000 of the installations regulated under
the Waste Management Licensing regime contained in Part 11 of that Act; and significant
numbers of installations which are at present unregulated by either Part I or Part 11 of the
Environmental Protection Act.
This latter category mainly comprises large, intensive pig and poultry installations, plus large
installations for the manufacture of food and drink products.
The main purpose of sections 1 and 2 and the Schedules to the Act is to enable a single,
coherent pollution control system to be set up by regulations which will apply to all of the
installations to which the IPPC Directive applies and to those installations currently regulated
under Part I of the Environmental Protection Act but to which the Directive does not apply
(the whole of Part l of the Environmental Protection Act will, in due course, be repealed by
the Pollution Prevention and Control Act, subject to what is said below in relation to Northern
Ireland).
Section 2 and Schedule 1 also provide for regulations to be made under the Act to cover
various ancillary matters connected with the prevention or control of pollution. An example
would be the collection of information about emissions, energy and waste for inclusion in a
pollution inventory. The IPPC Directive also applies to large combustion plant on offshore
installations.
The Government intends to use the Act not only to implement this Part of the Directive but
also to improve other aspects of the offshore environmental regime, including implementing
the decision of the Oslo and Paris Commission (OSPAR) 96/3 on the use and discharge of
chemicals offshore. In addition, section 3 of the Act will enable the Government to implement
the recommendation in Lord Donaldson 's report on the Sea Empress disaster that the
Secretary of State should have powers to direct operations following a pollution incident.
Part 11 of the 1990 Act, which replaced the waste disposal licence regime in the Control of
Pollution Act 1974, rectified a deficiency in the 1974 Act regime whereby holders of disposal
licenses could hand in their licenses and absolve themselves of further responsibility for
landfills and other waste facilities. Under Part 11 of the Environmental Protection Act, a
waste management licence remains in force unless it is revoked by the Environment
Agencies or its surrender is accepted by the Agencies (who must be satisfied that
environmental pollution or harm to human health is unlikely to be caused).
Licences under the 1974 Act were converted into waste management licenses under Part 11
of the Environmental Protection Act.
However, a number of the converted licenses were issued subject to time limits which in
some cases have expired without either the Agency or the licence holder being aware of the
fact. Such time limits allow a licence to expire (and thus licence holders to absolve
themselves of further responsibility) without the environmental and health safeguards
provided by Part 11 of the Environmental Protection Act in relation to revocations and
surrenders.

Section 4 of the Act addresses this problem by removing the time limits applying to these
convened 1974 Act licenses.
Question 7.
Sections 1 & 2 of the Pollution Prevention & Control Act 1999 confer power to make
regulations on who?
Multiple Choice (HP)
Answer 1:

Environment agency

Response 1:
Jump 1:

This page

Answer 2:

Secretary of state

Response 2:
Jump 2:

Next page

Answer 3:

National assembly

Response 3:
Jump 3:

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4.2 Commentary.
Section 1
Section 1 of the Act sets out the general purpose for which regulations may be made under
section 2 of the Act, including, in particular, implementing the IPPC Directive.
The new system will need to incorporate the concepts and principles used in the Directive
(such as Best Available Techniques and the general principles concerning energy efficiency,
the control of waste production and site restoration) in so far as the installations covered by
the Directive are concerned. The Directive's requirements will, however, where appropriate,
be modified or misapplied for the purposes of applying the new control regime to installations
not covered by the Directive.
Section 2 and Schedule 1
Section 2 of the Act confers on the Secretary of State power to make regulations creating a
regime of pollution control, for the purpose set out in section 1 and to the extent provided for
in Schedule 1. The first sets of regulations made under the Act will be subject to the
affirmative parliamentary procedure. Any subsequent amendments to the regulations which
create an offence or increase a penalty for an existing offence or which amend or repeal any
provision of an Act, will also be subject to the affirmative procedure. For other amendments,
the Secretary of State has a choice of negative or affirmative procedure. Section 2 also
specifies those persons who must be consulted before any regulations are made.
Schedule 1 lists the specific purposes for which the power in section 2 may be used.
The power will enable the procedural requirements of the new pollution control system to
parallel closely those in Part I of the Environmental Protection Act.
Schedule 1 provides, for example, that the regulation making power in section 2 may be
used to establish a system of pollution control requiring operators of specified installations or
plants, or those carrying out specified activities, to hold permits (paragraph 4), for those
permits to contain conditions (paragraph 6) which are to be reviewed by the regulator

(paragraph 7), for publicity to be given to specified matters (for example, to applications for
permits) and for information on emissions, energy and waste to be supplied (for inclusion, for
example, in public registers, the Environment Agency's Pollution Inventory and any future
European polluting emissions register) (paragraphs 11 & 12), for regulators to take
enforcement action (paragraph 15), for the creation of offences (such as failure to comply
with permit conditions) (paragraph 17) and for rights of appeal (paragraph 19).
Section 2 and Schedule 1 will also enable the new pollution control system to include
requirements similar to those in Part 11 of the Environmental Protection Act. Thus, for
example, paragraph 5 of Schedule 1 will allow provision to be made restricting the grant of
permits to those who are fit and proper persons, a test which is applied under the Waste
Management Licensing system. The power to make regulations in this area is necessary in
order that ''fit and proper person'' provisions may continue to apply to those waste
management installations currently regulated under Part 11 of the Environmental Protection
Act to which the IPPC Directive applies and which, in future, will be regulated under the new
regime to be set up in the regulations made under section 2 rather than under Part 11.
Similarly, paragraph 8 of Schedule 1 allows provision to be made regulating the transfer or
surrender of permits (matters which are regulated under the Waste Management Licensing
system). The Regulations will need to apply such requirements to all installations covered by
the IPPC Directive to allow the implementation of the Directive's requirement that
appropriate remedial activity takes place following closure of an installation.
Paragraph 2 of Schedule 1 will enable the Regulations to determine the authorities which will
exercise the functions under the new pollution control system. As under Part l of the
Environmental Protection Act, it is intended that the role of granting and updating permits,
taking enforcement action etc, will be divided between the Environment Agency and local
authorities in England and Wales and carried out by the Scottish Environment Protection
Agency in Scotland, save in relation to matters affecting offshore installations.
As under the present regimes under Part l of the Environmental Protection Act, fees will be
payable to regulators in relation to the exercise of some of their functions (for example, in
relation to the determining of applications for the grant of a permit and for the variation of the
conditions of a permit). The fees payable to local authorities or the Secretary of State will be
set out in charging schemes made under the regulations (paragraph 9 of Schedule 1) and
those payable to the Agencies will be set out in schemes under section 41 of the
Environment Act 1995. Paragraph 10 of Schedule 1 will allow fees to be charged for prior
testing of substances in connection with granting or complying with permits.
Paragraph 1 of Schedule 1 enables the Regulations to establish standards, objectives,
requirements and limits and to allocate quotas in relation to emissions, (things currently
provided for in section 3 of the Environmental Protection Act). The paragraph specifically
provides for the making of quota trading or transfer schemes in relation to quotas so
allocated.
New installations and those undergoing substantial change will be regulated under the new
regime set up under the Act from the date on which the new regime comes into force.
Existing installations were phased into the new regime, generally on a sectoral basis, before
31st October 2007 (the deadline specified by the IPPC Directive.)
4.3 Section 3.
Section 3 of the Act enables the Government to make regulations enabling it to respond to
the threat of significant pollution following an accident involving an offshore installation in the
same way as it can respond under the Merchant Shipping Act 1995 to such a threat from a

shipping casualty.
The Government intends that if an accident occurs involving an inshore installation which
gives rise to a threat of significant pollution to the UK's pollution control zone, territorial
waters or coastline, operational control of the installation will pass to the Secretary of State's
appointed representative.
Section 3(1) enables the Secretary of State to make regulations conferring powers in relation
to offshore installations which correspond or are similar to those for ships contained in
sections 137 to 140 of the Merchant Shipping Act 1995. Section 3(2) applies the provision to
installations which are located in UK territorial waters or the continental shelf and which are
used for the exploration, development or production of petroleum (which includes natural
gas).
Section 3(3) ensures that any regulations can be tailored to the particular circumstances and
various types of offshore installations and can sit well with existing provisions. Section 3(4)
to (6) ensures that consultation takes place with statutory bodies, industry and others prior to
the introduction of regulations and that these be subject to the affirmative parliamentary
procedure.
4.4 Section 4.
Section 4 applies to time-limited disposal licenses issued under Part I of the Control of
Pollution Act 1974, whether converted into time-limited waste management licenses under
Part 11 of the Environmental Protection Act or having expired before they could be
converted.
Section 4(1) to (3) provides that, where certain conditions are fulfilled, 1974 Act disposal
licenses authorising activities to be carried on in England and Wales which have expired are
to be deemed not to have expired but to continue in force until revoked or surrendered under
Part 11 of the Environmental Protection Act. Similarly, section 444 provides that, where
certain conditions are fulfilled, extant 1974 Act time-limited disposal licenses (including those
authorising activities to be carried out in Scotland) shall be deemed to have become nontime limited licenses which continue in force until revoked or surrendered. These provisions
only apply to licenses which have been relied upon within the 12 month period before the Act
was passed (27th July 1999).
Where expired licenses are revived, section 4 retrospectively validates things done in
reliance upon the expired licence during the period between its expiry and revival.
This means that the licence holder will not be subject to criminal prosecution for carrying out
activities during this period without an extant licence and that third parties who transferred
waste to the licence holder in the belief that the licence was still in force are protected. The
section also validates the receipt of any fees paid to the Agencies under the licence and any
variation notices, modification, revocation, suspension or transfer of a licence or acceptance
of its surrender when it was not in force. These matters are set out in section 4(6).
Section 4(7) ensures that activities which were not criminal when they were carried out are
not criminalised. Under section 4(9), the Environment Agencies are under a duty to notify
licence holders affected by the section of the fact that the licence is affected and how it is
affected.
4.5 Section 5.
Section 5(1) and (2) enables a transfer order under the Government of Wales Act 1998 to

follow the negative resolution parliamentary procedure rather than the affirmative procedure.
Section 5(3) provides for the automatic transfer of functions under the Act to the Scottish
Executive so far as they are functions exercisable within ''devolved competence'' (as defined
in section 54 of the Scotland Act 1998).
4.6 Section 6 and Schedules 2 and 3.
The Act provides for the repeal of Part I of the Environmental Protection Act (subject to what
is said below in relation to Northern Ireland), which will be superseded by the new pollution
control regime set up under section 2 of the Act, and for a number of consequential and
minor amendments and repeals to other legislation to take account of the replacement of the
Part I regimes by the new regime.
These include an amendment to section 8 of the Environmental Protection Act to enable one
regulator to recover its costs from charges imposed by another regulator during the year
transitional period before the repeal of Part I of the Act (some consequential amendments
are being left to be made under the regulations made under section 2 because their precise
terms will turn on what is in the regulations).
The amendments in the Prevention of Oil Pollution Act 1971 and the Merchant Shipping Act
1995 take account of the consolidation effected by the 1995 Act, and the amendment in
section 77 of the Environmental Protection Act is consequential on section 4 of the Act.
4.7 Section 7.
Section 7 provides that sections 3 and 5 of the Act apply to the whole of the United Kingdom.
The rest of the Act generally only applies to Great Britain.
Part I of the 1990 Act also generally only applies to Great Britain but section 3(5) to (7) in
that Part also applies to Northern Ireland. The repeal of Part l of the 1990 Act will not affect
section 345) to (7) in so far as it applies to Northern Ireland.
Section 7(9) will enable regulations under the Act to apply to installations under the
jurisdiction of the United Kingdom but beyond its territorial waters.
This will enable, for example, the regulation of large combustion installations on oil rigs
whether or not they are in territorial waters.
4.8 Commencement Date.
The Powers in the Act to make regulations and section 4 (time-limited waste Iicences) came
into force on Royal Assent ( 27th July 1999 ).
The consequential amendments and repeals in Schedules 2 and 3 will be brought into force
by commencement order.
4.9 The Clean Neighbourhoods and Enviromnent Act 2005.
This act, which became law in 2005, affects certain areas of environmental legislation as
follows:
Fixed Penalty Notices (Fines)
makes greater use of fixed penalties as an alternative to prosecution, in most cases giving
local authorities the flexibility to set their own rates;
gives parish councils the power to issue fixed penalties for litter, graffiti, fly posting and dog
offences.

Nuisance and Abandoned Vehicles

gives local authorities the power to remove abandoned cars from the streets immediately;
creates two new offences to help local authorities deal with nuisance parking: offering for
sale two or more vehicles, or repairing a vehicle, on the road as part of a business.
Litter
makes it an offence to drop litter anywhere, including private land and rivers, ponds and
lakes;
gives local authorities new powers (litter clearing notices) to require businesses and
individuals to clear litter from their land;
strengthens existing powers for local authorities to require local businesses to help clear up
litter they generate (street litter control notices);
enables local authorities to restrict the distribution of flyers, hand-outs and pamphlets that
can end up as litter;
confirms that cigarette butts and discarded chewing gum are litter.
Graffiti and fly-posting
extends graffiti removal notices (as introduced by the Anti-social Behaviour Act 2003) to
include fly-posting;
improves local authorities powers to tackle the sale of spray paints to children;
strengthens the legislation to make it harder for beneficiaries of fly posting to evade
prosecution;
enables local authorities to recover the costs of removing illegal posters.
Waste
amends provisions for dealing with fly-tipping by:
- removing the defence of acting under employers instructions;
- increasing the penalties;
- enabling local authorities and the Environment Agency to recover their investigation and
clear-up costs;
- extending provisions on clear up to the landowner in the absence of the occupier.
gives local authorities and the Environment Agency the power to issue fixed penalty
notices (and, in the case of local authorities, to keep the receipts from such penalties):
- to businesses that fail to produce waste transfer notes;
- to waste carriers that fail to produce their registration details or evidence they do not need
to be registered;
- for waste left out on the streets (local authority only);
introduces a more effective system for stop, search and seizure of vehicles used in illegal
waste disposal; and enabling courts to require forfeiture of such vehicles
introduces a new provision covering the waste duty of care and the registration of waste
carriers;
introduces a new requirement for site waste management plans for construction and
demolition projects;
repeals the divestment provisions for waste disposal functions to provide greater flexibility
for local authorities to deliver waste management services in the most
sustainable way;
reforms the recycling credits scheme to provide increased local flexibility to incentivise
more sustainable waste management.
Dogs
replaces dog byelaws with a new, simplified system which will enable local authorities and
parish councils to deal with fouling by dogs, ban dogs from designated areas,
require dogs to be kept on a lead and restrict the number of dogs that can be walked by one
person;

 gives local authorities, rather than police, sole responsibility for stray dogs.
Noise
reduces nuisance caused by noise by giving local authorities to:
- deal with burglar alarms;
- impose fixed penalty fines on licensed premises that ignore warnings to reduce excessive
noise levels;
gives local authorities greater flexibility in dealing with noise nuisance.
Miscellaneous
enables local authorities to recover the costs of dealing with abandoned shopping trolleys
from their owners;
extends the list of statutory nuisances to include light pollution and nuisance for insects;
improves the contaminated land appeals process.
Question 8.
A Management licence under part II of the 1990 Act, remains in force unless it is revoked by
the Environment Agency or its surrender is accepted by the Agency.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

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5.0 Water Legislation.

Water Act 1989
Since the implementation of the Water Act 1989, the water industry in England and Wales
has been privatised. The water companies are responsible for sewage treatment, including
consents to discharge to sewer and water supply. The water industry is regulated by
Government-appointed Director-General (Water Services) and the Drinking Water
Inspectorate
A Water Undertaker has a duty to develop & maintain a water supply system, provide supply
of water for domestic or non-domestic purposes and to ensure the supply is wholesome and
fit for human consumption.
A Sewerage Undertaker has a duty to provide and maintain a system of sewers and sewage
disposal as well as to provide a public sewer to be used for drainage of domestic premises
for domestic purposes.
In practice most water companies act in both capacities as water undertaker and sewage
undertakers. There remain a few Companies that act as water undertakers only.
The Water Act also established the National Rivers Authority, a non-departmental
government body with the remit to maintain & improve water quality.The Authority was
subsumed into the Environment Agency in 1996.

Water Resources Act 1991

The principal legislation relating to the prevention of pollution of surface, coastal, relevant
territorial waters and groundwaters (controlled waters) is the Water Resources Act 1991.
Under section 85 of the Act, it is an offence if a person:
(1) causes or knowingly permits any poisonous, noxious or polluting matter or any solid
waste matter to enter any controlled waters;
(2) causes or knowingly permits any matter, other than trade effluent or sewage, to enter
controlled waters by being discharged from a drain or sewer in contravention of a prohibition;
(3) causes or knowingly permits any trade or sewage effluent to be discharged into
controlled waters or from a pipe into sea outside seaward limits of controlled waters
(England & Wales only);
(4) causes or knowingly permits any trade effluent or sewage effluent to be discharged in
contravention of a prohibition notice from a building or fixed plant onto any land or into any
inland lake or pond that are not inland breakwaters;
(5) causes or knowingly permits any matter whatsoever to enter any inland freshwater so as
to tend to impede proper flow in a manner leading, or likely to lead to a pollution due to other
causes or the consequences of such pollution.
Under the Act, the penalties for breach of Section 85 are:

on summary conviction: imprisonment not exceeding three months or fine not

exceeding 20,000 and
on conviction on indictment, imprisonment not exceeding two years or fine or both.

Section 88 of the Act specifies defences against prosecution, including if;

(1) Consent has previously been given for the discharge under Part 11 of the Control of
Pollution Act 1974
(2) The discharge is authorised under Part I of the Environmental Protection Act Pollution
Prevention and Control Act 2000
(3) A waste management licence is in force
(4) The discharge is authorised by a licence granted under Part 11 of Food & Environment
Protection Act 1985
(5) The discharge is carried out under Section 163 or 165 of water Industries Act (discharges
for works purposes)
The discharge is made under Local statutory provision or prescribed enactment. The Water
Resources Act also defines a trade effluent as blanc effluent which is discharged from
premises used for carrying on any trade or industry, other than surface water and domestic
sewage, and for the purposes of this definition any premises wholly or mainly used (whether
for profit or not) for agricultural purposes or for the purposes of fish farming or scientific

research or experiment shall be deemed to be premises used for carrying on a traders.

It should be noted that in 2003, a new Water Act was passed which amends various sections
of the Water Resources Act. We shall deal with the new act in the next section.
Water Industry Act 1991
Discharges to sewer are controlled by Section 1 18 of the Water Industry Act 1991.
Consent to discharge is issued by the Sewage Undertaker.
Trade Effluents (Prescribed Processes & Substances) Regulations 1989 (as amended) In
the event that effluent falls under one of two categories of trade effluent, it is subject to
special control under Trade Effluents (Prescribed Processes & Substances) Regulations
1989 (as amended).
The special categories of effluent are:
(1) Effluents that contain Red List substances at greater than background levels
(2) Effluents from prescribed processes including(3) Process for production of chlorinated organics
(4) Process for manufacture of paper pulp
(5) Industrial processes using chlorinated cooling wafers/effluent
(6) Processes for manufacture of asbestos cement
(7) Processes for manufacture of asbestos paper or board
(8) Effluent containing N3okg/year trichloro/perchloroethylene
For discharges falling into these categories, the application is subject to consultation with the
Environment Agency.
It should be noted that in 2003, the Water Act amended several sections of the Water
Industry Act. We shall deal with the new act in the next section.
The Environment Act 1995
The Environment Act 1995 established the Environment Agency in England and Wales,
combining the function of HMIP, the Waste Regulation Authority and the National Rivers
Authority.
In Scotland, the Scottish environmental Protection Agency was formed and the Environment
& Heritage Service in Northern Ireland.
The 1995 act also introduced changes to the provisions of the Water resources act 1991,
including a review period of 4 years, requiring a named person (or company) on a consent

and introduced an appeals procedure against conditions set on a consent.

Section 111 of the 1995 act also changed the statutory sampling requirement so that:
''information provided or obtained pursuant to or by virtue of a condition of a relevant licence
(including information so provided or obtained, or recorded, by means of any apparatus)
shall be admissible in evidence in any proceedings, whether against the person subject to
the condition or any other person''
5.0.1 The Water Act 2003.
One of the reasons for devolution being put into effect in different ways depending in
different Acts is that the areas of appointment of water and sewerage undertakers do not
follow the geographical boundary of England and Wales. Accordingly, when considering the
functions of water and sewerage undertakers, the jurisdiction of the Secretary of State and
the National Assembly for Wales is generally determined by the undertakers' areas of
appointment, rather than the national boundary.
The four broad aims of the Act are:

the sustainable use of water resources;

strengthening the voice of consumers;
a measured increase in competition; and
the promotion of water conservation.

The Government's initiative to promote sustainable use of water resources was launched by
the Deputy Prime Minister at the Water Summit in May 1997 with a 10 point action plan. That
plan included a review of the abstraction licensing system. Following consultation, the
Government's decisions on abstraction licensing were published in Taking Water
Responsibly in March 1999. This Act implements those changes to the current regime for
water resources management that require legislative change. The need for the Better
Regulation measures was also indicated before publication of the Act in the White Paper A
Fair Deal for Consumers - Modernising the Framework for Utility Regulation, published in
July 1998. The Government announced in March 2001 that it would increase opportunities
for competition in water services, and this Act implements changes to achieve that.
In November 2000, the Government consulted on the draft Water Bill, publishing its
response in July 2002. A three-month consultation was undertaken on the competition
aspects of the Bill in summer 2002. Copies of these documents are available on the DEFRA
website (www.defra.gov.uk/environment/water/legislation).<br< style="font-size: 12px;" a="">
/>
The main provisions of </br<>the Act are set out below.
The Act amends the Water Resources Act 1991 to improve long-term water resource
management by:

creating two new forms of abstraction licence - the transfer licence and the temporary
licence;
widening the control over impoundments so that licences are required for the whole
duration of impoundment works;
replacing licensing exemptions based on water use with a new exemption threshold
of less than 20 cubic metres of water per day;
ending the current exemption for irrigation (other than spray irrigation) and
dewatering from the abstraction licensing regime;
requiring all new abstraction licences to be time-limited;

empowering the Environment Agency to revoke or vary an abstraction licence without

compensation if it has not been used for four years; and
removing the entitlement to compensation if the Secretary of State (or the Assembly)
directs that a licence without a time limit should be curtailed, on or after 15 July 2012,
on the grounds of serious environmental damage.

It also amends the Water Industry Act 1991 so that water companies:

are given a duty to prepare and publicise drought plans;

are placed under a duty to agree and publicise water resource management plans;
and
are placed under an enforceable duty to further water conservation.

The Act introduces provisions for the better operation and regulation of the water industry by
amending the Water Industry Act 1991 to:

replace the Director General of Water Services with a Regulatory Authority;

set up a new independent Consumer Council for Water to replace the Customer
Service Committees and the Ofwat National Consumer Council (known as
WaterVoice);
require the Authority and the Council to consult on and publish forward work
programmes and annual reports;
give both the Authority and Council a new duty to contribute to sustainable
development; and
give the Authority a duty to further the consumer objective wherever appropriate,
through promoting effective competition.

The Act includes provisions which aim to increase the opportunities for competition in the
supply of water services, by:

setting up a system to license new entrants to supply water to large commercial and
industrial customers based on a water consumption threshold; and
providing the Authority with new regulatory powers to administer the competition
framework.

The Act also amends the Water Industry Act 1991 to include a new statutory obligation for
water companies to accede to requests from Strategic Health Authorities (in relation to
England) and the Assembly (in relation to Wales) to enter into arrangements to fluoridate
water supplies. This transfers responsibility for the decision to fluoridate from the undertaker
to the Strategic Health Authority and the Assembly, in consultation with local communities.
To further the principles of sustainable use of water resources, better regulation of the water
industry, competition and water conservation, the Act contains a number of miscellaneous
provisions.
To further water conservation the Act contains new provisions to:

place a duty on the Secretary of State and the National Assembly of Wales to take
appropriate steps to encourage water conservation; and

place a duty on public authorities to take into account the desirability of conserving
water supplies to premises.

The Act amends the Water Industry Act 1991 to:

give the Secretary of State or the Assembly powers to develop schemes requiring the
adoption of private sewers by sewerage undertakers;
require Fire Authorities or owners of commercial or industrial premises to pay for
replacement fire hydrants removed during water mains renewal or refurbishment
work;
allow developers to enter into an agreement with water undertakers to lay water
mains and communication pipes in accordance with standards set by the undertaker;
extend existing provisions to enable undertakers to adopt new lateral drains upon
construction; and
give the Secretary of State or the Assembly the power to make orders to apply or
disapply the trade effluent consenting regime in certain cases.

It enhances reservoir safety by amending the Reservoirs Act 1975 to:

transfer enforcement powers from local authorities to the Environment Agency in

England and Wales; and
empower the Secretary of State or the Assembly to direct owners of large raised
reservoirs to prepare and maintain flood plans.

The Act includes various amendments to facilitate streamline arrangements for flood
defence organisation and funding by:

including powers to revoke local flood defence schemes and allow the creation of
additional regional flood defence committees;
repealing section 147 to 149 of the Water Resources Act to enable Ministers to
make block grants to the Environment Agency for flood defence works and flood
warning schemes;
reinstating the power of the internal drainage boards to borrow to fund contributions
to the Environment Agency; and
enabling the National Assembly for Wales to make provisions regarding the
membership of Welsh regional flood defence committees.

The Act provides new powers under the Coal Industry Act 1994 for the Coal Authority to take
action to prevent and clean up mine water pollution from abandoned coal mines.
Question 9.
Who has a duty to develop and maintain a water supply system, provide a supply of water
for domestic or non-domestic purposes and to ensure the supply is wholesome and fit for
human consumption?
Multiple Choice (HP)
Answer 1:
Response 1:

Environment Agency

Jump 1:

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Answer 2:

Water Undertaker

Response 2:
Jump 2:

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Answer 3:

Sewerage Undertaker

Response 3:
Jump 3:

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5.1 The Groundwater Regulations.

What is Groundwater?
Groundwater is any water in the ground below the water table. Groundwater needs
protecting because the incorrect use and disposal of substances can lead to pollution of
groundwater.
The Groundwater Regulations 2009 protect groundwater by controlling the discharge or
disposal of potentially harmful and polluting materials. The Environment Agency has
responsibility for the Groundwater Regulations in England and Wales.
The Government introduced The Groundwater Regulations in 1998 to complete the
implementation of the EU Groundwater Directive (Protection of Groundwater Against
Pollution Caused by Certain Dangerous Substances 80/68/EEC). They were subsequently
updated in 2009.
Anyone who disposes of listed substances or materials containing listed substances must
apply to the Environment Agency for an authorisation. It is a criminal offence to dispose of
these substances onto or into land, unless you have a Groundwater Authorisation or other
relevant permit. This does not include correct use of that substance according to established
best practice.
5.2 Substances Controlled Under the Regulations.
These fall into two lists:
List 1
- (1) Subject to sub-paragraph (2) below, a substance is in list I if it belongs to one of the
following families or groups of substances(a) organohalogen compounds and substances which may form such compounds in the
aquatic environment;
(b) organophosphorus compounds;
(c) organotin compounds;
(d) substances which possess carcinogenic, mutagenic or teratogenic properties in or via the
aquatic environment (including substances which have those properties which would
otherwise be in list II);
(e) mercury and its compounds;
(f) cadmium and its compounds;
(g) mineral oils and hydrocarbons;
(h) cyanides.
(2) A substance is not in list I if it has been determined by the Agency to be inappropriate to

list I on the basis of a low risk of toxicity, persistence and bioaccumulation.

List 2
(1) A substance is in list II if it could have a harmful effect on groundwater and it belongs to
one of the following families or groups of substances:
(a) the following metalloids and metals and their compounds:
Zinc

Tin

Copper

Barium

Nickel

Beryllium

Chromium

Boron

Lead

Uranium

Selenium

Vanadium

Arsenic

Cobalt

Antimony

Thallium

Molybdenum

Tellurium

Titanium

Silver.

(b) biocides and their derivatives not appearing in list I;

(c) substances which have a deleterious effect on the taste or odour of groundwater, and
compounds liable to cause the formation of such substances in such water and to render it
unfit for human consumption;
(d) toxic or persistent organic compounds of silicon, and substances which may cause the
formation of such compounds in water, excluding those which are biologically harmless or
are rapidly converted in water into harmless substances;
(e) inorganic compounds of phosphorus and elemental phosphorus;
(f) fluorides;
(g) ammonia and nitrites.
5.3 Requirements for an Authorisation.
Requirements for an Authorisation
An authorisation is only needed when you are depositing substances onto or into land, for
example:

agricultural activities making a disposal of listed substances;

spreading used sheep dip to land;
washing out a pesticide spray tank onto a sacrificial area (if washings are returned to
the crop in accordance with label requirements no authorisation is needed);
disposal of dilute pesticide to land after washing down the exterior of pesticide spray
equipment in a yard area;
spreading vegetable or bulb dips/drenches, following treatment, to land disposal of
vegetable or fruit washing waters.

You do not require an authorisation to use any of these chemicals in accordance with the
manufacturer's instructions; it is only the disposal of the substance that is controlled by the

Regulations.
You do not require an authorisation if you are putting slurry, manure, sewage sludge or
industrial waste on the land for its nutrient benefit, unless a listed substance is disposed with
it (although you may require a waste management licence or need to register an exemption
under the Waste Management Licensing Regulations)
5.4 Sewage Disposal.
Disposal of sewage effluent to ground within 50m of welts, springs and wormholes used to
supply drinking water or within a published Source Protection Zone 1 requires authorisation.
In other areas, disposals of more than 2 cubic metres (440 gallons) per day will need
authorisation, regardless of location.
In other cases, the Agency will consider what other controls may be necessary to control
disposals.
5.5 Exemptions.
Exemptions

A Water Resource Act discharge consent acts as an authorisation for the purposes of
sewage effluent disposal.

Disposal of radioactive substances is covered by the Radioactive Substances Act

1993. The disposal of non-radioactive components, however, may fall under the
Groundwater Regulations.

You do not require an authorisation if the disposal is already covered by a discharge

consent (Water Resources Act 1991), an IPC authorisation, a PPC authorisation or
waste management licence (Environmental Protection Act 1990).

Discharges with list 1/2 in quantities so small pose no present or future threat to
groundwater quality.

Domestic effluent from isolated dwellings (<2 cubic metres/day) except where in
Zone 1 Source Protection Zone.

5.6 Prior Investigation.

AII activities requiring authorisation under the Groundwater Regulations must be subject to
prior investigations. This is the assessment undertaken to determine the risk of a particular
disposal at the proposed location. In most cases, the information you provide in completing
the application form, together with information held by the Agency, should be sufficient to
make this assessment.
5.7 Review and Modification.
An authorisation will be reviewed every four years. The Agency can serve a notice to modify
the conditions of the authorisation at any time if it is considered necessary.
5.8 Monitoring.
It is a requirement of the Groundwater Regulations to ensure that groundwater is adequately
monitored in the vicinity of authorised disposal sites (Requisite Surveillance). In most cases,
this will be undertaken by the Environment Agency in the course of routine monitoring and

sampling. In exceptional cases, for example for large disposals, the authorisation holder may
be required to carry out further monitoring and submit the data to the Agency. In these
cases, the authorisation holder has to bear the cost.
Question 10.
Authorisation from the Environment Agency to dispose of substances controlled under the
Groundwater Regulations is reviewed every .....
Multiple Choice (HP)
Answer 1:

2 years

Response 1:
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Answer 2:

4 years

Response 2:
Jump 2:

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Answer 3:

5 years

Response 3:
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6.0 Waste Management Legislation.

Environmental Protection Act 1990 Predefinition of Waste
Waste includes any substance which constitutes scrap material or an effluent or other
unwanted substance arising from the application of any process, any substance or article
which requires to be disposed of as being broken, worn out, contaminated or otherwise
spoiled, anything which is discarded or otherwise dealt with as if it were waste unless the
contrary is proved ''controlled waste'' means household, industrial and commercial waste or
any such waste
Section 34 Duty of Care
Under the EPA a legal duty of care is imposed on:

those who produce waste;

those who carry waste;
those who dispose of waste;
those who keep waste.

The duty does not apply to domestic householders in respect of their own domestic waste.
The duty does however apply to a householder who disposes of household waste from a
neighbour's property; it also applies to builders disposing of rubble etc, from a house in
which they are working, and scrap metal. The duty of care also applies to the Crown i.e.
government departments, etc.
Regulations made under the Environmental Protection Act have been introduced,
Environmental Protection (Duty of Care) Regulations 1991. They provide for: a mandatory
system of signed transfer note records to be kept of waste received and transferred.
Sufficient information should be given on the transfer note to ensure that anybody coming
into contact with the waste has enough detail to deal with it properly and in compliance with
the duty of care. In the case of regular transfers, the transfer note should be renewed at

least once a year. Records of all waste must be kept for at least two years.
Note that the Environmental Protection (Duty of Care) Regulations were updated in 2003.
The amendments allow for waste collection authorities to serve notices on persons who are
required to keep written descriptions of waste and transfer notices under the primary
Regulations, and to require those persons to furnish such documents to the waste collection
authority at their offices within a specified period of time.
A code of practice on complying with the duty of care for producers, carriers and disposers
has been drawn up by the Department of Environment and the Welsh Office, and a similar
code drawn up for Scotland by the Scottish Development Department. Breach of the code is
not an offence but it is admissible in court as evidence in deciding if a breach of the duty has
occurred.
A joint circular from the Department of Environment (19/91), Welsh Office (63/91) and
Scottish Office (25/91), mainly directed at local authorities, gives advice on the operation of
the duty of care. It complements the advice for producers and holders of waste given in the
code of practice.
6.1 Duty of Care Checklist.
a) Is what you have waste? if yes,
b) Is it controlled waste? if yes,
c) while you have it, protect and store it properly,
d) write a proper description of the waste, covering any problems it poses and, as necessary
to others who might deal with it later, one or more of what the waste is called, the process
that produced the waste and a full analysis, etc. Select someone else to take the waste; they
must be one of the following and must prove that they are:
a) a registered waste carrier or exempt from registration;
b) a waste manager licensed to accept the waste;
c) exempt from waste licensing;
d) a waste collection authority; or
e) a waste disposal authority operating within the terms of a resolution (Scotland only);
f) packing the waste safely when transferring it;
g) checking the next person's credentials when transferring waste to them;
h) completing and signing a transfer note;
i) handing over the description and complete a transfer note when transferring the waste;
j) keeping a copy of the transfer note signed by the person to whom the waste was given

and a copy of the description for two years.

When receiving waste, check that the person who hands it over is one of those listed in (e),
obtain a description from them, complete a transfer note and keep the documents for two
years.
Whether transferring or receiving waste, be alert for any evidence or suspicion that the
waste you handle is being dealt with illegally at any stage. In case of doubt, question the
person involved and if not satisfied, alert the waste regulation authority.
6.2 Producer Responsibility.
All waste producers intending off-site disposal of their wastes must:

select a suitable contractor;

provide adequate information to the contractor;
enter into proper contractual arrangements;
audit the contractor's operations;
review his own operations at regular and recorded intervals;
manage waste in a way that recognises potential for harm;
ensure safe storage on the factory site;
arrange a detailed contract for disposal of the waste and confirmation of its
movement;
check the competence and registration of waste management engineer and
transporter;

Waste producers should particularly note that the onus of proof lies with them.
6.3 Selection of Contractors.
Consider the size of organisation with regard to:

quality of staff;
certificates of technical competence;
quality assessment of standard operation;
type and number of vehicles, number of sites etc.

Visit disposal site:

Does it appear ordered and disciplined?

Make announced and unannounced visits.
Check disposal site is licensed.
Is the incident book maintained?
Check restoration of completed cells
Check relationships with neighbours.
Talk to Waste Regulatory Authority.
Inspect records including certifying receipt and disposal.
Check results of site monitoring.
Consider if the contractor owns the site and thus the future responsibility?
Check financial soundness.
Meet and assess site supervisor and deputy.
Assess condition of contractor's vehicles.
Does he have a clean and caring image?

6.4 Carriers Responsibility.

Carriers Responsibility
All waste carriers must ensure that:

they are registered;

they enter into a contract with the waste producer, specifying the type of waste to be
moved and its intended destination for disposal;
that detailed documentation accompanies the waste;
that the nominated destination is designated and used, save in a notified emergency;
that a properly maintained vehicle and trained driver are used.

6.5 Disposal Operators Responsibility.

At disposal site operators must ensure that:
* the site is licensed for current activities;
* deliveries are checked with documentation for site licence compliance;
* documentation is retained with the site incident book for inspection by EA;
* final interment or destruction of the waste is confirmed with the producer.
Question 11.
All waste producers intending off site disposal of their waste must...
Multiple Choice (HP)
Answer 1:

review their own operations at regular and recorded intervals

Response 1:
Jump 1:

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Answer 2:

Select suitable contractors

Response 2:
Jump 2:

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Answer 3:

Arrange detailed contract for disposal of waste and confirmation of its

movement

Response 3:
Jump 3:

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Answer 4:

All of the above

Response 4:
Jump 4:

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6.6 Interference with Waste.

Under the Environmental Protection Act, it is an offence for an unauthorised person to
interfere with waste put out for collection or at a disposal site, unless consent has been
obtained from an enforcement authority.
Waste Management Licensing Procedure
This was formerly under the Control of Pollution Act 1974 (COPA), now under Waste
Management Licensing Regulations 1994 introduced under the Enviromental Protection Act.
Before a licence can be granted, planning permission must have been obtained for the use

of the land for waste management. To obtain a waste management licence, the operator
must submit an application to the Environment Agency or SEPA with documents describing
the proposal and the appropriate fee.
Details required include:

the nature and quantities of wastes to be dealt with;

disposal techniques to be used;
matters relating to the operation and management of the site and
information to satisfy the licensing authority that they are fit persons to run a site, e.g.
technical competence of operating stay, financially able to carry out the requirements
of the licence, do not have a history of legal prosecutions (and for some sites, an
environmental assessment)

On receipt of a licence application, the regulatory authority must consult the statutory
consulates.
An application for a site licence may be rejected if to grant one would result in a danger to
public health or water pollution. The applicant then has a right of appeal to the Secretary of
State.
6.7 Transfer of Licences.
Under the Control of Pollution Act, provided an application was made to the authority, there
was no reason why a licence could not be transferred to another operator. Under the
Environmental Protection Act, a new licence holder has to satisfy the authority that they are
fit and proper persons to run the facility.
Surrender of Licences
Under the Control of Pollution Act, a licence holder could surrender a license at any time but
under the new regulations there is a requirement for a certificate of completion before a
licence may be revoked. The Environment Agency (or SEPA) will not issue a certificate of
completion until it can be demonstrated that the condition of the land is such that it will not
give rise to pollution of the environment or harm to human health.
6.8 Enforcement of Licence Conditions.
The Environmental Protection Act caused the splitting up of the waste disposal function of a
local authority and the waste regulatory function into separate departments, with the waste
disposal authority (WDA) being run at arms length from the waste regulation authorities
(WRA).
Following the establishment of the Environment Agency in England and Wales, and the
Scottish Environmental Protection Agency (SEPA), the waste regulation functions of the
waste regulation authorities and the National Rivers Authority (River Purification Boards in
Scotland ) have been combined.
The EA (SEPA) is required to monitor licensed sites to ensure that licence conditions are
complied with. Where problems arise that cannot be dealt with simply by varying the licence
conditions, or breaches of the conditions are discovered, the regulatory authority may revoke
the licence although the operator may appeal against such action. If the licence is revoked
and operations continue, the regulatory authority may then prosecute the operator for using
the site without a licence. Additionally, it may compel the operator to remove illegally
deposited wastes or may remove the wastes and recover the costs of so doing from the

operator.
Licence conditions, including convictions for offences, must be held on public registers.
Convictions for specified offences must be declared when making application for licence
applications, and will be taken into account when considering whether the applicant is fit and
proper.
6.9 Controlling the Activities of Carriers.
In 1991 The Controlled Waste (Registration of Carriers & Seizure of Vehicles) Regulations
1991 came into effect and this piece of legislation required all waste carriers, except those
listed below, to be registered with the Environment Agency and hold a registration certificate
and number. The Agency had to maintain registers of approved waste carriers.
Exemption from registration

waste collection authorities;

waste disposal authorities and waste regulation authorities;
waste producers except where it is building or demolition waste;
British Railways Board in relation to carriage by rail;
a ferry operator carrying a waste loaded vehicle;
a vessel licensed under Part 11 of the Food and Environmental Protection Act 1985
(FEPA);
a charity voluntary organisation.

The Agency could refuse registration if a business or any key person in the business has a
previous conviction for a waste disposal offence or may revoke a registration for the same
reason.
The Agency could also obtain a warrant to siege a waste loaded vehicle that is unregistered.

However in 2011 the Waste (England and Wales) Regulations 2011 came into force and this
new piece of legislation removed any exemptions from the previous The Controlled Waste
(Registration of Carriers & Seizure of Vehicles) Regulations 1991
This legislation also called for amendments to the old piece of legislation which were as
follows:PART 2 Secondary legislation
The Controlled Waste (Registration of Carriers and Seizure of Vehicles) Regulations 1991
9.(1) The Controlled Waste (Registration of Carriers and Seizure of Vehicles) Regulations
1991(15) are amended as follows.
(2) In regulation 1(2), omit all the definitions except the 1989 Act and notice.
(3) Omit regulation 1(3), regulations 2 to 18 and Schedule 1.
6.10 Recycling.
Under the Environmental Protection Act, waste collection authorities are required to draw up
plans for recycling household and commercial waste. The plan should include details of the
amounts and types of controlled waste it is expected to recycle and arrangements for
dealing with it and costs.

Following its finalisation, the waste collection authority must ensure that copies of the plan
are available for public inspection and also send a copy to the waste disposal authority and
waste regulation authority for the area.
Hazardous Waste
Prior to 1996, legislation on disposal of hazardous waste was contained in regulations made
under COPA - The Control of Pollution (Special Waste) Regulations 1980. The Special
Waste Regulations 1996 replaced these regulations and now these have been replaced by
the Hazardous Waste Regulations 2005.
6.11 Hazardous Waste Regulations 2005.
The Hazardous Waste Regulations (2005) replaced the Special Waste Regulations in
England and Wales from 16th July 2005.
These regulations impact on waste producers, those managing waste on their behalf and
those handling hazardous waste. These changes follow the ban on the co-disposal of
hazardous and non-hazardous waste in landfill.
Waste Types
More wastes, including televisions with cathode ray tubes, computer monitors and end of life
vehicles are classed as hazardous waste in line with the European Waste Catalogue and are
subject to the new rules (newly hazardous waste).
Some newly hazardous wastes (such as TVs and fluorescent light tubes) are also subject to
the Waste Electronic and Electrical (WEEE) Directive. This was implemented in 2006, when
producers become responsible for ensuring take back of WEEE recovery. It also requires
WEEE to be treated to meet certain standards and for separate collection for some aspects
of municipal WEEE.
In the interim, mixed municipal waste can continue to be handled as non-hazardous waste
but separately collected hazardous waste WEEE must comply with the Hazardous Waste
Regulations and go to appropriately authorised sites.
6.12 Responsibility.
Responsibility for compliance with the Regulations rests with producers, including those
handling waste on their behalf, and with waste managers, including site operators. All
persons handling hazardous waste are expected to be fully aware of these changes and to
comply with the Hazardous Waste Regulations.
Most producers of hazardous waste need to register with the Environment Agency and make
sure the waste is properly described and consigned to a suitably authorised recovery or
disposal facility. Different categories of hazardous wastes and non hazardous waste must
not be mixed (unless appropriately authorised).
Landfill operators have had to comply with the ban on disposal since July 2004 and the
introduction of Waste Acceptance Criteria (WAC).
The Landfill Regulations (as amended) further clarify what can go to a hazardous waste
landfill.
The WAC set leaching levels for components of the waste stream and landfill operators must

have waste acceptance procedures in place to ensure that only compliant waste is landfilled.
Most waste needs to be treated before it can be landfilled to reduce its quantity and the
hazards it presents. Treatment will also be needed to satisfy WAC.
A small number of waste streams have been identified that will not be able to meet WAC but
for which no alternative means of safe recovery or disposal currently exists.
6.13 Pre-Notification.
There is no longer a requirement to pre-notify the Environment Agency if you are moving
waste within England and Wales.
However, consignment notes must be used to accompany the movement of the waste in the
same way as under the Special Waste Regulations. Also, before hazardous waste can be
collected, those premises need to be registered with the Environment Agency.
Waste handlers must ensure that the premises are either registered, or they are genuinely
exempt before removal of the waste. If they are registered, they should provide their
registration number to you.
Records
The Regulations state that all persons who are involved in the movement of hazardous
waste, including its removal transport, intermediate storage and disposal or recovery, must
maintain records, in a register, of each waste involved. Records must also be maintained
where hazardous waste is disposed or recovered at the same site as its production or
storage.
Persons involved in handling these wastes must

maintain records and registers of hazardous waste movements;

provide returns from consignees to producers, holders or consignors of hazardous
waste;
supply information to producers, holders and consignors on the fate of wastes
delivered to them.

6.14 Consignee Returns.

The Regulations require that all facilities that receive hazardous waste must submit a
consignee return to the Environment Agency. This also applies to those companies who
dispose of their hazardous waste on the premises where it is produced.
Facilities that produce hazardous waste but do not receive any hazardous waste which has
been produced elsewhere and do not dispose of their own hazardous waste on their own
premises, do not have to provide consignee quarterly returns
Packaging Waste Legislation 1994 Directive
The Directive on Packaging and Packaging Waste (94/62/EC) was adopted in December
1994 and came into force on 31st December 1994. It applies to all waste packaging
household, commercial and industrial - and had to be implemented by 30th June 1996.
The EU produces about 50m tons of packaging waste annually (NSCA 2003), of which only

about 18% is recycled. The Directive therefore places a strong emphasis on:

the prevention of packaging waste and on reducing the amount of packaging used
(while safeguarding consumer safety and product quality);
promoting the use of recyclable and reusable materials and the use of packaging
likely to have the least impact on the environment;
reducing the composition by weight of lead, cadmium, hexavalent chromium and
mercury in packaging.

Recovery and recycling

A principle aim of the Directive is to harmonise the recovery and recycling targets to be
achieved by Member States to ensure no barriers to trade and at the same time to achieve a
high level of environmental protection.
Within five years of coming into force, a target of 50-65% recovery of packaging materials in
waste should be met and, a target of 25-45% recycled with a minimum of 15% of each
material.
Recovery of packaging waste includes incineration with energy recovery, recycling includes
composting.
Recycling of packaging waste does not take place until the material has been put back into
productive use.
6.15 Labelling.
Also, within five years of entering into force, the Directive required all packaging to be
labelled with its recyclable or recoverable content. Member States must set up suitable
systems for the collection of packaging and packaging waste and its recycling or reuse and
should ensure that consumers have adequate information regarding the marking of
packaging, the benefits of reusable packaging and about return systems.
In 1996, the Commission issued a proposal for a draft Directive on marking of packaging and
on the establishment of a conformity assessment procedure for packaging. Only packaging
meeting the 1994 Directive would be able to use the approved symbols - one for reusable
packaging and one for recyclable packaging - with all other symbols being prohibited.
Manufacturers would be required to prepare a statement of compliance with the 1994
Directive to be available for inspection by national authorities.
Producer Responsibility Obligations (Packaging Waste)
The Directive has been implemented in England, Scotland and Wales through the Producer
Responsibility Obligations (Packaging Waste) Regulations 1997 which came into force on 6
March 1997, with similar Regulations for Northern Ireland coming into force on 1st June
1999, and the Packaging (Essential Requirements) Regulations 1998 which apply
throughout the UK.
Since 1997, the regulations have been amended several times.
Application of the regulations
The Regulations apply to all businesses involved in the packaging chain and which handle

more than 50 tons of packaging material and/or packaging in a year, and with an annual
turnover of 1,000,000 or more, from 1st January 2000, businesses with an annual turnover
of more than 2,000,000 have to comply with the Regulations.
Registered compliance
Businesses covered by the Regulations have to join a registered compliance scheme or
register as an individual business with the Environment Agency or the Scottish Environment
Protection Agency. Registration must be renewed each year by 7th April and a fee paid.
6.16 Enforcement & Public Access to Information.
The Agencies are required to monitor compliance with the Regulations and to maintain a
public register containing details of individual businesses and schemes registered under the
Regulations, together with details of their recovery and recycling obligations, from 1999.
The register should also contain a statement confirming that evidence of compliance has
been received.
Guidance on compliance with the Regulations has been issued by the Environment Agency
and SEPA.
New Targets
In October 2002, Environment Ministers adopted a Common Position on the Commission's
proposal for a Directive amending the 1994 Directive. This Directive sets the following
targets to be met by 31st December 2008 including the recovery of a minimum of 60% by
weight of packaging, recycling of a minimum of 55% and 80% by weight of packaging waste
and materials specific recycling targets, by weight (glass 60%, paper 50%, metals 50%,
plastics 22.5% and wood 15%).
The Food And Environment Protection Act 1985 (FEPA)
Part III of FEPA aims ''to protect the health of human beings, creatures and plants, to
safeguard the environment and to secure safe, efficient and humane methods of controlling
pests'' and to ''make information about pesticides available to the public".
The Act covers areas such as the control of pesticides including imports, sale, supply,
storage and advertising of pesticides and sets the maximum pesticide residue levels (MRL)
in foods and foodstuffs. It allows public access to information of pesticides and provides
enforcement powers for the Act. The Act also demands and examines data through an
advisory committee on pesticides and charges fees and recovers expenses in connection
with the regulations and approval of pesticides.
6.17 Control of Pesticide Regulations (COPR).
One of the main Regulations within FEPA is the Control of Pesticide Regulations 1986
(COPR) and amendments 1997. A summary of these Regulations include the following:
i. Only approved products can be used.
ii. All approvals are subject to specific conditions of approval.
iii. Special restrictions on aerial application.

iv. General obligations on those who sell/supply/store and use pesticides.

6.18 Special Attention to Water Pollution.
Requirements of competence for those that sell/supply/store and use pesticides.
COPR requires that users ''shall take all reasonable precautions to protect the health of
human beings, creatures and plants, to safeguard the environment and in particular avoid
pollution of water".
In respect of the human safety aspects, it overlaps many aims of the Health and Safety
legislation and in particular COSHH. Because of this, the definition of what is 'reasonable'
practice covering both COSHH and COPR are covered in one Code of Practice.
As of December 2005, the following three codes of practice

the Code of Practice for the Safe Use of Pesticides on Farms and Small Holdings
("the Green Code");
the Code of Practice for the use of Approved pesticides in Amenity Areas and
Industrial Areas ("the Orange Code") a voluntary code produced by the National
Association of Agricultural Contractors and the British Agrochemical Association;
those parts of the Code of Practice for the safe use of Pesticides for Non-Agricultural
Purposes - The Control of Substances Hazardous to Health Regulations 1999 ("the
Blue Code") which deal with forestry.

were replaced by the ''Code of Practice for the Using Plant Protection Products'' produced by
DEFRA and the HSE.
6.19 Approved Products List.
Pesticides are approved by DEFRA or the HSE. A Health and Safety Book entitled
''Pesticides '' Reference book 500 (The Blue Book), and a CAP International/Bcpc book,
''The UK Pesticide Guide'' (The Green Book) are published annually. They list all the
currently approved pesticides under COPR 1986 and Amendments 1997, plus aspects of the
approval conditions. They are invaluable reference guides, but product label data should
always be used when checking specific conditions of use.
Conditions of Approval: Product Labels
These give the information as required under the COPR (1986). The pesticide label shows
the conditions of approval as granted under the Regulations for that specific product. The
Department of the Environment, Food and Rural Affairs (DEFRA) can alter the conditions of
approval or revoke approval at any time. The amenity and industrial use approval for the
herbicides Simazine and Atrazine was withdrawn from August 1993. Approval for their sale,
advertisement, and supply was withdrawn from August 1992. Similarly the conditions of
approval for the amenity use of diuron were changed during 1994.
It is an essential requirement of the Food and Environment Protection Act that a product
label is read, understood and acted on before the pesticide is used.
Example labels can be obtained from manufacturers or suppliers along with full health and
safety data sheets as required for COSHH assessments.
6.20 Conditions of Approval: Protecting Water.
Within current legislation, only a few pesticides are approved for use directly in or near

water. All others have been restricted with a 'red list' of particularly harmful pesticides
published. This water protection programme has recently been enhanced.
The Pesticide Safety Directorate (PSD) who are charged with examining and issuing
pesticide approvals in the UK have examined individual pesticides and their specific risk to
water environments such as rivers and ditches. Attention has been focused on conditions of
approval, and in particular the rates and frequency of applications and the manner in which
pesticides are applied. Careful attention to these factors can significantly reduce the risk of
surface water contamination.
New conditions of approval prohibit the application of specified pesticides within any
boundary adjacent to surface water. This is seen as a practical way of further reducing
contamination of water from the unwanted drift of applied pesticides. This boundary area is
referred to as the buffer zone.
Conditions of Approval: Pesticide Formulations
There are many different formulations available and each must have its own individual
approval. Individual formulations are all designed to meet the different situations in which a
particular pesticide is to be used. A formulation includes the pesticide's active ingredient and
the additional ingredients which comprise the pesticide product.
6.21 Training & Certification.
Everyone involved in the use of pesticides in the course of their business or employment
must have adequate instruction and guidance in the safe, efficient and humane use of
pesticides. Importantly, they must be competent for the tasks they are called upon to
perform. Training is for employees and employers and the self-employed. It includes:

operators;
supervisors;
contractors;
managers;
inspectors;
advisers;
store keepers;
sales personnel;
transporters and handlers.

Training should provide an up-to-date knowledge of pesticide use including:

legislation;
hazards and risks involved;
safe working practices;
emergency action;
health surveillance and record keeping.

6.22 Recognised Certificates of Competence.

Pesticide legislation requires all those involved in pesticide operations to be competent. This
can most effectively be demonstrated by undertaking appropriate training.
Certain certificates of competence are recognised as statutory requirements for those
involved in specific aspects of pesticide use, other courses provide training to both enable

and demonstrate good practice.

The range of training requirements for those who work with pesticides can be summarised in
several categories:
Pesticide store and storekeepers certificates
Pesticides users have obligations under several pieces of legislation to ensure that they are
stored correctly. Detailed guidelines are available for the construction of appropriate stores.
Importantly however, the storage of pesticides for sale, supply or use should be under the
control of an individual who holds the BASIS (British Agrochemicals Safety Inspection
Scheme) certificate for store keepers. This is a legal requirement where quantities in excess
of 200 kg or 200 litres are stored.
The certificate holder must be readily available on the premises at all times when the store is
stated, or give guidance and instructions for emergencies in instances of unavoidable
absence.
Certificates for stores and storekeepers are issued by issued by BASIS who also have a list
of recognised examiners. Training is specific to the storage and disposal of pesticides and
normally lasts for one day. BASIS will independently assess the stores to confirm that they
meet the necessary standards as defined in the Code of Practice for suppliers of pesticides.
Smaller stores should still meet all standards as and certification required under BASIS
registration.
All pesticide users should regularly examine their own in house store facilities and the store
keeping certificates of any contractors employed.
Moving pesticides from storage to the workplace requires particular attention to ensure that
all aspects of the handling process are undertaken safely. Purpose-designed portable stores
are suitable so long as they have the all facilities and adequate arrangements as would be
found in a permanent store.
For bulk transportation of pesticide, Transport of Pesticides Emergency Action (TREM) cards
may be needed. Even for smaller quantities, all vehicles and stores should be identified.
Whatever the vehicle used, it is important that all pesticides and equipment are held in a
separate airspace to operators and other passengers.
NPTC Certificates for operators
For Operators who use pesticides, the only recognised certificates of competence for
application are those issued by the National Proficiency Test Council (NPTC) and the
Scottish Association of Young Farmers Clubs (SAYFC).
Strictly speaking, certificates are required if:

you are born after 31 December 1964;

if you are a contractor or anyone who uses a pesticide on crops and land and in
buildings not owned or occupied by themselves or their employer.

unless you are being supervised closely (within sight and sound) by another person with the

appropriate certificate.
If you do not legally require a certificate, i.e. you are on your own land and you are old
enough, or you are being supervised, then you must be able to show that you have all the
knowledge of someone with a certificate - i.e. you must prove competence.
This becomes especially significant in the event of an accident.
Because of the costs of supervising a non-certificated person and the difficulty in
establishing competence when a certificate is not held, it should be considered that all
operators whether employees or self-employed working on their own land or as contractors
should have certificates.
An appropriate certificate of competence should be held by operators who apply pesticides
according to the application technique.
In England and Wales, certificates are issued by the National Proficiency Test Council
(NPTC). AII operators require a foundation module plus an additional module relating to the
type of equipment used.
BASIS Certificates in Crop Protection for those recommending pesticides
AII those recommending or advising on the selection of pesticides should have a BASIS
certificate in crop protection, or seek advice from a BASIS-qualified person.
Recommending pesticides includes selecting chemicals for in-house staff or preparing
contract documents and specifying chemical products for contractors as well as contractors
selecting chemicals for clients. Such a qualification is recognised as a certificate of
competence and ensures that chemical choice, rate of application and all other criteria are
appropriate for the situation and conditions of use.
The BASIS Certificate in Crop Protection is designed for pesticide sales staff and
consultants who recommend chemicals on a daily basis. It also applies those in any
organisation who select and recommend pesticides. In many cases, the use of 'qualified
external consultants provides the most cost effective way for an organisation to keep up to
date with pesticide issues and to endorse or recommend products and strategies which
negates the need for Certification.
There are several categories of the BASIS certificate in crop protection covering different
areas of pesticide use including agriculture, commercial horticulture and forestry. Most
categories are suitable for those advising on the use of amenity herbicides for vegetation
management. In addition, Members of the Register of Practitioners for Pesticide Advice
(MRPPA) have demonstrated an ongoing commitment to maintaining their knowledge at a
current level.
Training for non-operatives such as managers and quality controllers
AII other individuals involved with pesticides (e.g. managers, quality controllers etc.) who do
not recommend, store or apply pesticides do not legally require specific certificates. An
appropriate level of training is however still relevant in order to be able to demonstrate
competence.
The level of training should always aim to provide individuals with a good understanding of

pesticide issues so that decisions of strategy and management can be made on a more
informed basis.
It is particularly important in order to ensure effective management and monitoring of
operations.
Candidates who would require training include for example, Contract Managers, Quality
Controllers, Works Supervisors and Health & Safety Officers.
Note: (NPTC and BASIS certificates are only legally required for the use of those pesticides
approved by DEFRA. These cover the bulk of pesticide approvals for farming, forestry,
amenity and industrial uses. HSE-approved products used primarily for Environmental
Health have different recognised certificates).
Question 12.
Everyone involved in the use of pesticides in the course of their business or employment
must have adequate instruction and guidance in the safe, efficient and humane use of
pesticides.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

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Answer 2:

False

Response 2:
Jump 2:

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7.0 Integrated Pollution Prevention and Control (IPCC).

The Environment Agency was formed under the Environment Act 1995 by combining Her
Majestys Inspectorate of Pollution, The National Rivers Authority and the Waste Disposal
Authority. The Environment Agency enforces the larger, more polluting industries/processes
which are known as Part A processes and come under the Integrated Pollution Control (IPC)
legislation. The IPC legislation covers authorisations for emissions to water, land and air.
The standard of this authorisation includes the application of `best available techniques'
(BAT), and is regarded as the equivalent to `so far as is reasonably practicable` of the
Health and Safety at Work Act 1974. Part B processes dealing with emissions into the
atmosphere were enforced by the Local Authorities.
Integrated Pollution Prevention and Control (IPPC) (96/61/EC) is an EU directive which lays
down measures to prevent, or where that is not practicable, reduce emissions to air, land
and water. Member states must implement IPPC by October 2007. It was codified in 2008,
the version to which the link refers.
The Directive is derived in a large measure from Integrated Pollution Control (IPC)
established under part I of the Environmental Protection Act 1990, although there are some
important differences. In the UK, the relevant regulations are known as the Pollution
Prevention and Control Regulations 2000. The Regulations apply in England, Wales and
Scotland.
7.1 The PPC regime.
Repeals Part I of the Environmental Proctection Act 1990 and replaces it with a single

pollution control regime.

The PPC Regulations require industry to prevent or, where that is not possible, to reduce
pollution from a range of industrial and other installations, by means of an integrated
permitting process based on the application of "best available techniques" (BATS).
The new permit process takes a wide range of environmental impacts into account:

Emissions of pollutants to air, water and land.

Energy efficiency; waste management.

Consumption of raw materials.

Noise and vibration.

Site restoration and decommissioning.

In order to satisfy this condition, a Site Condition Report has to be prepared, giving the
condition of the site at the time the Permit was issued. The site must be returned to this
condition after the plant has closed.
Permits must take into account local environmental conditions at the site concerned, its
technical characteristics and its geographical location. Conditions must be included to
address any transboundary pollution from an installation.
7.2 New Installations.
The Directives requirements apply to new installations immediately and to parts of existing
installations which undergo a substantial change.
Existing installations, insofar as they are not substantially changed, enjoy a grace period of
up to seven years following transposition, during which they must be upgraded to meet the
new requirements.
Once issued, a permit will be reviewed periodically, will be upgraded to meet the new
requirements and will be upgraded if there are significant technological or other
developments. The timetable for each process application is published in Schedule 3 to the
regulations.
Whereas the IPC Regulations apply only to a process, PPC regulations cover a larger range
of industries and a wider number of environmental impacts. PPC applies to:

Contaminated land.

Energy efficiency.

Noise, vibration and raw material consumption.

Accident prevention (COMAH and PPC data can be used to satisfy both
requirements).

Environmental Impact Assessment (a number of the installations require an

environmental impact assessment before consent for development is given. It is

suggested that under certain circumstances, there may be benefit in running the two
procedures together).

Waste.

7.3 Main Aim of IPCC.

The main aim of the IPCC is to achieve:
a high level of protection of the environment taken as a whole by, in particular, preventing
or, where that is not practicable, reducing emissions into the air, water and land.
The Act that makes provisions for implementing Council Directive 96/61/EC and for
otherwise preventing and controlling pollution, to make provision about certain expired or
expiring disposal or waste management licences and for connected purposes is the
Pollution Prevention and Control Act.
This Act enabled regulations to be made in pursuance of that Directive - the Pollution
Prevention and Control ( England and Wales ) Regulations 2000 and the Pollution
Prevention and Control (Scotland) Regulations 2000.
This new regime is replacing IPC and Local Air Pollution Control (LAPC), the current
systems for preventing and controlling emissions under Part 1 of the Environmental
Protection Act (EPA) 1990.
The LAPC regime has been replaced by Local Air Pollution Prevention and Control (LAPPC)
which is similar to IPCC in procedures, but still only regulate emissions to air.
7.4 Apply for an IPPC Permit.
Operators of installations under IPPC have to apply for a permit from the Regulator (the
Environment Agency).
The UK environment agencies have produced guidance on applying for permits and on the
standards and techniques they expect.
Before starting the formal application process, it is advisable for the organisation (applicant)
to engage with those who will be impacted by their (applicants) activities, including local
public, stakeholders and the regulator in a public consultation. This should save time since
the public can have considerable influence on the smooth running of the application process.
Additionally, the applicant must advertise and the regulator will need to consult with the
statutory consultees.
The following information must be included in the application:

Management of the installation.

Identity and quantity of polluting releases.

Identification and justification of Best Available Techniques (BAT) (Outlined in

Section 1.6).

Compliance monitoring.

Compliance with environmental quality standards and other regulations.

Energy efficiency.

Waste minimisation.

Accident prevention.

Site condition.

The Regulator considers all the representations and may grant the permit subject to
conditions or reject the application. If dissatisfied with the decision, an appeal can be made
to the Secretary of State.
If a permit is granted, the Regulator must ensure certain general principles are adhered to:

All appropriate preventative measures are taken against pollution, in particular

through application of Best Available Technique (BAT).

No significant pollution is caused.

Waste production is avoided and where waste is produced, it is recovered. Where

that is not possible, it is disposed of in a way producing the least impact on the
environment, if any impact is produced at all.

Energy is used efficiently.

Measures are taken to avoid accidents and limit their consequences.

Necessary measures are taken on the closure of an installation to avoid any pollution
risk and return the site to a satisfactory condition.

The operators must monitor emissions and supply the Regulator with data.

The Regulator has to undertake independent monitoring and inspections of the installation to
check compliance with the set emission limits. If the Regulator believes the operator is
breaching the conditions of the permit, enforcement options are possible: enforcement,
suspension or a revocation notice can be served.
Appeals can be made to the Secretary of State.
A long-term charging scheme for the new IPPC regime has been developed in consultation
with interested parties.
Question 13.
The Pollution Prevention and Control (PPC) regulations cover a larger range of industries
and a wider number of environmental impacts than the Integrated Pollution Control (IPC)
Regulations. The PPC applies to ....
Multiple Choice (HP)
Answer 1:

Energy efficiency

Response 1:
Jump 1:

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Answer 2:

Accident prevention

Response 2:
Jump 2:

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Answer 3:

Contaminated land

Response 3:
Jump 3:

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Answer 4:

All of the above

Response 4:
Jump 4:

Next page

8.0 The Site Waste Management Plans Regulations 2008.

These Regulations require any person intending to carry out a construction project with an
estimated cost greater than 300,000 to prepare a site waste management plan.
The plan must be updated in accordance with the Regulations, with different requirements
depending on whether the cost of the project is greater than 500,000.
The Regulations are enforced by the Environment Agency and the local authority.
Breach of the Regulations is an offence punishable
(a) on summary conviction, by a fine not exceeding 50,000, or
(b) on conviction on indictment, by a fine.
An impact assessment of the effect that this instrument will have on the costs of business
and the voluntary sector is available on the Defra website.
8.1 Requirements.
These regulations state that a client intending to use one or more contractors for any project
to which these Regulations apply must appoint a contractor as the principal contractor.
If a client does not use a contractor, all obligations placed on the principal contractor under
these Regulations must be carried out by the client.
Preparation of a site waste management plan
Any client who intends to carry out a project on any one construction site with an estimated
cost greater than 300,000 excluding VAT must prepare a site waste management plan
conforming to these Regulations before construction work begins.
If such a project is started without a site waste management plan, the client and the principal
contractor are both guilty of an offence.
8.2 Requirements for a Site Waste Management Plan.
A site waste management plan must identify
(a) the client;

(b) the principal contractor; and

(c) the person who drafted it.

It must describe the construction work proposed, including

(a) the location of the site; and
(b) the estimated cost of the project.
It must also record pre-construction information such as the nature of the project, its design,
construction method or materials employed in order to minimise the quantity of waste
produced on site.
It must
(a) describe each waste type expected to be produced in the course of the project;
(b) estimate the quantity of each different waste type expected to be produced; and
(c) identify the waste management action proposed for each different waste type, including
re-using, recycling, recovery and disposal.
The plan must contain a declaration that the client and the principal contractor will take all
reasonable steps to ensure that
(a) all waste from the site is dealt with in accordance with the waste duty of care in section
34 of the Environmental Protection Act 1990(3) and the Environmental Protection (Duty of
Care) Regulations 1991(4); and
(b) materials will be handled efficiently and waste managed appropriately.
Updating a site waste management plan for a project of 500,000 or less
If the project has an estimated cost of 500,000 or less, whenever waste is removed from
the site the principal contractor must record on the site waste management plan
(a) the identity of the person removing the waste;
(b) the types of waste removed; and
(c) the site to which the waste is being taken.

Within three months of the work being completed, the principal contractor must add to the
plan
(a) confirmation that the plan has been monitored on a regular basis to ensure that work is
progressing according to the plan and that the plan was updated in accordance with this
regulation; and
(b) an explanation of any deviation from the plan.
8.3 Updating a Site Waste Management Plan for a Project Worth more than 500,000.

If the project has an estimated cost greater than 500,000 the principal contractor must
update the site waste management plan in accordance with this regulation.
When any waste is removed the principal contractor must record on the plan
(a) the identity of the person removing the waste;
(b) the waste carrier registration number of the carrier;
(c) a copy of, or reference to, the written description of the waste required by section 34 of
the Environmental Protection Act 1990; and
(d) the site to which the waste is being taken and whether the operator of that site holds a
permit under the Environmental Permitting (England and Wales) Regulations 2007 or is
registered under those Regulations as a waste operation exempt from the need for such a
permit.
To ensure that the plan accurately reflects the projects progress, and no less than every six
months, the principal contractor must
(a) review the plan;
(b) record the types and quantities of waste produced;
(c) record the types and quantities of waste that have been
(i) re-used (and whether this was on or off site);
(ii) recycled (and whether this was on or off site);
(iii) sent for another form of recovery (and whether this was on or off site);
(iv) sent to landfill; or
(v) otherwise disposed of; and
(d) update the plan to reflect the progress of the project.
Question 14.
Within how many months after completion must additional information be added to the Site
Waste Management Plan?
Multiple Choice (HP)
Answer 1:

Response 1:
Jump 1:

Next page

Answer 2:

Response 2:
Jump 2:

This page

Answer 3:

Response 3:
Jump 3:

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8.4 Within 3 Months of Completion.

Within three months of the work being completed, the principal contractor must add to the
plan
(a) confirmation that the plan has been monitored on a regular basis to ensure that work is
progressing according to the plan and that the plan was updated in accordance with this
regulation;
(b) a comparison of the estimated quantities of each waste type against the actual quantities
of each waste type;
(c) an explanation of any deviation from the plan; and
(d) an estimate of the cost savings that have been achieved by completing and implementing
the plan.
8.5 Availability of the Plan.
The principal contractor must ensure that the site waste management plan is kept
(a) at the site office, or
(b) if there is no site office, at the site.
The principal contractor must also ensure that every contractor knows where it is kept and
must make it available to any contractor carrying out work described in the plan.
Keeping plans
The principal contractor must keep the site waste management plan for two years after the
completion of the project at the principal contractors principal place of business or at the site
of the project.
8.6 Breaching the Regulations.
The regulations can be breached by not ensuring that you have abided by their requirements
as well as by:

providing false statements - it is an offence knowingly or recklessly to make a false or

misleading statement in a site waste management plan.

intentionally obstructing any person acting in the execution of these Regulations;

failure to give to any person acting in the execution of these Regulations any
assistance or information that that person may reasonably require under these
Regulations, without reasonable reasons why;

give misleading of false information to any person acting in the execution of the
regulations;

failing to produce a site waste management plan or any other record when required
to do so by any person acting in the execution of these Regulations.

All of the above are breaches of the Regulations and any person caught being in breach is

guilty of an offence.
8.7 Penalties.
A person guilty of any offence under these Regulations is liable
(a) on summary conviction, to a fine not exceeding 50,000; or
(b) on conviction on indictment, to a fine.
Where a body corporate is guilty of an offence under these Regulations with consent from or
neglect from a director, manager etc, that person is guilty of the offence as well as the body
corporate.
8.8 Enforcement.
The following may enforce these Regulations:
(a) the Environment Agency;
(b) in any local government area with a principal authority, that authority;
(c) any district or county council;
(d) in the City of London, the common council.
A local authority officer can be authorised to enforce these Regulations and is granted all the
powers of an officer of the Environment Agency under section 108 of the Environment Act
1995.
Fixed penalty notices
An authorised person who believes that any person has contravened regulation 13(d) - not
producing a site waste management plan or other such records to them - may issue a notice
offering a fixed penalty payment of 300 to prevent the case going further and possibly
ending up in conviction.
Where such a notice is served:
(a) no proceedings may be instituted for that offence for 14 days; and
(b) that person may not be convicted of that offence if the fixed penalty is paid within that
period.
The notice must give sufficient information about the offence and must state:
(a) the fact that no proceedings for the offence will be instituted for 14 days;
(b) the amount of the fixed penalty; and
(c) the name and address of the person to whom the fixed penalty may be paid.
Fixed penalty receipts received by:
(a) the Environment Agency must be paid to the Secretary of State, and

(b) a local authority must be used for enforcing these Regulations.

Please be advised that the course material is regularly reviewed and updated on the
elearning platform. SHEilds would like to inform students downloading these printable notes
and using these from which to study that we cannot ensure the accuracy subsequent to the
date of printing. It is therefore important to access the elearning environment regularly to
ensure we can track your progress and to ensure you have the most up to date materials.
Version 1.1c

Element 7 - Public Access to Environmental Information.

Overall aims
On completion of this unit, candidates will have knowledge and understanding of:

the legal requirements affecting the provision of information to the public;

the role of non-Governmental organisations;
development of public environmental reporting.

Specific intended learning outcomes

The intended learning outcomes are that candidates will be able to:

explain the format and content of information that is available to the public that is
relevant to an organisation's environmental performance;

describe the activities of non-Governmental Organisations in making information

available to the public;

advise the organisation on the presentation of information on environmental

management performance in publicly available reports.

Hours of tuition and private study

5 hours of tuition
2 hours private study

Sources of reference:

http://www.defra.gov.uk/ENVIRONMENT/business/

Relevant statutory provisions:

Environment and Safety Information Act 1988

The Environmental Information Regulations 2004

1.0 Introduction.
The Environmental Information Regulations 1992 (SI 1992 No. 3240) require relevant
environmental bodies to make all information held by them available to the public.
However, confidential information may be withheld from public registers in accordance with
the statutory provisions.
The Environmental Information Regulations 2004 (EIR) came into force on 1st January 2005
and apply throughout England, Wales and Northern Ireland.

They fulfil the Government's commitment to implement the Aarhus Convention and to
comply with the European Directive (2003/4/EC) on public access to environmental
information. The EIR are significantly wider in terms of access to environmental information
than the 1992 regulations.
The EIR are intended to allow greater public participation in environmental decisions by
improving the transparency of decision-making reached by public authorities. The Freedom
of Information Act 2000 (FOIA) and the EIR represent a cultural shift in the way that
information, held by public authorities in discharge of their public duties, is managed.
The premise that information pertaining to the environment
may be withheld without good cause is swept away, and
machinery is put in place to promote open and transparent
environmental decision making, scrutinised by an informed
public.
Many businesses regulated by public authorities, including
local authorities and the Environment Agency (the Agency),
may find that information submitted to such organisations,
whether in the past or in the future, may come into the public
domain, with or without their knowledge.
One possible outcome is that businesses may therefore find it
more difficult to delay or postpone awkward or expensive
environmental measures if such information becomes the
subject of public concern following disclosure.
A request for information held by or on behalf of a public authority is technically a FOIA
request. Section 39 of the FOIA, however, exempts environmental information from being
dealt with under the FOIA and provides that it should be dealt with under the EIR. If it is
determined that part or all of the information requested is personal information and the
applicant is the subject of that information, access to that information will be dealt with under
the Data Protection Act 1998 (DPA).
In effect there are three relevant pieces of legislation.
1. The EIR, enabling access to environmental information.
2. The DPA, enabling access to personal information of which the applicant is the
subject.
3. The FOIA, enabling access to all other information.
1.1 Defining "Environmental Information".
The definition of environmental information is very broad and it includes any information
relating to elements such as atmosphere, water, soil, land and biological diversity, including
genetically modified organisms and any interaction between the elements. It includes factors
such as substances, energy, noise or waste affecting or likely to affect any of the elements,
emissions, discharges and other releases into the environment and the policies,
programmes and environmental agreements or activities likely to effect or intended to protect
the elements.
The EIR, therefore, show a marked changed from the previous legislation as the public will
also now be able to access information relating to "the state of human health and safety

conditions of human life, cultural sites and built structures in as much as they may be or are
affected by any of the elements."
The scope for the type of information to be requested is therefore very broad. For example,
there could be a request from the public on a variety of matters ranging from:

accident reports;
correspondence on emissions data;
consultants' reports;
information about the potential for contaminants to affect a property;
the number of landfills in the vicinity of a property, or
an organisation's asbestos management plans.

The EIR are retrospective and information requested can include historic records that a
public authority may retain in relation to the environment.
The EIR say that only public authorities need to comply with information requests. However,
the definition may therefore encompass all public authorities covered by the FOIA plus other
organisations performing public administrative functions or who have responsibility directly or
indirectly for the development, management, regulation or inspection of aspects of the
environment on behalf of the public. The Guidance expresses DEFRA's opinion on the
breadth of this definition and it suggests that the EIR will cover some private companies,
public private partnerships as well as privatised utility bodies such as those dealing with
waste, water, energy and transport.
Organisations that are covered by the EIR will have to respond to a request for information.
This includes information supplied by a third party and which is in the public authority's
possession. This means that information provided to a public authority in the past may now
potentially be made public because of the public authority's duties under the EIR.
Accordingly, organisations that regularly provide, or have provided in the past, potentially
sensitive information to a regulator or to a public authority, should consider approaching
them as soon as possible to reach an understanding that they can (at least) be consulted
should a request for this information be made.
The term "disclosure" simply means the making known of a fact that had previously been
hidden. The Civil Procedure Rules (CPR), which govern court proceedings, describe
disclosure as the process whereby a party confirms that the document exists or has existed.
There is, however, a duty under the EIR to disseminate this information so this duty of
disclosure actually goes a step further than the CPR. Public authorities, under the EIR, also
have a duty to provide the information in the form or format requested, if a preference is
stated, or inform the applicant of the reason why this was not possible.
1.2 Exemptions.
There are two main types of exemptions that allow public authorities to withhold information:
"stand alone" and "adverse impact" exceptions. It is particularly important to note that under
the EIR, the public interest test applies to all of the exceptions. This means that if the
information exists, the public authority must consider whether the public interest in disclosing
it outweighs the public interest in withholding it. There is a statutory presumption in favour of
disclosure.
Under the EIR, a public authority must confirm or deny the existence of the information,
except where doing so would adversely affect international relations, defence, national

security or public interest and would not be in the public interest. All the bodies covered by
the Freedom of Information Act must comply with the EIR. As the Agency is listed as an
"executive agency" and therefore a public authority under the FOIA, it is also classed as a
public authority for the purposes of the EIR. This, of course, has implications for bodies
regulated by the Agency as the information the Agency holds (past and future) may well be
the subject of an information request by interested persons, pressure groups, or even
commercial competitors.
Regulated businesses should contact their regulators to put a protocol in place if there is not
one already. Many companies already voluntarily disclose environmental information. This
may be via accredited environmental reporting systems, e.g. EMAS, ISO 14001 or through
their own internal controls. Other organisations will have to meet mandatory site specific
reporting requirements which require them by law to report to the Agency or other regulators
on the emissions from their premises, for example under the pollution, prevention and
control regime. Companies involved in climate change levy agreements or emissions trading
will, in future, also be required to report environmental performance information to the
relevant authorities.
The Local Government (Access to Information) Act 1985 requires local authorities to
disclose background papers to the public which have been referred to in planning committee
reports, for example, the release of an audit report in support of an application for an
integrated pollution control authorisation, or an environmental impact statement to help gain
planning permission may initially be used to overcome public opposition or concern by
illustrating that adequate systems of control are in place. The audit report will be treated as
part of the application and could be placed on a public register and/or disclosed to the public
unless it is made clear to the authority that it has been given on a voluntary basis and the
information is to be treated as confidential.
The section entitled Environmental Information Regulations has relevance for local
authorities in terms of public access to information.
Question 1.
Which set of regulations require relevant environmental bodies to make all information held
by them available to the public?
Multiple Choice (HP)
Answer 1:

DPA

Response 1:
Jump 1:

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Answer 2:

EIR

Response 2:
Jump 2:

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Answer 3:

FOIA

Response 3:
Jump 3:

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Question 2.
Environment information is very broad and includes information relating to elements such
as...
Multiple Choice (HP)
Answer 1:

Biological diversity

Response 1:
Jump 1:

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Answer 2:

Atmosphere

Response 2:
Jump 2:

This page

Answer 3:

Soil

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

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1.3 Environmental Statements.

Organisations participating in EMAS must also produce a validated environmental statement
for each of its sites. The environmental statement must contain a detailed description of the
site's activities, including a summary of all emissions, waste generated, consumption of raw
materials, energy and water, noise levels and other significant environmental effects. This
information can be compared with information contained in public registers held by the
Environment Agency or its predecessors, environmental health officers and local planning
authorities, enabling interested parties, the public and enforcement bodies to build up a
picture of the organisation's activities at each of its sites.
Third party certification to EMAS is dependent on legal compliance and also on continual
improvement of environmental performance by achieving objectives and targets. If a site
failed to achieve a target or performed to a lower standard then, after a certain grace period,
this would invalidate future certification. The disclosure of this information could also result in
unfavourable comment in the media and unfavourable media attention could deter potential
investment.
ISO 14001 has no requirement for organisations to publish a validated environmental
statement.
1.4 Discovery.
Where an organisation is defending a civil action, the court may order the organisation to
disclose all documentation relevant to the dispute for inspection by the plaintiff. This is
known as "discovery". Discovery can often determine the success or failure of a party's
case. Solicitors are under a duty to the court to disclose all relevant documentation even if it
does not support the case of the party disclosing it.
All manuals, documents, registers and records which form part of an EMS may be ordered to
be disclosed, provided they are relevant to the issues in the litigation. They will be carefully
scrutinised by the plaintiff's solicitor and this could reveal bad practice leading up to an
accident or incident, or examples of non-compliance with regulations or failure to take
corrective action, for example, revealing incident reports, internal communications between
employees or committee minutes may provide evidence for the plaintiff. Particular care is
therefore required in the production of any documentation or records, whether or not they
form part of an EMS .
The regulatory framework in the UK operates by criminal sanctions through prosecution for
statutory offences. Although criminal proceedings do not have the equivalent of "discovery"

documents, officials from the regulatory bodies have been given powers under legislation to
carry out wide-ranging investigations in specified circumstances. Such investigations may
include asking questions, requesting written statements, disclosing documents (which may
form part of an EMS ) and the detention or removal of plant and equipment.
1.5 Incident Reports.
Organisational policy may require an internal report to be produced on an incident/accident
which occurs on an organisation's premises or which involves an employee acting in the
course of his or her duties.
The report is compiled for various reasons, e.g. to assist the organisation in ascertaining the
cause of the incident, to ensure there is no recurrence and also to assist the organisation's
legal advisers in defending a civil action or criminal prosecution.
The Control of Major Accident Hazards Regulations 1999 require any major accidents to be
notified to the competent authority immediately.
An incident report will usually contain a detailed description of the facts of the incident,
observations of witnesses and conclusions as to the cause of the incident and who is to
blame. This information could be prejudicial to the organisation and it is obviously in the
organisation's interest to control this information as far as possible, considering the use to
which such a report could be put in subsequent legal proceedings.
The EMS should describe the procedures to be adopted in this situation to avoid additional
liability.
1.6 Privilege.
In civil proceedings, both the plaintiff and respondent are required to disclose to one another
all documents relevant to the issues in dispute. However, this obligation is subject to the
right to prevent disclosure of certain documents, known as "privilege". In criminal cases,
there is a limited form of privilege.
Communications between a client and his or her solicitor are subject to privilege, providing
the dominant purpose is to obtain legal advice or when prepared in response to pending or
commencing litigation proceedings. The court will look at the purpose for which the
document was produced to determine whether it is covered by the right of privilege. The right
of privilege may also be claimed to resist the disclosure of communications between the
solicitor and third parties, such as the environmental auditor and also between the client and
third parties.
Documents marked as "privileged" or "confidential" will not automatically make them
privileged, although they may help in limiting their circulation. Greater restraint must
therefore be exercised in creating or obtaining documents once proceedings have begun or
are likely to start. It is important that solicitors are appointed to have a co-ordinating role in
this situation.
Other methods of controlling the disclosure of information
There are a number of other methods which an organisation can employ to restrict the
disclosure of sensitive information. These include:
(a) restricting the number of people who have access to, or hold, the information;

(b) using commercial confidentiality exceptions under the Environmntal Protection Act and
the Water Resources Act 1991 to restrict the publication of information in registers;
(c) using specific terms in a contract to prevent a third party from divulging information, e.g. a
term in a contract may prevent an auditor from divulging information that is gained during an
investigation;
(d) using copyright controls to prevent unauthorised copying, adaptation or issuing of any
sensitive information.
1.7 Mergers and Acquisitions.
During mergers and acquisitions, an organisation may obtain a warranty for its investment,
e.g. to guarantee that the land is not contaminated. The findings of an audit report may be
used to support the warranty's claims that the land is uncontaminated. As the audit report
contains other sensitive information which may be considered detrimental, the organisation
making the investment may demand compensation from the vendor or seller following its
disclosure.
2.0 Legal Implications for Third Party Auditors.
The work carried out by a third party conducting an environmental audit will have legal and
financial implications for the client who will rely on the auditor's recommendations and
advice. If the recommendations and advice are subsequently found to be wrong, the client
may recover the damages from the auditor, either by reference to the terms of the contract
between them, or by alleging that the auditor was negligent in the exercise of professional
duty.
Contracts
The contract of appointment between the client organisation and auditor will need to be
carefully drawn up to define each party's role and terms of reference accurately. It must
clearly set out the objectives and scope of the audit and the degree of accuracy required of
the auditor. Generally, the auditor will undertake to exercise reasonable skill and care in
giving advice. Advice may result from various different types of audit, including preacquisition audits, compliance audits and site audits.
Damages are recoverable for losses as a consequence of a breach of the terms of the
contract of appointment with the client, e.g. if the auditors fail to cover the scope established
in the contract. Liability is limited to the parties to the contract, i.e. only the client organisation
can make a claim.
The auditor would be liable for all losses incurred by the client (financial and physical) in the
form of damages providing the loss is caused by a breach of contract and was within the
reasonable contemplation of the parties at the time the contract was made. This might
include penalties imposed on the client, e.g. civil damages.
Clauses may be inserted in the contract of appointment limiting the auditor's potential
liability, for example, it is usual in the standard contract of appointment for an auditor to
include a clause limiting liability to the value of fees paid by the client. This may be
inadequate given the nature of the risks involved. This is normally the subject of
considerable debate and discussion. When appointing an auditor, it is also important to
check:

(a) that the extent of the auditor's professional indemnity cover is adequate;
(b) whether the cover contains any limitations that may affect the client's ability to make a
claim;
(c) that the auditor has appropriate experience in the activity to be audited.
Environmental auditors are also advised to seek legal advice when faced with unfamiliar
clauses in a contract of appointment to ensure that they fully understand the implications.
For example, care should be exercised by an environmental auditor when appointing subcontractors because if the latter are negligent and the client suffers a loss, the client may
bring an action against the auditor, the sub-contractor or both. Although the auditor may be
legally entitled to recover damages from the sub-contractor, there is always a risk that the
sub-contractor may not be adequately insured or may become insolvent.
Legal advice should be obtained on the effect of any exclusion clauses in contracts which
seek to exclude or limit liability, as their use is regulated both by common law and by statute,
e.g. the Unfair Contract Terms Act 1977 and the Supply of Goods (Implied Terms) Act 1973.
2.1 Negligence.
Liability may also arise under the tort of negligence. In order to be successful in a case of
negligence, the client must prove that:
(a) a duty of care was owed by the auditor (defendant) to the client (plaintiff);
(b) there was a breach of that duty;
(c) foreseeable loss or damage resulted from that breach.
Liability can extend to third parties in some limited circumstances. However, such situations
should not often occur in the Context of EMSs. It is important that environmental auditors
restrict their potential liability to third parties in the contract of appointment.
Question 3.
If the recommendations and advice given by an auditor is subsequently found to be wrong,
the client may recover damages from the auditor.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

3.0 The Legal Requirements Affecting the Provision of Information to the Public.
Let us look at public rights generally in terms of information that is legally available to us.
Freedom of Information Act 2000
Public rights

Any person can make a request under the Act - there are no restrictions on age, nationality,
or where you live.
All that is required to do is write to (or email) the public authority that you think holds the
information you want.
Information required to be included:

your name;
an address where you can be contacted;
a description of the information that you want.

You don't have to mention the Freedom of Information Act, but there is no reason not to if
you want to.
You should try to describe the information you want in as much detail as possible - for
example "minutes of the meeting where the decision to do X was made", rather than
"everything you have about X". This will help the public authority find the information you
need.
Public authorities must comply with your request promptly, and should provide the
information to you within 20 working days (around a month). If they need more time, they
must write to you and tell you when they will be able to answer your request, and why they
need more time.
Question 4.
In order to be successful in a case of negligence the client must prove....
Multiple Choice (HP)
Answer 1:

Foreseeable loss or damage resulted from a breach

Response 1:
Jump 1:

This page

Answer 2:

A breach of the duty of care occurred

Response 2:
Jump 2:

This page

Answer 3:

A duty of care was owed by the defendant to the plaintiff

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

3.1 How Requests for Information are Handled.

The following section contains information for people making Freedom of Information
requests. It explains the rules which govern how requests are handled by public authorities
and sets out some of the things that might happen whilst a public authority is handling your
request.
The way public authorities handle requests is determined by the Act, regulations and codes
of practice. The Information Commissioner can take legal action against public authorities

which fail to comply with the codes of practice.

Advice and assistance
Public authorities must provide you with advice and assistance to help you make your
request. This requirement is set down in the Act and also in the code of practice. This means
that a public authority might contact you whilst they are working on your request to discuss it
with you before they provide a final answer.
Requests for information about yourself
These requests not considered to be Freedom of Information requests and are handled
under different rules, set down in the Data Protection Act.
Information about you
If you ask for information about yourself, different rules apply to the way your request must
be handled, because you have slightly different rights to this information. Requests for
information about you are covered by the Data Protection Act.
The Data Protection Act applies to more organisations than the Freedom of Information Act
because it also applies to private organisations like banks, utility companies and other
businesses (which are not covered by Freedom of Information).
Organisations have up to 40 days (just over a month) to answer requests under the Data
Protection Act.
They might also charge you up to 10 - the law allows them to do this.
3.2 Information About Other People.
If you ask for information about other people, your request will only be answered as long as
it doesn't breach anyone else's rights under the Data Protection Act.
If it would be unfair to the other person if their information were given to you, then your
request will be refused. Similarly, if you ask for information that the person themselves would
not be entitled to receive, your request will also be refused - it would be unfair if you could
see data which they cannot. If you know that the other person would be happy for you to
have their information, you should ask the person to write to the organisation confirming their
consent to their information being disclosed to you.
Requests for information about the environment
These requests are handled under the Environmental Information Regulations - these are
very similar to the Freedom of Information Act, but have slightly different rules about fees,
time-limits and when information can be withheld.
Information about the environment includes information about buildings, plants, trees,
pollution, the atmosphere, water etc.
Publication schemes
The Freedom of Information Act requires all public authorities to have and maintain a
publication scheme - this is a document which describes all the types of information a public
authority will actively publish. It may also say how much they will charge for providing certain

types of information.
The Act requires all public authorities to produce, maintain, and disclose information in
accordance with a publication scheme. These schemes set out what kinds of information the
public authority will proactively make available, and how they will do it. All schemes must be
approved by the Information Commissioner.
A publication scheme is not just a list of documents a public authority already publishes.
Rather than specifying individual documents, it describes 'classes' or 'kinds' of information
(such as minutes, reports etc.). It may also prescribe a charge for providing the information,
particularly if the public authority already charged for providing that information before the
introduction of Freedom of Information.
If you want to see information included in a public authority's publication scheme, you should
request it in the normal way unless the publication scheme tells you to do something else.
Question 5.
Any person can make a request for information under the Freedom of Information Act 2000
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

3.3 Vexatious & Repeated Requests.

The Act does not specifically limit the number of requests you can make. However, the Act
states that a public authority does not have to comply with vexatious or repeated requests.
This may include repeated requests from the same person for the same information, or
requests which are intended to disrupt the authority's work.
Transferring your request
If the public authority doesn't hold the information for which you have asked, but knows that
another authority does, they might transfer your request to the other authority. They should
always let you know that they have done this, although they don't have to ask your
permission first. This is a requirement of the Code of Practice.
Time taken to respond to your request
When a public authority receives a Freedom of Information request, they have to respond to
it promptly and in any event within 20 working days (usually around one calendar month).
This deadline is set down in the Act. However, there are a number of reasons why this can
sometimes be varied.

Understanding the request

Sometimes public authorities might need to contact you whilst they are working on your
request in order to clarify what information you are looking for, or to help you refine or

redirect your request.

Whilst they are waiting for your answer, the clock 'stops' - this time doesn't count towards the
20 working days.

Fees notices

If a public authority issues a fees notice, they clock stops until they have received your
payment.
3.4 Costs, Fees & Charges.
If the public authority estimates that it will cost them more than the 'appropriate limit' to
identify, locate and retrieve the information for which you have asked, they may refuse your
request entirely, choose to answer anyway, or ask you to pay towards the cost. Public
authorities may also ask you to pay towards the photocopying and postage costs of
complying with your request.
The 'appropriate limit' is fixed by regulations and is 600 for requests to central government
and 450 for requests to any other public authority.
If they ask you to pay, they must issue a 'fees notice' which tells you how much they will
charge you and asks whether you wish to pay.
If you make several FOI requests which relate to similar subjects, public authorities may
'aggregate' (add together) the cost of answering all your requests when calculating whether
or not the cost will exceed the appropriate limit.
The regulations which set out when and how public authorities may charge fees are
available in the Reference Library area of the website using this hyperlink.
Public interest test
Some exemptions under the Act require the public authority to consider whether or not the
public interest in disclosing the information outweighs the public interest in withholding it. If a
public authority thinks they might need to rely on one of these exemptions, they can extend
the 20 working day time-limit whilst they consider the public interest. If they propose to do
this, they must write to you within the 20 working days, explaining which exemption they are
considering and when they intend to provide you with a full answer.
3.5 Special Extensions.
Some public authorities have special extensions of time in certain circumstances. These are:

schools, for requests received during school holidays;

archives, for requests for closed records;
the Armed Forces, for requests for information held by people on active operations;
and
public authorities whose information is held outside the UK.

Answering your request

When the public authority replies to your request, they must confirm or deny whether or not
they hold the information that you have asked for, and either provide it or explain why you

cannot have it.

If they are withholding any information, they must tell you which exemption they are relying
on, and unless it is an 'absolute' exemption, they must also show that they have considered
the balance of the public interest in disclosing or withholding it.
Public authorities must also tell you about your right of appeal against their decision to
withhold any information and tell you how to do this.
What you can ask for and who you can ask
The Freedom of Information Act applies to all 'public authorities' - this includes

central and local government;

the health service;
schools, colleges and universities;
the police;
lots of other non-departmental public bodies, committees and advisory bodies.

You can ask for any information at all - but some information might be withheld to protect
various interests which are allowed for by the Act. If this is case, the public authority must tell
you that they have withheld information and why.
If you ask for information about yourself, then your request will be handled under the Data
Protection Act instead of the Freedom of Information Act. You have slightly different rights to
this information, different fees apply and public authorities have longer to respond to these
requests.
Scotland has its own Freedom of Information Act, which is very similar to the England,
Wales and Northern Ireland Act. If the public authority to which you want to make a request
operates only in Scotland, then your request will handled under the Scottish Act instead.
3.6 What it costs.
Most requests are free. You might be asked to pay a small amount for making photocopies
or postage.
If the public authority thinks that it will cost them more than 450 (or 600 for a request to
central government) to find the information and prepare it for release, then they can turn
down your request. They might ask you to narrow down your request by being more specific
in the information for which you're looking.
If your request is refused
If a public authority is withholding all or some of the information for which you have asked,
they must tell you why - for example, to protect national security or someone's health and
safety.
Your right of appeal
If your request is refused, you should first ask the public authority for an internal review of
their decision. Someone in the authority who was not connected with the initial decision
should carry out this review.

If you have already done this, or the public authority refuses to review their decision, you can
appeal to the independent Information Commissioner. He has the power to investigate the
way the public authority handled your request and the answer they gave. If he agrees that
they have wrongly withheld information, he can order them to disclose it to you.
The information you receive
You may request that the information be given to you in a particular form. However, a public
authority may take into account the cost of supplying the information in this form before
complying with your request. In particular, you may ask for information in permanent form, in
summary form, or for permission to inspect records containing the information.
It may also be possible for public authorities to supply the information in Braille or audio
format, in large type, or translated into another language. However, you should discuss this
with the individual public authority.
The Freedom of Information Act does not place restrictions on how you may use the
information you receive under it. However, the Act does not transfer copyright in any
information supplied under it. If you plan to re-produce the information you receive, you
should ensure that you will not be breaching anyone's copyright by doing so.
3.7 Exemptions.
The Freedom of Information Act contains exemptions to the right of access in order to
protect legitimate interests and sensitivities.
Some of these exemptions are absolute. Others are subject to a public interest test and are
known as 'qualified'. Exemptions are often referred to by the section number of the FOI Act
which contains them.
Section 21 - information accessible by other means
This exemption recognises that the right of access under the Freedom of Information Act
2000 is supplementary to the very many ways in which public authorities already provide
information to the public.
For example, section 21 will apply if information is included on a public authority's publication
scheme or if the public authority is under a statutory obligation to give out the information to
members of the public on request.
Of course, this exemption doesn't mean that you cannot have the information you have
requested - just that it will not be provided under the FOI Act.
Section 21 is an absolute exemption - there is no public interest test.
Section 22 - information intended for future publication
This exemption may apply if the public authority intends to publish the requested information
at some future date. This ensures that the FOI Act does not force public authorities into
premature publication of information.
This exemption is public interest tested.
Section 23 - information supplied by or relating to bodies dealing with security

matters
This exemption applies to two categories of information:

information supplied directly or indirectly by the Security Service bodies (this includes
the Security Service, the Secret Intelligence Service and GCHQ as well as others).
Whether this aspect of section 23 applies in a particular case will turn on the source
of the information; and
information that relates to one of the Security Bodies. The application of this part of
section 23 will turn on the content of the information.

This exemption is absolute - there is no public interest test.

Section 24 - national security
This exemption applies to information whose exemption from the right of access is required
for the purpose of safeguarding national security. In order to apply this exemption, the public
authority must decide whether any harm to national security might result from its disclosure.
This exemption is public interest tested.
Section 26 - defence
This exemption applies to information whose disclosure would be likely to prejudice:

the defence of the British Islands or any colony; or

the capability, effectiveness or security of the armed forces of the Crown or any
forces co-operating with them.

In order to determine whether this exemption applies, the public authority must establish how
exactly these defence matters would be prejudiced by disclosure of the information.
This exemption is public interest tested.
Section 27 - international relations
This exemption applies to the following two categories of information:

information whose disclosure would be likely to prejudice international relations. (The

term "international relations" means relations between the UK and any other state,
international organisation or court, or the interests of the UK abroad or the promotion
or protection of those interests.)
confidential information obtained from another state, an international organisation or
an international court.

This exemption is public interest tested.

Section 28 - relations within the United Kingdom
This exemption applies to information whose disclosure would be likely to prejudice relations
between two or more administrations in the United Kingdom. The relevant administrations
are: the government of the United Kingdom, the Scottish Administration, the Executive

Committee of the Northern Ireland Assembly and the National Assembly for Wales.
This exemption is public interest tested.
Section 29 - the economy
This exemption applies to information whose disclosure would be likely to prejudice the
economic or financial interests of the United Kingdom or of any administration in the United
Kingdom.
This exemption is public interest tested.
Section 30 - investigations and proceedings conducted by public authorities
This exemption is concerned primarily with preserving the integrity of certain proceedings
and investigations which public authorities have the power or duty to conduct. There are two
ways in which the application of this exemption may be triggered:

where information has at any time been held for the purpose of specified criminal and
other investigations or proceedings; and
where information relates to the obtaining of information from confidential sources
and was obtained or recorded for a number of specified investigations or
proceedings.

This exemption is public interest tested.

Section 31 - law enforcement
This exemption is concerned with protecting a wide range of law enforcement interests and
its application turns on whether disclosure would be likely to prejudice those interests.
Some interests that are protected by section 31 are drawn quite widely, for example: the
administration of justice, the prevention or detection of crime and the operation of
immigration controls. The exemption also applies where the exercise by any public authority
of certain specified functions would be prejudiced by disclosure. Those functions include:
ascertaining whether a person is responsible for improper conduct, determining the cause of
an accident and ascertaining a person's fitness to carry on a profession.
This exemption is public interest tested.
Section 32 - court records
This section exempts information contained in certain litigation documents and court, tribunal
and inquiry records. It will apply regardless of the content of the information. There are
separate and specific regimes for gaining access to court and tribunal records and this
exemption ensures that those regimes are not superseded by the FOI Act.
This exemption is absolute - there is no public interest test.
Section 33 - audit functions
Section 33 can only be used by public authorities which have financial audit functions in

relation other public authorities or whose functions include examining the efficiency,
effectiveness and economy with which other public authorities discharge their functions. This
exemption applies to information whose disclosure would be likely to prejudice the exercise
of these functions.
This exemption is public interest tested.
Section 34 - parliamentary privilege
Section 34 applies to information whose exemption is required in order to avoid an
infringement of the privileges of either House of Parliament. The purpose of this exemption is
to preserve Parliamentary privilege and protect the position of Parliament.
This exemption is absolute - there is no public interest test.
Section 35 - formulation of government policy
This exemption is aimed at protecting the government policy-making process and its proper
use is essential to ensuring the delivery of effective government. It applies to information
which relates to:

the formulation and development of government policy;

communications between Ministers (including Cabinet proceedings);
the provision of advice by the Law Officers (or any request for advice); and
the operation of any Ministerial private office.

This exemption is public interest tested.

Section 36 - conduct of public affairs
This section exempts information whose disclosure would be likely to have any the following
effects:

prejudice collective Cabinet responsibility;

inhibit the free and frank provision of advice and exchange of views for the purposes
of deliberation; or
prejudice the effective conduct of public affairs.

This exemption can only be used if the section 35 exemption does not apply. It can also only
be used if a 'qualified person' thinks that the disclosure would have the specified effects. In
most cases, the qualified person for a public authority is the most senior person in that
organisation.
This exemption is public interest tested.
Section 37 - communications with Her Majesty and honours
Section 37 applies to two categories of information:

Information relating to communications with Her Majesty, other members of the Royal
Family or the Royal Household; and

Information relating to the conferring by the Crown of any honour or dignity.

This exemption is public interest tested.

Section 38 - health and safety
This section applies to information whose disclosure would be likely to endanger the physical
or mental health or the safety of any individual.
This exemption is public interest tested.
Section 39 - environmental information
This section exempts environmental information whose disclosure is governed by the
Environmental Information Regulations 2004 (EIRs). The EIRs implement a European
Directive and establish a specific regime to enable individuals to access environmental
information, including exemptions from that right of access. The disclosure of environmental
information must be considered under the Environmental Information Regulations: this
section therefore exempts this from the rights of access under the FOI Act.
The exemption is public interest tested.
Section 40 - personal information
This exemption concerns personal data within the meaning of the Data Protection Act 1998.
Section 40 applies to two distinct types of requests for information:

if you ask for your own personal data, the information is exempt (but the request will
be handled under the Data Protection Act instead); and
if you ask for someone else's personal data, then that information will be exempt if its
disclosure would contravene any of the data protection principles in the Data
Protection Act 1998 (or certain other provisions of the Data Protection Act 1998).

This exemption is absolute - there is no public interest test.

Section 41 - information provided in confidence
This exemption applies to information that has been obtained from another person and
whose disclosure to the public would constitute an actionable breach of confidence. (I.e. the
person who supplied the information to the public authority could take legal action against
the public authority if the public authority disclosed it to anyone else.)
This exemption is absolute - there is no public interest test.
Section 42 - legal professional privilege
This exemption applies to information that would be subject to legal professional privilege if
litigation were in progress. Legal professional privilege covers confidential communications
between lawyers and their clients and certain other information that is created for the
purposes of litigation. This exemption ensures that the confidential relationship between
lawyer and client is protected.

This exemption is public interest tested.

Section 43 - commercial interests
This section exempts information whose disclosure would be likely to prejudice the
commercial interests of any person. It also includes a specific exemption for trade secrets.
This exemption is public interest tested.
Section 44 -prohibitions on disclosure
This exemption applies to three distinct categories of information:

if there is an existing statutory prohibition on the disclosure of information by a public

authority then that information will be exempt;
if disclosure would be incompatible with a European Community obligation then the
information will be exempt; and
if disclosure would constitute or be punishable as a contempt of court at common law
(for example because it would breach a court order) then it will be exempt.

This exemption is absolute - there is no public interest test.

Question 6.
The Freedom of Information Act 2000 limits the number of requests a person can make.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:
Jump 2:

Next page

Question 7.
The Freedom of Information Act 2000 applies to all public authorities and includes...
Multiple Choice (HP)
Answer 1:

Schools

Response 1:
Jump 1:

This page

Answer 2:

Police

Response 2:
Jump 2:

This page

Answer 3:

Central and local government

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:

Jump 4:

Next page

4.0 Requests for 'Environmental Information'.

The Environmental Information Regulations (EIRs) implement a European Directive arising
from an international Treaty signed at Aarhus in Denmark. They provide a separate right of
access to environmental information, in addition to the other rights you have under the FOI
Act.
Under the EIRs, everyone has the right to access information about the environment - this
includes information about the air and atmosphere, water, soil, land, landscape, substances,
energy, noise, radiation or waste, emissions, discharges etc., as well as information about
policies which affect these things.
You can request this information in writing, in person or over the telephone. You don't have
to mention the EIRs, but there is no reason not to if you want to.
Unlike the FOI Act, EIR requests cannot be refused just because of what it would cost the
public authority to comply.
The exceptions to the duty to disclose information also differ slightly from those under the
FOI Act.
However, both the EIRs and the FOI Act are enforced by the independent Information
Commissioner. If you feel that you request for Environmental Information has been wrongly
handled, you should first ask the public authority to review their decision. If you are still
unhappy, then you may ask the Information Commissioner to investigate.
4.1 Environmental Information Regulations 2004.
Introduction
The Environmental Information Regulations 2004 (EIRs) came into force on 1st January
2005 to coincide with the Freedom of Information Act 2000. They clarify and extend previous
rights to environmental information.
The public has a right of access to environmental information held by public authorities and
some other organisations. Requests for information do not need to be in writing, nor do they
need to quote the regulations. However, it usually helps to clarify the nature of the
information requested if it is put in writing.
The definition of "environmental information" is wide and covers elements of the environment
such as land, water, biological organisms etc, but also measures and activities which may
affect these, including economic analysis of such measures and activities.
A charge may be made for providing the information provided it is reasonable. In practice,
many requests are likely to be met free of charge. Public authorities should publish a
schedule of charges for any information for which a standard fee is payable. EIR fee
guidance has been produced.
There are certain limited exemptions to the provision of information and any refusal must be
made in writing and provide the reasons for the refusal.
4.2 Access to Information.
On 1st January 2005, the Environmental Information Regulations 2004 and the Freedom of

Information (FOI) Act 2000 came fully into force. These were followed by the Re-use of
Public Sector Information Regulations which came into effect on 1st July 2005.
The purpose of this section is to explain what these pieces of legislation mean, how to make
a request and how your request will be handled. It also describes the wide range of
information which Defra already publishes and where to find it.
Access to information: publication scheme
Defra's aim is sustainable development, which means a better quality of life for everyone,
now and for generations to come, including:

a better environment at home and internationally and sustainable use of natural

resources;
economic prosperity through sustainable farming, fishing, food, water and other
industries that meet consumers' requirements;
thriving economies and communities in rural areas and a countryside for all to enjoy.

Defra values openness and they strive to maintain it as one of our core values. They aim to
work openly, honestly, with integrity and to share information with each other and their
stakeholders.
They are committed to greater openness and to pro-actively disseminating information as
part of our goal of encouraging an informed debate on the areas of public policy for which
they are responsible.
The Environmental Information Regulations 2004 create a right of access to all
environmental information, subject to certain limited exceptions. In addition, the Freedom of
Information Act (FOI Act) received Royal Assent on 30th November 2000. It creates a
general right of access to all types of recorded information held by public authorities, sets out
exemptions from that right and places a number of obligations on public authorities.
Defra is a public authority under both regimes and is therefore bound by their provisions.
The general right of access was introduced in January 2005.
Defra, along with every other public authority from November 2002, has a legal duty under
Section 19 of the FOI Act to:

adopt and maintain a scheme which relates to the publication of information by the
authority and to have that scheme approved by the Information Commissioner;
publish information in accordance with that scheme; and
review the scheme from time to time.

Their publication scheme specifies:

the classes of information which the public authority publishes (or intends to publish);
the manner in which information in each class is, (or is intended to be), published
and;
whether the material is (or is intended to be) available free of charge or on payment
of a fee.

Defra shall publish information in accordance with the scheme and will monitor and review

its operation. Please note:

They intend that this will be a living document, which will be modified and developed
in the light of public comment and feedback.
Sometimes, they may still have to withhold information if they consider that it is
necessary for reasons such as confidentiality, unwarranted invasion of privacy,
commercial sensitivity, national security or for some other legitimate reason. When
considering whether or not they have to withhold information, they will take into
account the grounds listed in the Freedom of Information Act and the Environmental
Information Regulations. They will also consider whether the public interest in
withholding the information outweighs the public interest in disclosing it. In any event,
if they do have to withhold information, they will explain why they have done so.
Their scheme is not retrospective, and they do not undertake to publish information
held by them, which was generated before 30th November 2002, the date the
scheme came into force.

Question 8.
The Environmental Information Regulations 2004 can refuse requests for information
because of what it would cost the public authority to comply.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:
Jump 2:

Next page

4.3 Accessible to Whom?.

It is important to note that any person or organisation may apply for - and receive information. They do not need to be UK citizens or bodies, or to be resident in the country, or
to prove an interest in obtaining the information.
Information which cannot be released
The Environmental Information Regulations 1992, the Freedom of Information Act 2000 and
the Data Protection Act 1998 set out exceptional circumstances in which a request for
information may be refused.
They will only take decisions not to release information after careful consideration and give
their reasons clearly in writing.

4.4 What are EIRs?.

The Environmental Information Regulations (EIRs) give certain rights of access to
environmental information to the general public.
The UK has had Environmental Information Regulations since 1992. The new Environmental
Information Regulations 2004 came into force on 1st January 2005.

What information is covered by the Regulations?

Regulation 2(1) states that environmental information is information in any form on any of the
following:
(a) the state of the elements of the environment, such as air and atmosphere, water, soil,
land, landscape and natural sites including wetlands, coastal and marine areas, biological
diversity and its components, including genetically modified organisms, and the interaction
among these elements;
(b) factors, such as substances, energy, noise, radiation or waste, including radioactive
waste, emissions, discharges and other releases into the environment, affecting or likely to
affect the elements of the environment referred to in (a);
(c) measures (including administrative measures), such as policies, legislation, plans,
programmes, environmental agreements, and activities affecting or likely to affect the
elements and factors referred to in (a) and (b) as well as measures or activities designed to
protect those elements;
(d) reports on the implementation of environmental legislation;
(e) cost-benefit and other economic analyses and assumptions used within the framework of
the measures and activities referred to in (c); and
(f) the state of human health and safety, including the contamination of the food chain, where
relevant, conditions of human life, cultural sites and built structures inasmuch as they are or
may be affected by the state of the elements of the environment referred to in (a) or, through
those elements, by any of the matters referred to in (b) and (c);
4.5 To whom do the EIRs apply?.
The EIRs apply to all public authorities in England, Wales, and Northern Ireland. Scottish
public authorities are covered by Scotland's own EIRs.
'Public authority' means government departments and any other public authority as defined
in FOIA, but also the following authorities which are not covered by FOIA:

any other body or other person that carries out functions of public administration,
such as utility companies; or

any other body or other person under the control of the aforementioned, such as
waste contractors performing waste collection on behalf of a local authority.

4.6 Access to information.

Any person or organisation may apply for information covered by the regulations. Access is
not confined to UK citizens and permanent residents; foreign nationals may also apply. The
applicant is not required to prove an interest or to say why he/she wants the information.
There is no geographical restriction: the information may relate to anywhere in the world.
Example:

sustainable procurement of embassies;

funding grants for overseas development.

However, the release of environmental information relating to overseas territories may need
to be restricted for reasons of international relations. These cases will be decided on a case
by case basis, taking into consideration the public interest.
4.7 What Charges Will be Made for Information?.
The EIR fee guidelines ha been aligned to the FOI fees regime wherever possible.
Under the terms of the Directive, the EIRs require that:

information made available for inspection, and explaining where information is made
publicly available, should be free of charge;
any charges be 'reasonable'.

Defra guidance suggests that requests should be free up to the same appropriate limit as
FOI requests - 600 for central Government, 450 for local Government. Above that limit,
charges for EIRs will need to meet the EU requirement of reasonability.
Free requests should include:

Information made available for inspection.

Explaining where information is made publicly available.
Oral queries answered on the spot, e.g. when waste is collected.
Many requests dealt with by local authorities, such as planning queries.

Public Authorities may of course charge for disbursements such as photocopying and
postage, but if an applicant comes to inspect information in situ where it is made available, it
will be free of charge. See the Information Tribunal ruling on the Markinson Case.
Can authorities respond to requests free of charge, charge less than full costs, or give
discounts to certain groups?
Yes.
How do I decide whether a request is an FOI Request or an EIR Request?
Any request relating to Environmental Information should be regarded as an EIR request. A
request may contain a mixture of environmental and non-environmental information, in which
case each class of information should be handled under the appropriate regime.
What grounds are there for refusing a request?
The presumption is that environmental information must be released, unless there are
compelling and substantive reasons to withhold it. The Regulations list the conditions under
which a body can refuse information. Those judging whether to release or withhold
information should interpret the exceptions narrowly. They should avoid the possibility of
legal proceedings (e.g. for breach of confidence or failure to supply); if in doubt, they should
seek legal advice.
A request for information can be refused (or information redacted) if:

Information is not held (then there is a duty to refer the request on).

The request is manifestly unreasonable.

The request is too general (after fulfilling duty to advise and assist).
The request is for unfinished documents or data (in which case estimated time for
completion must be given).
The request is for internal communications (as with all EIR exceptions, the public
interest test must be applied).

Information may also be withheld or redacted in order to protect the following, subject to the
public interest test:

Confidentiality of proceedings.
International relations/public security/defence.
The course of justice and right to fair trial.
Commercial confidentiality.
Intellectual property rights.
Personal/voluntary data.
Environmental protection.

If information relates to emissions, the information must be released notwithstanding any

grounds for refusal because of confidentiality of proceedings, commercial confidentiality,
personal/voluntary data or environmental protection.
4.8 Why Were the 1992 Regulations Updated?.
The EIRs were updated to bring the UK into line with international requirements, as laid
down in EC Directive 2003/4/EC and also in the Aarhus Convention. The UK has ratified the
Aarhus Convention.
Ministers agreed for EIRs to be implemented on 1st January to harmonise with FOIA.
Why does Scotland have its own EIRs?
Access to information is a devolved matter in Scotland.
Scotland has its own Freedom of Information Act and has therefore made its own new EIRs.
Scotland has also harmonised the requirements of the EIRs with their Freedom of
Information Act (Scotland) as far as possible. See:
The Environmental Information (Scotland) Regulations 2004
How will EIRs be monitored?
The Ministry of Justice monitors how cases are handled throughout central government.
From January 2005 all central government public authorities reported to the Ministry on their
handling of FOI and EIR information requests according to the monitoring criteria. This
information is held on central database and the statistics are made public at regular
intervals.
What are the appeals procedures?
Any applicant dissatisfied with a refusal to make information available, or who considers that
a request for information has been inadequately answered or delayed may:
1. ask for an internal review of the request;

2. appeal to the Information Commissioner;

3. go to the information Tribunal.
Is information relating to human health covered by the Regulations or FOIA?
The Regulations cover human health and safety insofar as the environment affects it. This
includes by means of organisms such as bacteria or viruses, effects of noise, waste, or
emissions, effects of living in different areas of the land, accidents and their causes and
effects on health of any policies or legislation which may themselves have any effects on the
environment.
Other aspects of health and safety are covered by FOIA - e.g. mortuary photos and agerelated illness.
4.9 Why Are EIRs Not Made Under the Freedom of Information Act 2000?.
The EIR are made under section 2(2) of the European Communities Act 1972. When the FOI
Act was being enacted, the powers in section 74 of the FOI Act were included to enable the
UK to comply with its obligations under the United Nations Aarhus Convention on Access to
Information.
Subsequently, the European Union adopted Council Directive 2003/4/EC to implement the
convention for the EU. The EU legal obligation to implement the Directive has accordingly
now become the more relevant legal obligation for EU member states.
Public authorities would need to plan, organise, and move over to electronic record keeping.
This has been a consistent message from Government for some time. The only reasonable
way of introducing an implementation date of January 2003 for this provision would have
been to have had draft amending regulations in the pipeline prior to the adoption of the
Directive. This was clearly not either feasible nor intended. Ministers consulted and decided
to implement this Directive in January 2005, in order to harmonise with FOIA and in the
interests of better regulation.
The Directive does not require public authorities to make all information immediately
available electronically but rather to 'organise' information 'with a view to its active and
systematic dissemination' and to ensure that information 'progressively' becomes available
electronically.
Public authorities that are also public authorities under FOIA are already subject to
obligations in respect of dissemination. Defra's guidance to public authorities encourages
them to disseminate as much information as possible.
A public authority that receives a request for information that it holds must decide whether
the request is for environmental information or for information which needs to be dealt with
under the FOI Act. To do this, the authority looks to the definition of environmental
information in the EIR. If the request is for environmental information the request must be
dealt with under the EIR only. The FOI will not apply. Section 39 of the FOI Act provides a
gateway through which the request goes into the EIR.
4.10 Public authorities and the release of information.
Bodies must be allowed to make decisions in private. The background deliberations, papers
and reports leading up to policy statements or decisions may be confidential, for example, if
it is considered that their release might lead to speculation, confusion or uncertainty and that
this would not be in the public interest in all the circumstances of the case, or if it there was a

possibility that the outcome of these deliberations could be jeopardised.

The exception for internal communications can be used to protect this decision making
process.
The definition of public authority includes government departments. The Regulations apply
to all public authorities, including the Government. The EIRs treat government departments
as separate bodies where this is necessary to ensure the EIR obligations work in practice to
help people efficiently get the environmental information to which they are entitled. For
example, where a public authority does not hold environmental information requested, it
must transfer the request to the public authority it believes does hold the information. For this
purpose, each government department is treated as a separate body.
For the purposes of internal communications, the Government can be viewed as a whole.
This means that information does not need to be disclosed if it falls under the heading of
internal communications.
The Directive defines public authority as "government or other public administration". The
United Nations' implementation guide to the Aarhus Convention covers 'internal
communications'. In some countries, the internal communications exception is intended to
protect the personal opinions of government staff.
There is no reason why the exception should only apply to communications within a single
government ministry. The purpose of the exception is clearly to protect the candour of
internal discussions within the government of a member state. It therefore applies equally to
communications between ministries.
The application of this exception will of course be subject to the public interest test.
The Information Commissioner will be responsible for making known to Government views
about the application of the public interest test in particular circumstances.
The EIR will allow a neither confirm nor deny (NCND) reply where the information relates to
international relations, defence, national security or public safety.
Question 9.
Only UK citizens or bodies can apply for and receive information under the Environment
Information Regulations 2004.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:
Jump 2:

Next page

5.0 Public Registers and Publicity.

Applications for authorisation to operate must be made public, by placing notices in local
newspapers announcing the intention to apply for authorisation. Details of the application,
correspondence with the enforcing authorities, the conditions attached to the authorisation
and details of any subsequent enforcement action are placed on public registers maintained

by the appropriate authorities. These registers are open to any member of the public and are
consulted by other process operators, solicitors, insurance companies, pressure groups and
environmental consultants. It is important for management teams to realise that all
correspondence between the company and the authority will be placed in the public register.
Similarly, correspondence between the authority and statutory consultees, such as the HSE,
will also appear in the register. This will also include details of enforcement action and
convictions.
Only if the information is sensitive in terms of national security may it be withheld from the
Public Register. This is with the agreement of the regulators. Commercially sensitive
information may not be withheld.
Reviews
Another feature of the new breed of process authorisations is that they are live documents,
and so subject to regular review. The normal period is four years, although it can be at any
time, or after the operator has notified an intention to make a change to the process.
Process Guidance is similarly subject to review on an approximately four-year cycle. This is
to ensure that there is adherence to the overall policy requirement to prevent or minimise
polluting releases. Although not inevitable, most operators have found that discharge limits,
etc. become tighter with subsequent reviews.
Variation, Enforcement and Prohibition Notices
An authorisation to operate may be granted unconditionally. However, this is very unusual
and there are likely to be conditions stipulated. Whilst these conditions usually remain in
force for four years, until the authorisation is reviewed, the enforcement authority may serve
a variation notice, which will alter the conditions under which the processes may be
operated. In addition, the enforcement authority can serve two other types of notice. These
are a prohibition notice and an enforcement notice. A prohibition notice is served where
there is an imminent risk of serious environmental damage and will have the effect of
shutting down the process. A prohibition notice may be served whether or not the manner of
carrying on the process contravenes a condition of the authorisation, and it may relate to any
aspect of the process. A prohibition notice will consist of the following elements:

The enforcement authoritys opinion that carrying on the prescribed process,

or continuing to carry it on in a particular manner, involves an imminent risk of
serious pollution to the environment.

A description of the risk involved in the process and specification of the steps
that must be taken to remove the risk, and the period within which the steps
must be taken.

A statement that the authorisation to operate is withdrawn, wholly or partially.

An enforcement notice may be served when the process is not being operated in
accordance with the conditions of the authorisation. The notice must contain the following
elements:

The enforcement authorities opinion that a contravention of conditions is

taking place or is likely to take place.

A description of the matters constituting the contravention or making it likely

that the contravention will arise.

Specification of the remedial steps that must be taken and the time period
within which these steps must be taken.

The operators must then comply with the conditions of the authorisation.
5.1 Local Authority Air Pollution Control (LAAPC) Scheme.
The Local Authority Air Pollution Control Legislation is enforced by District Council
Environmental Health Officers. As the title of the scheme implies, it only covers air pollution.
Consequently, companies seeking consents to discharge effluent to rivers must apply
separately to the Environment Agency (in England ), or the Scottish Environmental
Protection Agency (in Scotland). Similarly, consents for discharges to the sewers must be
obtained from the local sewerage undertakers.
Since the application for authorisation applies only to air pollution, the inspectors are not in a
position to determine whether the Best Practical Environmental Option (BPEO) applies.
Processes which fall below the stated thresholds for inclusion within the LAAPC Scheme will
still be subject to controls under Part III of the Environmental Protection Act 1990for
Nuisance, such as smell, fumes, etc.
The Environment Agency licenses industry, business and individuals to carry out certain
activities that have the potential to pollute the environment. When they receive an application
for such a licence, they make that application and other relevant information available to the
public. They do this before they make the decision of whether to issue the licence, or what
conditions they will attach to it.
After any licence is issued, further information is also made available on the Registers. This
can typically include monitoring information, details of any breaches of the terms of the
licence, any enforcement actions that have been carried out and any applications to vary the
terms of the licence.
Any member of the public has the right to access information about how the Environment
Agency are carrying out their responsibilities. This right of access provides the opportunity to
participate in the decision making process.
In the words of the UNECE 'Aarhus' Convention :
"Improved access to information and public participation in decision-making to enhance the
quality and the implementation of decisions, contribute to public awareness of environmental
issues, give the public opportunity to express its concerns and enable public authorities to
take due account of such concerns."
Public registers also cover some of the other aspects of our responsibilities and are useful
sources of environmental information.
5.2 What Do The Public Registers Cover?.
Licensing Registers

Industrial processes
The Integrated Pollution Control (IPC) Public Register
The Pollution Prevention and Control Public Register
The Register of Radioactive Substances Information

Water
The Water Quality & Pollution Control Public Register
Groundwater

Waste
The Register of Waste Management Licences

Other Registers

Waste
The Register of Carriers of Controlled Waste
The Register of Brokers of Controlled Waste
The Register of Exempt Activites
The Producer Responsibility Register
The Professional Collectors, Transporters of Waste, Dealers and Brokers Register
Hazardous Waste

Industrial processes
The Control of Major Accidents and Hazards

Contaminated Land
Contaminated Land

Maps

Maps of Freshwater Limits

Maps of Main Rivers
Maps of Sensitive Areas and High Natural Dispersion areas
Question 10.
Local Authority Air Pollution Control Legislation is enforced by.....
Multiple Choice (HP)
Answer 1:

Environment agency

Response 1:
Jump 1:

This page

Answer 2:

Health & Safety Executive

Response 2:
Jump 2:

This page

Answer 3:

District Council Environmental Health Officers

Response 3:
Jump 3:

Next page

5.3 The Water Quality & Pollution Control Public Register.

A register maintained under section 190 of the Water Resources Act 1991 and prescribed by
The Control of Pollution (Applications, Appeals and Registers) Regulations 1996 (since 31st
December 1996), and previously The Control of Pollution (Registers) Regulations 1989
(since 1st September 1989) deals with:

notices of water quality objectives;

applications for consents to discharge or for variation of an existing consent, and
supporting material;
discharge consents, consent conditions and any variations;
date and time of each sample of water or effluent taken by the Agency, the result of
its analysis and any steps taken by the Agency as a consequence;
date and time of each sample of water or effluent taken by any other person, the
result of its analysis (by the Agency) and any steps taken by that person as a
consequence;
prohibition notices;
enforcement notices;
revocations of discharge consents;
notices of appeal and relevant correspondence, decisions and representations,
Secretary of State's determination and any accompanying directions to the Agency in
relation to its water pollution functions (except directions relating to matters of
national security);
details of convictions of consent holders, including the name of the offender, date of
conviction, penalty imposed, and the costs (if any) awarded against the offender and
the name of the court reports;
returns and other information about the nature, origin, composition, temperature,
volume and rate of discharges provided to the Agency as a result of consent
conditions;
register entries made under the previous Control of Pollution (Registers) Regulations
(SI No.1160/1989 since 1st September 1989);

an index to facilitate access to particulars entered in to the register.

5.4 Groundwater.
A public register held under the Groundwater Regulations 2009, Regulation 21
The Agency must, as soon as reasonably practicable, enter on registers maintained by it
under section 191A of the Water Resources Act 1991 full particulars of
(a) any permit under regulation 13;
(b) any application for such a permit;
(c) any variation or revocation of such a permit;
(d) any notice under regulation 18;
(e) any variation or revocation of any such notice;
(f) any information furnished to the Agency for the purposes of regulation 13 or 17;
(g) any monitoring information provided in connection with any permit under regulation 13;
(h) any conviction for an offence under these Regulations;
(i) any code of practice approved under these Regulations.
This is subject to section 191A of the Water Resources Act 1991 (exclusion from registers of
information affecting national security) and section 191B of that Act (exclusion from registers
of certain confidential information) but as if sub-section (2) of that section referred to an
application for a permit under regulation 13.

5.4.1 Maps of Freshwater Limits.

Maps held under section 192 of the Water Resources Act 1991

maps of freshwater limits (and any changes to those limits) of controlled waters, i.e.
relevant rivers or watercourses.

5.4.2 Maps of Main Rivers.

Maps held under section 193 of the Water Resources Act 1991

maps for each area covered by the Agency's Regional Flood Defence Committees.

5.4.3 Maps of Agency Waterworks.

Maps held under section 195 of the Water Resources Act 1991

location of resource mains or discharge pipes vested in the Agency;

location of underground works vested in the Agency.

5.4.4 Maps of Sensitive Areas & High Natural Dispersion Areas.

Information held under SI No.2841 The Urban Waste Water Treatment (England and Wales)
Regulations 1994 (since 30th November 1994) and as amended 2003

maps of estuaries;

maps of sensitive areas and high natural dispersion areas (HNDAs);

certificates of exemption from Urban Waste Water Treatment Regulations.

5.5 Waste.
The Register of Carriers of Controlled Waste
A public register maintained under section 2(2)(b) of the Control of Pollution (Amendment)
Act 1989 and Regulation 3 of The Controlled Waste (Registration of Carriers and Seizure of
Vehicles) Regulations 1991 require registers to show:

entries showing persons as registered carriers of controlled waste with their allocated
registration number, including any letter;
the date the registration takes effect and the date of expiry;
registered person's business name, address of his principal business office and
telephone, fax numbers and if an individual, date of birth;
for bodies corporate, the names of each director, manager, secretary or other similar
officers and their dates of birth;
for companies registered in Great Britain, the registered number, otherwise the
country in which it was incorporated;
relevant conviction details including person's name, details of the offence, date of
conviction, penalty imposed, the name of the Court and, if an individual, their date of
birth;
details of waste management licences held;
date of renewal and revised Expiry Date;
any other changes to registered details and the date of amendment;
an index to allow members of the public to readily trace information on the register.

5.6 The Register of Brokers of Controlled Waste.

A public register held under Regulation 20(7) (as detailed in Schedule 5, paragraph 2) of The
Waste Management Licensing Regulations 1994 (since 1st May 1994) requires the register
to show:

broker's registration number;

date the registration takes effect and date of its expiry;
broker's business name and address of the principal place of business including
telephone number, telex or fax numbers and, if an individual, their date of birth;
for corporate bodies, the names of each director, manager or similar position and
their dates of birth;
for companies registered in Great Britain, the registered number, otherwise the
country in which it was incorporated;
relevant conviction details including person's name, details of the offence, date of
conviction, penalty imposed, the name of the Court and, if an individual, their date of
birth;
details of waste management licences held;
date of renewal and revised expiry date;
any other changes to registered details and the date of amendment.

5.7 The Register of Waste Management Licences.

A public register held under section 64 of the Environmental Protection Act 1990 (Part II) and
prescribed by Regulation 10 of The Waste Management Licensing Regulations 1994 (since
1st May 1994) requires the register to show:

current or recent waste management licences and any related working plans;

current or recently current applications for, or transfer or modification of, licences

including supporting information from the applicant, written representations
considered by the Agency, any decisions taken by the Secretary of State, notices of
rejection by the Agency or emergencies resulting in the postponement of relevant
references;

notices of modification, revocation, suspension of licences;

notices of appeal and relevant documents;

conviction details of licence holders including the name of the offender, date of
conviction, penalty imposed and the name of the Court;

reports produced by the Agency including remedial or preventative action taken;

any monitoring information obtained by the Agency as a result of its own monitoring,
or supplied to it as a condition of the licence;

Secretary of State directions;

summaries of hazardous waste produced or disposed of;

register details and records provided under the Hazardous Waste Regulations 2005
where the licence has been revoked or surrendered;

applications for the surrender of licences including supporting information and

evidence, written representations, decisions by the Secretary of State and notices of
determination and certificates of completion;

inspectors' reports written after seizing or rendering harmless, any article or

substance;

records of where and when inspectors exercised their powers, what information was
obtained and what action was taken on each occasion;

statements of whether or not there is compliance with any condition of a licence

where the information which shows compliance or not, has been excluded from the
register because it is confidential.

5.8 The Register of Exempt Activities.

A public register, held under and prescribed by Regulation 18(2) and 18(3) of The Waste
Management Licensing Regulations 1994 (since 1st May 1994), shows the:

name and address of the exempt establishment or undertaking;

activity which makes it exempt;

place where the activity occurs.

5.9 The Producer Responsibility Register.

A public register maintained under Regulation 26 (as detailed in Schedule 7) of The
Producer Responsibility Obligations (Packaging Waste) Regulations 2007.
Producer registrations include:

(for 1997 and 1998) the name and address of the registered office or principal place
of business of the registered producer [and]
(for 1999 and subsequent years) a statement for each year as to whether a certificate
of compliance has been furnished.

Scheme registrations include:

(for 1997 and 1998) the name of the scheme, the name and address of the
registered office or principal place of business of each operator of the scheme and
the members of the scheme [and]
(for 1999 and subsequent years) a statement in relation to each scheme member
and each year as to whether the scheme has discharged its recovery and recycling
obligations.

For all registrations:

a note of any amendment made to any register entry and the date of amendment;
an index to allow members of the public to readily trace information on the register.

5.10 Hazardous Waste Producer Register.

This is maintained under the Hazardous Waste Regulations 2005
This register applies to those premises, other than exempt premises, where hazardous
waste is to be produced or from where it is to be removed.
The register includes information on the:

Name of the person or organisation holding the notification.

Address and Postcode of the notified premises.
Registration number.
Start date of the registration.
Expiry date of the registration.

Register of Professional Collectors and Transporters of Waste, and Dealers and

Brokers
A public register held under Regulation 19 (as detailed in Schedule 4, para 12) of The Waste
Management Licensing Regulations 1994 (since 1st May 1994).
The register holds information on the:

name and address of the establishment or undertaking;

address of its principal place of business;
address of any place at, or from which, it carries on its business.

5.11 Industrial Pollution.

The Integrated Pollution Control (IPC) Public Register
A register maintained under section 20 of the Environmental Protection Act 1990 and
prescribed by The Control of Pollution (Applications, Appeals and Registers) Regulations
1996 (since 24th April 1996)
The register includes information on:

all particulars of applications for authorisation, or for variation of the conditions of an

existing authorisation;
all particulars of any published advertisements in relation to an application;
all particulars of Schedule 1 notices requiring further details, issued by the Agency
and any information provided in response by the operator;
all particulars of any representations made by any person required by statute to be
consulted;
all particulars of any representations made by any person in response to a published
advertisement except those representations requested not to be placed in the
register;
where representations are omitted from the register at the request of the person who
made them, a statement by the Agency that such representations have been made
(without identifying any such person);
all particulars of any authorisation granted by the Agency;
all particulars of any written notice of the transfer of an authorisation;
all particulars of any written notice of the transfer of an authorisation all particulars of
the Agency's opinion on action to be taken following the issue of a variation notice;
all particulars of any revocation of an authorisation made by the Agency;
all particulars of any variation notice, enforcement notice or prohibition notice issued
by the Agency;
all particulars of any notice issued by the Agency withdrawing an enforcement notice
or a prohibition notice;
all particulars of any notice of appeal against a decision by the Agency, the
documents relating to the appeal, any written notification of the Secretary of State's
determination of such an appeal and any accompanying report;
details of any conviction of any person for an offence relating to an authorised or
non-authorised process, including the name of the offender, the date of conviction,
the penalty imposed and the name of the Court;
all particulars of any monitoring information obtained by the Agency as a result of its
own monitoring, supplied to it as a condition of the authorisation or notice issued
seeking further information;
where monitoring information is omitted from the register because it is commercially
confidential, a statement by the Agency indicating whether or not there has been
compliance with any relevant condition of the authorisation;
all particulars of any other information provided to the Agency (on or after 1st April
1996 ) in compliance with a condition of the authorisation, a variation notice,
enforcement notice, prohibition notice, or notice seeking further information;
reports published by the Agency relating to an assessment of the environmental
consequences of a prescribed process operating in the locality of the authorised
premises;

all particulars of any direction (other than a direction relating to matters of national
security) given to the Agency by the Secretary of State.

5.12 The Pollution Prevention and Control (PPC) Public Register.

The register is maintained under regulation 29 of the Pollution Prevention Control
Regulations 2000 and as specified in Paragraph 1 of Schedule 9 of those Regulation.
The register includes:

all particulars of any application made to the regulator for a permit or for a variation of
the conditions of a permit;
all particulars of any notice to the applicant by the regulator under paragraph 4 of
Schedule 4 and paragraph 2 of Schedule 7 and of any information furnished in
response to such a notice;
all particulars of any advertisement published pursuant to paragraph 5 of Schedule 4
or paragraph 4(8) of Schedule 7 and of any representations made by any person in
response to such an advertisement, other than representations which the person who
made them requested should not be placed in the register;
in a case where any such representations are omitted from the register at the request
of the person who made them, a statement by the regulator that representations
have been made which have been the subject of such a request (but such statement
shall not identify the person who made the representations in question);
all particulars of any representations made by any person required to be given notice
under paragraph 9 of Schedule 4 or paragraph 4(5)(c) of Schedule 7;
all particulars of any permit granted by the regulator;
all particulars of any notification of the regulator given under regulation 16(1);
all particulars of any application made to the regulator for the variation, transfer or
surrender of a permit;
all particulars of any variation, transfer and surrender of any permit granted by the
regulator;
all particulars of any revocation of a permit granted by the regulator;
all particulars of any enforcement notice or suspension notice issued by the
regulator;
all particulars of any notice issued by the regulator withdrawing an enforcement
notice or a suspension notice;
all particulars of any notice of appeal under regulation 27 against a decision by the
regulator or a notice served by the regulator and of the documents relating to the
appeal mentioned in paragraph 1(2)(a), (d) and (e) of Schedule 8;
all particulars of any representations made by any person in response to a notice
given under paragraph 3(1) of Schedule 8, other than representations which the
person who made them requested should not be placed in the register;
in a case where any such representations are omitted from the register at the request
of the person who made them, a statement by the regulator that representations
have been made which have been the subject of such a request (but such statement
shall not identify the person who made the representations in question);
all particulars of any written notification of the Secretary of States determination of
such an appeal and any report accompanying any such written notification;
details of any conviction of or formal caution given to any person for any offence
under regulation 32(1) which relates to the operation of an installation under a permit
granted by the regulator, or without such a permit in circumstances where one is
required by regulation 9, including the name of the person, the date of conviction or
formal caution, and, in the case of a conviction, the penalty imposed and the name of
the Court;

all particulars of any monitoring information relating to the operation of an installation

under a permit granted by the regulator obtained by the regulator as a result of its
own monitoring or furnished to the regulator in writing by virtue of a condition of the
permit or under regulation 28(2);
in a case where any such monitoring information is omitted from the register by virtue
of regulation 31, a statement by the regulator, based on the monitoring information
from time to time obtained by or furnished to them, indicating whether or not there
has been compliance with any relevant condition of the permit;
all particulars of any other information furnished to the authority in compliance with a
condition of the permit, a variation notice, enforcement notice or suspension notice,
or regulation 28(2);
where a permit granted by the regulator authorises the carrying out of a specified
waste management activity, all particulars of any waste management licence (within
the meaning of regulation 19(13)) which ceased to have effect on the granting of the
permit in so far as they may be relevant for the purpose of determining under
regulation19 whether any pollution risk results from the carrying out of such an
activity on the site covered by the permit;
all particulars of any report published by a regulator relating to an assessment of the
environmental consequences of the operation of an installation in the locality of
premises where the installation is operated under a permit granted by the regulator;
all particulars of any direction (other than a direction under regulation 30(2)) given to
the regulator by the Secretary of State under any provision of the PPC Regulations.

5.13 The Register of Radioactive Substances Information.

Documents and records received and issued under any provision of the Radioactive
Substances Act 1993, held by the Agency in the form of a register, under section 39 of the
Act and as specified in DoE Circular 21/90 (since 1st January 1991)
In light of concerns that release of certain information could be prejudicial to national
security, certain information has been deemed to be sensitive. The risks associated with
information related to closed and mobile source registrations have been assessed to be the
most significant and this has been removed from the Agency's Public Registers.
The register includes:

applications for registration or authorisation including supporting material, e.g. maps

and photographs;
certificates of registration or authorisation;
notices of variation or cancellation;
enforcement and prohibition notices;
letters notifying those served with an enforcement notice due to a breach of the
conditions of the registration or authorisation, that the conditions are being complied
with;
notices advising those served with a prohibition notice that the notice is now
withdrawn;
notices advising the variation or cancellation of a registration following a
determination of an appeal;
notices advising the variation or revocation of an authorisation following a
determination of an appeal records of convictions, specifically the offence, the name
of the offender, the date of the conviction, the penalty imposed and the name of the
Court;
copies of annual reports of the Agency's monitoring programmes of authorised
discharges of radioactive wastes in England and Wales;

detailed monitoring data held by the Agency (this information is not distributed to
local authorities);
monitoring data provided to the Agency by operators of major sites where it is
required as a condition of the authorisation;
certificates of notification, certificates of agreement (previously known as noting
letters or letters of approval) issued to the Ministry of Defence and Visiting Forces;
variations or cancellations to certificates of notification or agreement.

5.14 The Genetically Modified Organisms (GMOs).

Public Register of Deliberate Releases and Consents to Market
This public register is held by the Agency on behalf on the Secretary of State for
Environment, Food and Rural Affairs and under section 122 (Part VI) of the Environmental
Protection Act 1990 and prescribed by SI No.3280 The Genetically Modified Organisms
(Deliberate Releases) Regulations 2002 (since 1st February 2003)
In relation to a prohibition notice, the register includes:

the name and address of the person on whom the notice is served;
the description of the GMOs;
the location at which the GMOs are proposed to be released;
the purpose for which the GMOs are proposed to be released or marketed;
the reason for the notice and the date specified as the date on which the prohibition
is to take effect.

In relation to an application for a consent, the register includes:

the name and address of the applicant;

the general description of the GMOs;
the location at which the GMOs are proposed to be released;
the general purpose for which the GMOs will be released;
the foreseen dates of the release;
the methods and plans for monitoring the GMOs and for emergency response;
the evaluation of the environmental impact of the genetically modified organisms - in
particular any pathogenic and/or ecologically disruptive effects - and
either the conditions or limitations in accordance with which the committee has
advised that the consent should be granted, or a summary of the reasons why that
committee has advised that the consent should not be granted.

In relation to consents, the register includes:

the fact that the consent has been granted with reference to the application;
any conditions or limitations to which the consent is subject;
any information supplied to the Secretary of State in accordance with the conditions
and limitations;
the fact that the consent has been revoked or varied and the contents of that notice.

In relation to any new information which becomes available with regard to any risks there are
of damage to the environment, the register should include:

the effects of any releases for the assessment of any risks there are of damage to

the environment.
In relation to convictions for any offence, the register includes:

the name and address of the person convicted;

the description of any GMOs in relation to which the conviction was obtained;
the offence which was committed;
the penalty imposed and
any order made by the Court for remedial action.

5.15 The Control of Major Accidents and Hazards.

A register maintained under Regulation 21 (4) of the Control of Major Accident Hazards
Regulations 1999 will include:

notifications to the Competent Authority under regulation 6;

safety reports;
notifications under regulation 16 (2);
communications under regulation 17 (1)(a);
COMAH improvement notices served under section 21 of HSW74;
COMAH prohibition notices served under regulation 18 (3).

Contaminated Land
A public register held under Part IIA of the Environmental Protection Act 1990 of remedial
activities carried out for the purpose of risk management will include:

remediation statements;
remediation declarations;
remediation notices;
land identified as contaminated land under Part IIA but which is subsequently dealt
with under other environmental controls;
designation of Special Sites;
notification of remediation steps claimed to have been taken;
statements on appeals.

6.0 The Government's Chemicals Strategy.

Sustainable Production and Use of Chemicals - A Strategic Approach

The Chemicals Strategysets out Government policies to avoid harm to the environment or
to human health through environmental exposure to chemicals. The main goals of the
Strategy are to:

make full information publicly available about the environmental risks of chemicals;
continue reduction of risks presented by chemicals to the environment and human

health - while maintaining the competitiveness of industry;

phase out early those chemicals identified as representing an unacceptable risk to
the environment.

The Strategy proposes measures to speed up assessment of the environmental risks posed
by chemicals. The Strategy also proposes that a Stakeholder Forum with representatives of
all those groups with an interest in chemicals should be set up to help build consensus on
future policy on chemicals and the environment.
The strategy builds on ideas set out in the 1998 consultation document Sustainable
Production and Use of Chemicals, and the responses to it.
6.1 Setting the Scene.
Introduction
Chemicals are an integral part of our lives. They provide us with the consumer goods we
have come to take for granted and the chemical industry is a vital part of the national
economy. However, there are risks from the manufacture and use of chemicals and it is
essential that we manage these sustainably.
With this Strategy, we aim to improve the existing mechanisms for identifying and managing
chemical risks and to reduce those risks to levels which are acceptable to society. These
goals should be achieved by the Government working alongside industry, developing
innovative, competitive solutions which keep Britain at the cutting edge of the global
chemical industry.
A few years ago on World Environment Day, the Government launched a review of its
policies on chemicals. The review was needed because of a number of concerns about the
effect of chemicals on the environment and human health and a lack of information about
some of those effects. In July 1998, the Government published the consultation paper
Sustainable production and use of chemicals. This Strategy builds on that consultation paper
and the responses the Government received to it, setting out their policies and aims.
During the informal environment council held during the UK's presidency of the European
Union in 1998, a decision was made to review European legislation on chemicals. This
Strategy, which is firmly based on the precautionary principle, will provide the UK's input into
the European Commission's review as it develops.
The Objective of the Stategy
One of the Governments key aims is to protect and improve the environment. This is part of
a broader objective to place sustainable development at the centre of Government policy, in
the United Kingdom and across the world. Sustainable development is about ensuring a
better quality of life for everyone now and for generations to come. It seeks simultaneously
to deliver social progress which recognises the needs of everyone, effective protection of the
environment, prudent use of natural resources and maintenance of high and stable levels of
economic growth and employment.
Within these overall objectives, there is a specific need to protect the environment from harm
from the wide range of chemicals in commercial production and use.
In doing so, the Government need to ensure that they are well placed to meet relevant
international commitments, including those flowing from the OSPAR Convention (see

glossary).
They must take forward the intentions of the precautionary principle set out in the Rio
Declaration. They also recognise the economic importance of the chemical industry, the
value to society of a wide range of useful chemicals, and the principles of free trade flowing
from the General Agreement on Tariffs and Trade (GATT) agreement under the World Trade
Organisation.
The Government objective in this Strategy is to set out policies to avoid harm to the
environment or human health through environmental exposure to chemicals.
To do this, they need to achieve the following goals:

make full information publicly available about the environmental risks of chemicals;
continue reduction of the risks presented by chemicals to the environment and
human health while maintaining the competitiveness of industry; and
phase out early those chemicals identified as representing an unacceptable risk to
the environment and human health.

These goals can only be achieved effectively through partnership between Government, the
chemical industry and other stakeholders nationally and through international initiatives such
as the Organisation for Economic Co-operation and Development (OECD) chemicals
programme. The Government will continue to work for improved EU legislation on chemicals
and the continuing international co-ordination of risk management programmes.
The Government also need a better understanding of the fate and effects of chemicals in the
environment. They will achieve this through a comprehensive programme of research,
involving all stakeholders.
This Strategy sets out the ways in which they expect their objectives to be achieved and the
time-scales over which their targets should be reached. They expect all the key targets of
the Strategy to be met by 2019 and most to be met much earlier.
They believe that these policies will give a high degree of environmental protection from the
effects of production and use of chemicals. It will allow Government to swiftly identify
industrial chemicals of concern using best available information and to promote costeffective and sustainable environmental solutions.
6.2 Scope of the Strategy.
The Strategy is concerned with the impact of chemicals on the natural environment,
including wildlife, and exposure of people via environmental routes including food and
drinking water. Where this document refers to environmental risks, therefore, risks to human
health through environmental exposure are also implied. It focuses on chemicals entering
the environment through marketing and use rather than through emissions during
manufacture or as waste, which are regulated by pollution control and waste management
legislation.
The marketing and use of chemicals which are designed to be biologically active, including
pesticides, biocides and human and veterinary medicines, are or will be regulated by positive
approval procedures.
This Strategy is principally aimed at the much larger number of chemicals produced,
imported and used by industry for a variety of purposes, which in the main are not subject to

positive approval procedures. It does not include exposure to chemicals in the workplace,
but it is important to recognise that actions taken to reduce environmental risks can have
implications for workplace health and safety.
The Government will continue to ensure that strong links are in place between the two policy
areas. The review does not cover the transport of dangerous chemicals or major accident
hazards. These are covered by specific legislation. Nor does it consider chemicals in food,
except where the main pathway into the food is through the natural environment.
There are already European procedures to systematically identify chemicals which pose
risks to the environment and human health through environmental exposure. However, for
chemicals not covered by positive approval procedures, these are proving to be slow and
cumbersome. Measures described in chapter 3 of the Strategy are intended to accelerate
identification of chemicals of concern.
The geographical scope of this Strategy is the United Kingdom. When there is sufficient
cause for concern, the Government will have no hesitation in using their national powers on
precautionary grounds to reduce the risks of chemicals to the environment and human
health.
However, because much of the legislation covering chemicals arises from European Union
directives aimed at harmonising trade throughout the EU, many of the problems identified
here will need solutions at the European level.
Some issues go wider.
Trade in chemicals is global and the effects on the competitiveness of industry needs to be
taken into account. The Government also need to bear in mind its commitments to support
sustainable development in developing countries.
Some of the policies set out here, particularly those with international implications, will
require implementation on a global basis.
Box 1.1 : Scope of the Chemicals Strategy
The Strategy does not deal with:
The Strategy deals with:

risks to the environment and to

human health through
environmental exposure to
commercially available chemicals;
the commercial production and use
of such chemicals; and
measures relating to controls on
production and use.

chemicals covered by positive

approval procedures for pesticides,
biocides and human and veterinary
medicines;
exposure to chemicals in the
workplace;
transport of dangerous chemicals or
major accident hazards;
chemicals added to food during
processing; or
measures relating to controls on
emissions of chemicals to the
environment.

Box 1.2 : A positive approval regime: the pesticides authorisation process

Since 1986, all active ingredients in agricultural and non-agricultural pesticides have
required Ministerial approval before they can be marketed or used. Approval has been
given or withheld under the Control of Pesticides Regulations 1986 (COPR). National
legislation is being replaced by EU legislation implemented in the UK by the Plant
Protection Products Regulations 1995 (PPPR) for agricultural pesticides and the proposed
biocidal products regulations for non-agricultural products.
Authorisation requires rigorous environmental and human health risk assessment and
therefore imposes a relatively large burden on the industry. Apart from the very high costs
involved with preparing data to support a pesticide approval application, industry pays
around 8.5 million per year as its contribution to the cost of the pesticides regulatory
regime in the UK.
Within the UK, certain aspects of these policies, notably environmental protection, food
safety and health, are devolved to the Scottish Executive and the National Assembly for
Wales. However, given the international nature of trade in chemicals and many of the
regulatory regimes, central Government departments and the devolved administrations of
Scotland and Wales have co-operated to produce this Strategy concerning their manufacture
and use. Within devolved policy areas, both primary and secondary legislation may differ
between different parts of the UK, even where they are implementing the same EU
directives. It is the intent of this Strategy to cover the whole of the UK and therefore any
reference to the Government includes the devolved administrations, except where the UK
Government is acting in its wider international role.
Question 11.
The main goals of the Chemical Strategy are to ......
Multiple Choice (HP)
Answer 1:

Phase out chemicals identified as representing unacceptable risk to the

environment

Response 1:
Jump 1:

This page

Answer 2:

Continue reduction of risks presented by chemicals to the environment

and human health whilst maintaining competitiveness of industry

Response 2:
Jump 2:

This page

Answer 3:

Make full information publicly available about the environmental risks of

chemicals

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

6.3 Related Chemical Reviews.

Development of the Strategy has not been carried out in isolation. A number of agencies and
committees are looking at concerns about chemical safety in the UK, in Europe and globally.

The Government took these into account in preparing this Strategy, for example:

the European Commission initiated a review of legislation on chemicals;

in 1998, the European Environment Agency published Chemicals in the European
environment: low doses, high stakes which concluded that 'widespread exposure to
low doses of chemicals may be causing harm, possibly irreversibly';
the Swedish Chemicals Policy Committee published Towards a sustainable
chemicals policy in 1998 which concluded that by 2007 products on the market
should be free from persistent, bioaccumulating substances, lead, mercury, cadmium
and substances causing serious or irreversible effects on health or the environment;
and
the Environment Agency for England and Wales developed a new strategic approach
to chemicals in the environment which was published in 2001 and assisted in
targeting priorities through effective environmental regulation and pollution
prevention. This complemented this Strategy which focuses on production and use.

Causes for Concern

In recent years, there has been growing concern about the possible effects of man-made
chemicals on the environment and on human health through environmental exposure. Some
confidence can be gained from the fact that many chemicals have been used regularly over
time without causing gross effects. However, in some cases effects are subtle and damage
to the environment or to human health has only been discovered after large quantities of
chemicals have been released.
In practice, it is difficult to distinguish effects due to exposure to chemicals in the
environment from effects due to other causes. Generally exposures are low and the
organisms affected vary in susceptibility. Also, the effects may not appear for some time
after exposure has occurred, making it very difficult to identify their causes. It is easier to
identify persistent chemicals but it can take a long time to reverse the damage they cause. A
precautionary approach using cost-effective measures where there is a risk of serious or
irreversible harm, is needed.
Human health
This Strategy is concerned not only with the impact of chemicals on the environment but also
their potential effect on people who may be exposed via contamination of the environment.
There are several different environmental pathways through which people may be exposed,
including the air we breathe, the food we eat or the water we drink. There are particular
concerns about the exposure of breast-fed infants and young children to chemicals.
Chemicals can be assessed for their potential toxicity to humans using laboratory animal and
other tests. In a full assessment, a chemical will be tested for its potential to cause a wide
range of toxic effects, for example cancer, effects on reproduction and damage to various
organs and tissues. However, very few of the chemicals covered by this Strategy have been
subject to full assessment, and animal tests cannot always accurately predict subtle effects,
for example on human behaviour or on the immune system.
If a chemical is already in use, it is also possible to gain information about its effect on
human health by studying populations exposed to high levels of the chemical, for example
through work or following accidental exposure. All such information can be used in making
an assessment of the potential risk to humans exposed to low levels of a chemical through

the environment.
Environment
Similar concerns exist for the natural environment. Animals and plants in terrestrial and
aquatic systems may be at risk through direct exposure to chemicals. However indirect
effects can occur when organisms absorb chemicals at different trophic (nutritional) levels.
Effects on bacteria and fungi may interfere with important natural processes such as
biodegradation. Interference with one component may thus have severe consequences for
an entire ecosystem.
Chemicals which can persist for long periods give us particular concern. These may
accumulate both in the environment and in living organisms. They may give rise to chronic
effects which may not become apparent until long after the chemicals have been released.
6.4 Understanding Chemical Impacts.
Our understanding of some of the effects of chemicals is very poor. Scientists are
increasingly able to detect subtle changes in the biochemistry of organisms following
exposure to chemicals. However, in many cases we know little of the implications of these
changes and whether they are the precursors of more serious effects. Increasing analytical
capabilities have also allowed us to detect lower and lower concentrations of chemicals in
the environment. Although it is possible to measure these low levels, we do not know
whether there are consequences for wildlife and people who are exposed to them
We need more research to improve our understanding and to develop techniques to predict
with confidence the likelihood of serious consequences from exposure to chemicals.
The Government/Research Councils Initiative on Risk Assessment and Toxicology was
established to investigate whether recent scientific advances could be used to improve
chemical risk assessment methods. The work of the initiative is carried out by the
Interdepartmental Group on Health Risks from Chemicals. The Group has produced a
number of reports with recommendations for improving the risk assessment process. The
Group will use these to develop a research strategy which will be discussed with the
research community, Research Councils and other stakeholders, with a view to engaging
them in its implementation. The aim is to provide a focus, co-ordination and positive
encouragement for research.
Assessing Chemical Impacts
The first step in deciding whether it is necessary to control exposure to a chemical is to
assess its potential effects on human health and the environment. We need to assess
whether it is hazardous and whether its use entails risks for human health or the
environment. In this context the word 'hazardous' is used to describe a property that is
intrinsic to a substance. The word 'risk' relates to the likelihood of harm and therefore
depends on exposure, including the way the substance is used or is likely to reach the
environment. Hazard assessment is therefore a first step to an assessment of risk.
The first stage, then, is to establish the chemical's hazard profile by collecting data on
properties such as physico-chemical characteristics, acute and chronic toxicity,
bioaccumulation, persistence and mobility in environmental media. In many cases, this will
require laboratory testing. On occasion, the hazard profile may give rise to sufficient concern
to move immediately to consider risk reduction measures.

To understand the effects of chemicals, scientists normally carry out tests on surrogate
species. For example, rodents are used as representative of mammals, Daphnia as
representative of aquatic invertebrates and so on. Scientists generally focus on exposing
organisms to specific chemicals for relatively short periods of time. A range of exposures is
used with the aim of determining a level of exposure at which no (adverse) effects occur.
OECD and the EU have identified basic packages of tests which give the minimum
information necessary to understand the hazards of chemicals. Scientists generally use this
approach to minimise costs and to reduce the numbers of animals used.
In a survey carried out by the US Environmental Protection Agency in 1998, it was reported
that of 2,863 high production volume (HPV) chemicals, a complete basic package of
information was available for only 7% and no information was available for 43%.
Generally, the information available on chemicals in the scientific literature and from basic
packages of tests tends to focus on acute effects (although for positive approval regime
chemicals, the package of information required may include an examination of chronic
exposure). We know much less about effects of long-term low level exposure (eg see box
1.3). We must also develop an understanding of how mixtures of certain chemicals may
interact in the environment (see box 1.4). Because of the practical difficulties, the larger
numbers of experimental animals required and the high financial costs, there is little routine
long-term testing.
After hazard assessment, in the second stage of assessing risks, scientists collect and
evaluate information about exposure. There is rarely information available on actual
exposure, so scientists use information about manufacturing methods and uses to assess
the likely concentrations of the chemical to which humans and different parts of the
environment will be exposed. They may decide to institute a monitoring programme to collect
actual exposure data.
In the third stage of the assessment process, the hazard profile and the exposure
assessment are combined to characterise the risk. Uncertainty factors are built in to allow for
uncertainty in predictions of exposures and for differences in susceptibility of different
species. When assessing risks for humans, scientists include uncertainty factors to take
account of extrapolating information from tests in laboratory animals and for variation in the
human population.
Assessing a chemical's risks requires for expert scientific judgement, particularly when
scientific information is incomplete or there are problems of interpretation. For this reason,
risk assessments are often referred to independent advisory committees, staffed by medical
and scientific experts. In principle, this is a rigorous approach which recognises the need for
soundly-based scientific assessment on which to base risk management decisions.
Detailed risk assessments have been carried out on relatively few chemicals. In 1993, the
European Commission introduced the Existing Substances Regulation 793/93/EEC to rectify
this problem. This established a formal process for assessing and managing the risks from
existing chemicals. Some progress has been made on assessing the substances which EU
Member States identified as most likely to be a problem. However, the process has proved
to be resource-intensive and slow, and the first risk reduction recommendations have only
now reached formal agreement.
Box 1.3 : Endocrine disruption

There has been increasing concern in recent years about the potential of synthetic
chemicals to interfere with the natural regulation and functioning of the endocrine
(hormone) system. These chemicals could affect reproduction, behaviour and development
in both humans and wildlife. The scientific evidence surrounding possible chemical effects
on human health and wildlife and the role of chemicals in the environment is far from clear.
Endocrine-disrupting activity has been reported for a wide range of chemicals, generally
under experimental conditions. Some chemicals suspected of disrupting the endocrine
system occur naturally in plants (phytoestrogens). Others are industrial chemicals,
including certain pesticides, alkyl phenol ethoxylates, phthalate esters and some
organochlorine compounds. Several hundred chemicals are estimated to have the potential
to disrupt endocrine activity.
Action has already been taken to prohibit or restrict some of these chemicals (e.g.
tributyltin, DDT). Others are being assessed through the European Community Existing
Substances Regulation (for example nonylphenol, bisphenol A and various phthalates). As
these assessments progress and further scientific evidence becomes available, the
Government, together with its European partners, will evaluate whether we need further
bans and restrictions. In addition, DEFRA is sponsoring a study to identify the most
important chemicals with hormone-disrupting potential in the UK environment so that we
can tackle these as a priority.
At present, there is no internationally agreed strategy for identifying chemicals as hormone
disrupters. The Organisation for Economic Co-operation and Development (OECD) agrees
validated test methods at the international level and has recently agreed a test guideline for
detecting effects over several generations in mammals. Further efforts are currently
underway to develop and validate rapid tests and tests relevant to non-mammalian
species.

Box 1.4 : Mixtures

Information about the hazards of chemicals tends to concentrate on responses to single
chemicals. In practice, exposure is far more likely to be to mixtures of chemicals.
It is very difficult to predict the toxicity of mixtures. In some cases, toxicity will be dominated
by a particularly active component. In others, components may act additively, that is the
combined toxicity is the sum of the individual toxicities. Alternatively there may be
antagonistic effects, where the combined toxicity is less than the sum of the effects of the
individual chemicals. There is also the possibility of synergistic effects where the mixture's
toxicity will be greater than predicted from the toxicities of the individual components. For
example, carbon tetrachloride and ethanol are together more toxic to the liver than would
be expected from simply adding their toxicities together.
Where scientists do have toxicity data for mixtures, they take it into account in carrying out
risk assessments. However, such data is rare and difficult to collect, given the infinite
number of possible chemical combinations. Another approach is direct toxicity assessment
(DTA) which uses in-situ toxicity assessments to evaluate the effects of discharges
containing complex mixtures of chemicals. A DTA demonstration programme to help
monitor and control the release of toxic waste to water supplies is currently underway. This
multi-stakeholder research initiative, involving the Environment Agency, Scottish
Environment Protection Agency, Northern Ireland Environment and Heritage Service and

UK manufacturing industries, is evaluating the effectiveness of a draft protocol for the use
of DTA in assessing the significance of chemical mixtures released to the environment.
6.5 Chemical Characteristics.
Chemical characteristics which can be used to predict the likelihood of environmental
damage.
As we have seen, there are considerable difficulties in assessing the risks that chemicals
pose to the environment and to human health through environmental exposure. However
there are a number of chemical characteristics which we can use in the short term to predict
when environmental damage is likely to occur. These are:

a tendency to persist in the environment;

a tendency to bioaccumulate; and
toxicity to people or to other organisms in the environment.

Persistence and bioaccumulation are not infallible markers. However, they may be used as a
proxy for exposure, indicating when levels of a chemical are likely to build up in the
environment and how difficult it will be to return concentrations to background levels if we
discover problems.
We need to be careful about taking such factors into account. Polychlorinated biphenyls
(PCBs) were once considered valuable precisely because of their persistence and perceived
inertness. Only after thousands of tons had been released into the environment did scientists
discover that they are also bioaccumulative and toxic. Some people have raised concerns
about brominated flame retardants because of their persistence and possible toxicity.
However, these compounds are very effective flame retardants and valuable to society (box
1.5).
Box 1.5 : Brominated flame retardants
Flame retardants work by suppressing or at least delaying the ignition and spread of fire.
They have to be stable to extreme heat and some are persistent. This has raised concerns
that they may present unacceptable risks to human health and the environment. Trace
quantities of certain compounds have been found in samples from remote areas,
suggesting that some flame retardants may also have the potential for global distribution.
The three commercially available brominated flame retardants are octa-, deca-, and pentabromodiphenyl ether. These have been prioritised for environmental and human health risk
assessment under the European Community's Existing Substances Regulation
793/93/EEC. Emerging conclusions indicate that there may be some cause for concern for
the environment arising from their use. DEFRA is therefore commissioning early risk
management studies.
We know that flame retardants bring many benefits to society and save many human lives
by preventing fires. However, the paradox is that their widespread use may also put people
and the environment at risk. We will need to make sure that if we propose further controls,
adequate alternative materials are available and that restrictions do not increase risks from
fire.
Persistence
Many chemicals degrade rapidly in the environment, becoming harmless. Others either

persist unchanged for long periods of time or degrade into other persistent substances. The
persistent chemicals that are also potentially harmful present a greater threat than those
which degrade rapidly. This is because their persistence allows opportunity for long-term
exposure and wide dispersal and their potential for harm remains.
Persistence alone is not sufficient reason to cause concern about a chemical. Some
chemicals are inert, such as silicon dioxide (sand). Others, such as components of paints
and plastics, are valuable because of their persistence; society relies on them for durable
products.
Persistence is useful in evaluating the potential threat from chemicals that also show other
adverse properties, and can be determined using relatively uncomplicated and inexpensive
tests, which do not involve animals.
Bioaccumulation
Some chemicals also accumulate in plants and animals. We may not be able to readily
detect their toxic effects at the concentrations found in environmental media (air, water, soil).
However, bioaccumulative chemicals may reach levels in plants and animals which are toxic
to the individual organism or may be passed through the food chain reaching higher,
possibly toxic, concentrations in top predators, including humans. Persistence can be a
valuable quality of some chemicals but there are few reasons for designing synthetic
chemicals to be bioaccumulative. However, many chemicals which are found naturally do
bioaccumulate and are vital for life, including many vitamins and minerals.
To measure bioaccumulation rigorously, we need sophisticated tests involving animals.
However, for basic risk assessments we can get an adequate indication of bioaccumulation
potential from physical and chemical properties, thus avoiding the need for animal testing.
Toxicity
In the environment acute toxic effects, or effects exhibited by degradable chemicals, are
likely to be localised, and these are likely to be easier to control and reverse. The effects of
chronic exposure are often more difficult to determine because they can appear a long time
afterwards, perhaps in a different place. Where pollutants are persistent and/or
bioaccumulate there is an increased likelihood of chronic exposure and subsequent effects.
At present, most toxicity testing is conducted using animals, as they provide the best means
to predict the potential toxicity of a chemical in humans or wildlife. These tests are expensive
and conducting and interpreting them accurately requires considerable skill. For screening
purposes, it may therefore sometimes be necessary to take decisions on groups of related
chemicals based on information from one or two members of the group. Scientists need to
be very cautious in using this approach as some members of the group may exhibit a form of
toxicity not seen in others. For example, certain phthalates are suspected of being endocrine
disrupters (box 1.3) whereas others do not seem to act in this way.
6.6 The Need for a Holistic Approach.
This Strategy does not extend to the health and safety of people at work, which is covered
by extensive legislation. Nevertheless, the highest human exposure to chemicals often
occurs during their manufacture or commercial use.
When controls on chemicals are proposed, it is particularly important that impacts on the

environment and on health and safety are considered in tandem.

It is worth remembering that risks in the workplace and to consumers can be of a different
kind from those in the wider environment, for example, in the workplace people may face
increased fire hazards due to the presence of flammable substances or exposure to dusts.
It is also important that when restrictions on a chemical are considered, the potential impact
of substitutes on the environment and on human health are taken into account.
Question 12.
Chemical characteristics which can be used in the short term to predict when environmental
damage is likely to occur include......
Multiple Choice (HP)
Answer 1:

Tendency to bioaccumulate

Response 1:
Jump 1:

This page

Answer 2:

Toxicity to people and other organisms in the environment

Response 2:
Jump 2:

This page

Answer 3:

Tendency to persist in the environment

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

6.7 Summary.
In the sections above, the major concerns with current approaches for identifying, assessing
and managing the risks from chemicals in the environment have been identified. These can
be summarised as:

a lack of the most basic information about chemicals entering the environment, even
those entering it in high volumes;
a lack of even a basic understanding of the risks they may pose; and
a need to improve our understanding of the effects of chemicals through more
research.

As well as increasing the number of tests and assessments carried out, there is a need to
move more quickly towards identifying chemicals which are likely to cause serious or
irreversible damage to the environment and human health. Given the problems in
demonstrating toxicity, high production volume chemicals which are both persistent and
bioaccumulative are a serious concern even when toxicity has not been proven.
7.0 The Role of Non Government Oganisations.
Friends of the Earth
Friends of the Earth is an international network of environmental organisations in 70
countries.

It is structured as a confederation, each member organisation being autonomous. In turn, the

national groups are composed of grassroots local groups working in their own areas.

The groups which make up Friends of the Earth conduct their own campaigns and coordinate their activities through the umbrella body Friends of the Earth International (FOEI).
Campaign Issues
Friends of the Earth considers environmental issues in their social, political and human rights
contexts. Their campaigns stretch beyond the traditional arena of the conservation
movement and seek to address the economic and development aspects of sustainability.
Originally based largely in North America and Europe, its membership is now heavily
weighted toward groups in the developing world.
The current campaign priorities of Friends of the Earth internationally are:

climate change;
corporates and Corporate Accountability;
GMOs;
forests;
Public Finance which addresses international financial institutions, such as the IMF,
the World Bank, and export credit agencies;
trade and its impacts on environment and sustainability.

The campaign priorities are set at the bi-annual general meeting of Friends of the Earth
International.

Anthony Steen supports Friends of the Earth's Big Ask campaign - 24th June 2006

Anthony Steen MP met Stephen Mosbacher, Co-ordinator of South Hams Friends of the

Earth, who gave him postcards from his constituents, making a total of 450 cards he will
have received, asking him to give his support to the Big Ask Climate Change Bill.
The Big Ask is a proposed bill that asks for 3% year-on-year cuts in CO2 emissions to bring
the UK in line with its Kyoto targets.
Its implementation would have a significant effect on climate change and have far reaching
implications on all areas of life, from housing, recycling and transport to planning, trade and
agriculture.
Anthony Steen said
Climate change is one of the most pressing political issues of our time, and action will be
needed on every level from the individual to the global - if we are to seriously address it
and cut greenhouse gas emissions.
I wholeheartedly support the objectives of the Big Ask Climate Change Bill in calling for
legislation to achieve annual cuts in carbon dioxide emissions of 3 per cent with regular
reporting to Parliament and better scrutiny and corrective processes. This is a practical and
achievable measure that will help reduce our CO2 emissions, which have been rising over
recent years.
David Cameron expressed his support for compulsory action in the form of targets to cut
emissions seven months ago.
The Government now has the opportunity to put forward such a Bill and I will be calling on
them to do just that when they announce in November their agenda for the new
Parliamentary session.
In 2008, the Climate Change Act came into force, as a result - in part - of the Big Ask
campaign.

In addition to the priority campaign areas, Friends of the Earth International has a number of
other campaign areas which are active internationally. They include:

desertification;
Antarctica;
water;
maritime;
mining and extractive industries;
no to nuclear power.

All FoE International campaigns incorporate elements of three core themes which are:

protecting human & environmental rights;

protecting the planet's disappearing biodiversity;
the repayment of ecological debt owed by rich countries to those they have exploited.

7.1 Friends of the Earth Groups.

The Friends of the Earth organisations in each country are themselves many-tiered
networks, reaching from grassroots activists up to the national pressure group which

campaigns for environmentally progressive and sustainable policies. The groups - and
activists at all levels - also carry out educational and research activities.
Friends of the Earth groups are required to act independently of party political, religious or
other influences; be open, democratic and non-discrimatory in their internal structures; and
be willing to cooperate with other organisations who are working for the same goals. These
are conditions of remaining a member of FOEI.
The national groups work on the main issues affecting their own country and choose to
participate in the international campaigns of FOEI which are relevant to them. In turn, the
local (grassroots) campaigners can work on local, national and/or international campaigns.
Question 13.
Campaign issues or priorities of the Friends of the Earth include......
Multiple Choice (HP)
Answer 1:

Genetically modified Organisms

Response 1:
Jump 1:

This page

Answer 2:

Corporate accountability

Response 2:
Jump 2:

This page

Answer 3:

Climate change

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

7.2 Structure of the Network.

The member organisation in a particular country may name itself Friends of the Earth or an
equivalent translated phrase in the national language, e.g., Friends of the Earth (US),
Friends of the Earth (EWNI) (England Wales and Northern Ireland), Amigos de la Tierra
Argentina.
However, roughly half of the member groups work under their own names, sometimes
reflecting an independent origin and subsequent accession to the network, such as ERA
(FOE Nigeria) and WALHI (FOE Indonesia).
Friends of the Earth International (FoEI) is supported by a secretariat based in Amsterdam,
and an executive committee known as ExCom. The ExCom is elected by all member groups
at a general meeting held every two years and it is the ExCom which employs the
secretariat. At the same general meeting, overall policies and priority activities are agreed.
In addition to work which is co-ordinated at the FoEI level, national member groups are free
to carry out their own campaigns and to work bi- or multi-laterally as they see fit, as long as
this does not go against agreed policy at the international level.
7.3 History.
In 1969, the Executive Director of the US Sierra Club resigned out of frustration that the

organisation neglected to tackle nuclear issues, or even to work internationally. This man
was called David Brower, and he explained:
"Realising it was time to stop working toward a moon-like earth, I started a new organisation.
We fished around for a name, and came up with Friends of the Earth. It was essential that it
be international in scope. With meetings in London, Paris and Stockholm, we were able to
convince environmental people in three more countries to let the FoE idea migrate. Other
countries now in the FoE network were courted, or courted us, and in no time the sun was
rising somewhere on a FoE group. We made it a point not to be clearly organized or directed
by some old tired formula from the top. Find good people with the right ideas and let them
move ahead their way."
So-called 'environmental people' from France, Great Britain, Sweden and the United States
founded FoEI in Roslagen, Sweden in 1971. Early meetings resulted in a unanimous
decision to oppose nuclear power on the global level. In subsequent years, FoEI advanced
to the forefront of the anti-nuclear movement, and thanks to the expertise of energy guru
Amory Lovins became known for groundbreaking work on energy alternatives. The
Chernobyl incident in 1986 increased the number of FoE groups strenuously opposing
nuclear energy.
Throughout the 1970s, FoEI gathered allies in many countries and created a strong and
critical presence in various international environmental negotiations. FoEI's unique position
on whaling, for example, which urged the protection of whale species without the destruction
of traditional human livelihoods, enjoyed a rare success after a decade of campaigning with
the International Whaling Commission's 1982 moratorium on commercial whaling.
Although international, Friends of the Earth remained predominantly northern in membership
until strong groups from Asia, Latin America and Africa joined in the 1980s. The southern
perspective deepened and broadened FoEI's analysis and activities. Tropical rainforests
became a central issue with the launching of a FoEI rainforest campaign in 1985, and FoE
groups worked together with indigenous peoples to draw attention to the plight of the world's
tropical forest dwellers and their habitats. Another global initiative of the 1980s was the
founding of the Pesticide Action Network (PAN) in 1982 by FoE groups in Malaysia, Brazil
and the United States.
FoEI's first Eastern European member was Poland's Polski Klub Ekologiczny which joined in
1985; FoE Estonia, the first independent Soviet association ever to become a member of an
international environmental organisation joined three years later. Pan-European action on
issues ranging from acid rain and air pollution to packaging and biotechnology intensified.
Two influential European organisations were also initiated during this period: the Brusselsbased FoE Europe in 1985, the first regional FoE coordination; and Milieukontakt OostEuropa in 1987, started by FoEI and the World Information Service on Energy (WISE) in
order to facilitate East-West cooperation on environmental problems.
In the 1990s, parallel to the emergence of ever more global social and environmental
problems, the federation has embraced a rapidly increasing number of member groups and
older groups have become stronger. FoE groups must conform to specific membership
criteria, and members regularly assess themselves in light of these requirements. With a
total of 68 member groups worldwide in 2002, FoEI has at last become a global force for
environmental and social change.
At the 1992 Earth Summit in Rio de Janeiro, a vocal mosaic of FoE groups critiqued the
business-as-usual approach of governments and corporations attending the meeting. FoE
Netherlands also used Rio as the stage to introduce its groundbreaking Action Plan for a

Sustainable Netherlands, a first step in the popularisation of the concepts of 'environmental

space' and equity. Sustainable Netherlands has since given birth to the Towards Sustainable
Europe Campaign and the North-South Project - both of which fall under the umbrella of
FoEI's Sustainable Societies Programme.
Campaigns and projects are often frustrated by lack of funding, and the Secretariat has
survived several lean seasons. FoE member organisations suffer in varying degrees from
insufficient infrastructure, lack of staff, and crippling workloads. Differing analyses and
strategies can result in divisive or deadlocked discussions and necessary bureaucratic
business can consume valuable time during international meetings. The lack of clear
progress in many campaign areas, and the simultaneous proliferation of environmental
damage and social misery can dishearten and demotivate activists.
7.4 Greenpeace.

Greenpeace is an international environmental organisation founded in Vancouver, British

Columbia, Canada in 1971.
It is known for its campaigns to stop atmospheric and underground nuclear testing and
campaigning against whaling.
In later years, the focus of the organisation turned to other environmental issues, including
bottom trawling, global warming, ancient forest destruction, nuclear power and genetic
engineering.
Greenpeace has national and regional offices in 41 countries worldwide, all of which are
affiliated to the Amsterdam-based Greenpeace International.
The global organisation receives its income through the individual contributions of an
estimated 2.8 million financial supporters, as well as from grants from charitable foundations,
but does not accept funding from governments or corporations.
Mission Statement
Greenpeace's official mission statement describes the organisation and its aims thus:
Greenpeace is an independent, campaigning organisation which uses non-violent, creative
confrontation to expose global environmental problems and to force solutions for a green
and peaceful future. Greenpeace's goal is to ensure the ability of the earth to nurture life in
all its diversity.
Structure
Greenpeace is a global environmental organisation, consisting of Greenpeace International
(Stichting Greenpeace Council) in Amsterdam, and 27 national and regional offices around
the world.
These national and regional offices are largely autonomous in carrying out jointly-agreed
global campaign strategies within the local context and in seeking the necessary financial

support from donors to fund this work.

National and regional offices support a network of volunteer-run local groups. Local groups
participate in campaigns in their area and mobilise for larger protests and activities
elsewhere.
Millions of supporters who are not organised into local groups support Greenpeace by
making financial donations and participating in campaigns as citizens and consumers.

Greenpeace's national offices.

7.5 National & Regional Offices.
Greenpeace is present in the following countries and regions, as of March 2007:

Argentina,
Australia,
Fiji,
Papua New-Guinea,
Solomon Islands,
Belgium,
Brazil,
Canada,
Chile,
China,
Czech Republic,
France,
Germany,
Denmark,
Finland,
Norway,
Sweden,
Greece,
Austria,
Hungary,
Slovak Republic,
Poland,
Romania,
Bulgaria,
Slovenia,
Serbia,
Montenegro,
Bosnia,
India,

Italy,
Japan,
Luxembourg,
Israel,
Cyprus,
Lebanon,
Malta,
Tunisia,
Turkey,
Mexico,
The Netherlands,
Aotearoa New Zealand,
Russia,
Philippines,
Indonesia,
Thailand,
Spain,
Switzerland,
United Kingdom,
the United States.

Priorities & Campaigns

Greenpeace runs campaigns and projects which fit into the "Issues" (as campaign areas are
called within Greenpeace) categories below. Besides exposing problems such as overfishing or threats linked to nuclear energy such as harmful radiation and proliferation,
Greenpeace campaigns for alternative solutions such as marine reserves and renewable
energy.
The organisation currently addresses many environmental issues with a primary focus on
efforts to stop global warming and the preservation of the world's oceans and ancient
forests. In addition to conventional environmental organisation methods, such as lobbying
businesses and politicians, and participating in international conferences, Greenpeace uses
non-violent direct action in many of its campaigns.
Greenpeace uses direct action to attract attention to particular environmental problems. For
example, activists place themselves between the whaler's harpoon and their prey, or invade
nuclear facilities dressed as barrels of radioactive waste. Other initiatives include the
development of a fuel-efficient car, the SmILE.

7.6 Current Priorities.

Below is a list of Greenpeace's current priorities:

Stopping catastrophic climate change (global warming).

Preserving the oceans (including stopping whaling).
Saving ancient forests.
Peace and nuclear disarmament.
Promoting sustainable agriculture (and opposing genetic engineering).
Eliminating toxic chemicals.

7.7 History.
The origins of Greenpeace lie in the formation of the Don't Make A Wave Committee by an
assortment of Canadian and American activists in Vancouver in 1970.
Taking its name from a slogan used during protests against United States nuclear testing in
late 1969, the Committee came together with the objective of stopping a U.S. nuclear bomb
test beneath the Aleutian island of Amchitka, Alaska.
The first ship expedition was called the Greenpeace I; the second expedition was nicknamed
Greenpeace Too!.
The test was not prevented, but the creation of the committee laid the groundwork for
Greenpeace's later activities.

Picture Greenpeace protest in Braslia, Brazil.

Bill Darnell has received the credit for combining the words "green" and "peace", thereby
giving the organisation its future name.
On 4th May 1972, following Dorothy Stowe's departure from the chairmanship of the Don't
Make A Wave Committee, the fledgling environmental group officially changed its name to
the "Greenpeace Foundation".
By the late 1970s, spurred by the way in which images of confrontation on the high seas
converted complex issues into considerably more media-friendly 'David versus Goliath'-style
narratives, more than 20 groups across North America, Europe, New Zealand and Australia
had adopted the name "Greenpeace".
In 1979, however, the original Vancouver-based Greenpeace Foundation encountered
financial difficulties, and disputes between offices over fund-raising and organisational
direction split the global movement. David McTaggart lobbied the Canadian Greenpeace
Foundation to accept a new structure which would bring the scattered Greenpeace offices
under the auspices of a single global organisation, and on October 14th 1979, Greenpeace
International came into existence. Under the new structure, the local offices would contribute
a percentage of their income to the international organisation, which would take
responsibility for setting the overall direction of the movement.
Greenpeace's transformation from a loose international network to a global organisation
enabled it to apply the full force of its resources to a small number of environmental issues
deemed of global significanc. McTaggart summed up his approach in a 1994 memo: "No
campaign should be begun without clear goals; no campaign should be begun unless there
is a possibility that it can be won; no campaign should be begun unless you intend to finish it
off". McTaggart's own assessment of what could and couldn't be won and how, frequently
caused controversy.
In re-shaping Greenpeace as a centrally co-ordinated, hierarchical organisation, McTaggart
went against the anti-authoritarian ethos that prevailed in other environmental organisations
that came of age in the 1970s. While this pragmatic structure granted Greenpeace the
persistence and narrow focus necessary to match forces with government and industry, it
would lead to the recurrent criticism that Greenpeace had adopted the same methods of
governance as its chief foes the multinational corporations.
For smaller actions, and continuous local promotion and activism, Greenpeace has networks
of active supporters that co-ordinate their efforts through national offices. The United
Kingdom has some 6,000 Greenpeace activists.
7.8 Greenpeace Ships.

Since Greenpeace was founded, seagoing ships have

played a vital role in its campaigns.
In 1978, Greenpeace launched the original Rainbow
Warrior, a 40-metre, former fishing trawler named for the
Cree legend that inspired early activist Robert Hunter on
the first voyage to Amchitka. Greenpeace purchased the
Rainbow Warrior (originally launched as the Sir William
Hardy in 1955) at a cost of 40,000 and volunteers
restored and refitted her over a period of four months.
First deployed to disrupt the hunt of the Icelandic whaling
fleet, the Rainbow Warrior would quickly become a
mainstay of Greenpeace campaigns. Between 1978 and
1985, crew members also engaged in non-violent direct
action against the ocean-dumping of toxic and radioactive
waste, the Grey Seal hunt in Orkney and nuclear testing in
the Pacific.
Japan's Fisheries Agency has labeled Greenpeace ships as "anti-whaling vessels" and
"environmental terrorists".
In 1985, the Rainbow Warrior entered into the waters surrounding Moruroa atoll, site of
French nuclear testing. The French foreign intelligence services secretly bombed the ship in
a New Zealand harbour on orders from President Franois Mitterrand himself, killing Dutch
freelance photographer Fernando Pereira, who thought it was safe to enter the boat to get
his photographic material after a first small explosion, but drowned as a result of a second,
larger explosion. The attack was a public relations disaster for France, which had initially and
disingenuously condemned the bombing, after it was quickly exposed by the New Zealand
police. Two French agents, Dominique Prieur and Alain Mafart were arrested. They were
soon freed after France threatened to organise an EU boycott of New Zealand's exports. As
a result of this, the French Government agreed to pay New Zealand compensation of NZ$13
million and formally apologised for the bombing. The French Government also paid 2.3
million French Francs compensation to Pereira's family.
In 1989, Greenpeace commissioned a replacement vessel, also named the Rainbow
Warrior, which remains in service today as the flagship of the Greenpeace fleet.
In 1996, the Greenpeace vessel MV Sirius was detained by Dutch police while protesting the
import of genetically modified soybeans due to the violation of a temporary sailing
prohibition, which was implemented because the Sirius prevented their unloading. The ship,
but not the captain, was released a half hour later.
In 2005, the Rainbow Warrior II ran aground on and damaged the Tubbataha Reef in the
Philippines, while she was on a mission to monitor coral bleaching. Greenpeace was fined
$7,000 USD for damaging the reef and agreed to pay the fine, although they said that the
Philippines government had given them outdated charts.
The MV Arctic Sunrise and the MV Esperanza are in service with Greenpeace today.
7.9 Other Organisations Within the United Kingdom.
Other organisations within the United Kingdom that may of interest to you are listed
below as hyperlinks to their websites.

The United Kingdom

The Wildlife Trusts

Association for Environment Conscious Building

England

English Heritage
Natural England
Environment Agency (England & Wales)

Scotland

Historic Scotland
Scottish Natural Heritage
Scottish Environment Protection Agency

Wales

Countryside Council for Wales

Cadw

Northern Ireland

Environment and Heritage Service

Please be advised that the course material is regularly reviewed and updated on the
elearning platform. SHEilds would like to inform students downloading these printable notes
and using these from which to study that we cannot ensure the accuracy subsequent to the
date of printing. It is therefore important to access the elearning environment regularly to
ensure we can track your progress and to ensure you have the most up to date materials.
Version 1.1c

Element 8 - Civil Liability in relation to Environmental Pollution.

Overall aims
On completion of this unit, candidates will have knowledge and understanding of:

the torts of negligence, trespass and nuisance as they apply to environmental

pollution;
the rule of 'Rylands v Fletcher'.

Specific intended learning outcomes

The intended learning outcomes are that candidates will be able to:

identify the duties owed in common law by organisations and occupiers of land in
respect of environmental pollution;

advise on the strengths and weaknesses of a civil action founded on negligence,

breach of statutory duty, trespass, nuisance or 'Rylands v Fletcher'.

Hours of tuition and private study

5 hours of tuition
3 hours private study
1.1 Civil Liability.
In contrast to criminal liability, civil liability refers to the penalty that can be imposed by a
civil court and differs in a number of ways.
A civil action generally involves individuals - a claimant suing a defendant for a remedy or
remedies. In most cases, the remedy takes the form of damages, a form of financial
compensation. In addition, a civil case must be proved on the balance of probabilities,
which is a lesser standard than that of beyond reasonable doubt required in a criminal
case.
The civil courts are the County Court and the High Court and much of their work is
concerned with claims for injuries sustained at work, which may be dealt with by these courts
or even settled out of court.
In environmental terms, claims are for damages sustained as the result of anothers actions,
rather than injuries to the person.
1.2 Torts of Negligence.
Torts of Negligence, breach of Statutory Duty, Trespass and Nuisance
Definitions
A tort in English law is a civil wrong, a breach of civil duty imposed by law. Both statute
and common law create torts. Torts can be acts or omissions. The equivalent in Scotland is
known as a delict (defined as an offence of lesser degree or a misdemeanour). Examples
of torts are defamation, nuisance and trespass. Although the most important area for health
and safety purposes is the tort of negligence, in matters of the environment, it is the tort of

nuisance which is most commonly encountered.

Actions in tort cannot usually be made more than six years after the occurrence of the
polluting incident (Limitation Act 1980, Section 2).
A tortfeasor is a wrongdoer, a person who has committed a tort. Where there is more than
one tortfeasor, they are known as joint tortfeasors. There are three cases in which a person
may suffer damages as a result of the action of two or more joint tortfeasors:
1. Cases where there is the same damage caused by two or more tortfeasors acting with
joint intent. The tortfeasors are jointly liable and may be sued jointly or separately. The
liability is said to be joint or several.
2. As above, but the tortfeasors are acting separately. The separate tortfeasors are each
liable for the full damages.
3. Different damage caused by two or more tortfeasors who are not acting jointly. The
tortfeasors are known as separate and independent tortfeasors and would be sued
separately.
Damages means compensation for loss suffered owing to a breach of a contract, or tort due
to the negligence of some other person, the principle being that the environment should be
restored to as close as possible to the same position that it was in before the incident
occurred.
There are many torts, for example:

Nuisance.
Trespass to persons, goods or land.
Defamation.
Negligence.
Breach of statutory duty.

1.3 Civil Law.

Common Law
Common law originates from judicial decisions based on custom and practice. The principle
on which a former decision was made is thus binding on all subsequent cases of a similar
nature. The advantage of this system of law is that decisions are based on practical
experience. The disadvantage is that, until a case comes before a judge, the law is
uncertain.
Note: Statute Law, for example the Occupier's Liability Acts, can also be a source of Civil
Law.
Nature and Development
The term common law means the body of accumulated case law, which is based on the
decisions of the courts over many years. It is sometimes called judge-made law. Case law
is founded on the doctrine of judicial precedent, i.e. previous decisions made by judges have
a certain authority in the legal system. Its principles and doctrines are recorded in the
various Law Reports, an example of which is the All England Reports (All ER). It is a self-

endorsing process which is perpetuated by previous binding cases and also by the
interpretation of legislation.
Each judgment (which comprises a speech) contains the judges enunciation of the facts and
will include the following important features:
Ratio Decidendi The Reason for The Decision
A statement of law based on an examination of the facts and the legal issues surrounding
them. This is the most important part of a judgment and contains the actual binding
precedent.
Obiter Dicta Words Said By The Way
These may contain a statement about the law which is not based on the facts of the case
under review and which will not therefore be part of the decision. This is often held to be of
persuasive authority.
The doctrine of precedent requires an inferior court to follow the judgment of a higher court
and ensures consistent application of the law.
Purpose of Civil Action
A civil action is between individuals, with one party initiating proceedings against another.
The aim is for the claimant (formerly the plaintiff) to seek restitution for a wrongdoing from
the defendant.
Types of Remedy
The remedy sought may be financial compensation (damages), to put the environment in
the position it was before the wrongful act. Damages will cover pecuniary and non-pecuniary
loss. Or an injunction (court order), to prevent the defendant perpetrating the wrongdoing
(i.e. an injunction to prevent nuisance arising from noise) or abatement.
1.4 The Difference Between Criminal & Civil Cases.
Criminal and civil law differ in two important areas.
Criminal law is concerned with offences or crimes against the state.
Civil law is concerned with the rights and duties of individuals towards each other.
Most criminal cases (in England and Wales ) start in a Magistrates Court, where minor
cases are dealt with and more serious cases are referred to the Crown Court.
Minor civil cases are heard in the County Court, while those seeking more extensive
damages (i.e. compensation) are dealt with in the High Court.
The burden of proving a criminal charge is on the prosecution and it must be proved
beyond reasonable doubt that a person committed an offence. This means the judge, jury
or magistrates must be sure that the case is proven.
A civil case must be proved on the balance of probabilities, which is a lower degree of proof

than the criminal requirement of beyond reasonable doubt.

Criminal and Civil Liability
Starting with criminal liability, we shall consider the meanings of the terms absolute,
practicable and reasonably practicable.

Criminal Liability
We have established that criminal liability is concerned with the responsibilities of persons
under statutes and common law, and the penalties that can be imposed by the criminal
courts.
A crime, or a breach of criminal law, is thus an offence against the state and the burden of
proving a criminal charge beyond reasonable doubt rests with the prosecution.
If a person is found guilty, a court will impose some form of punishment, such as a fine or
imprisonment, or both.
Cases are heard in Magistrates Courts, or in Crown Courts (England and Wales) where the
more serious cases are heard before a judge and jury.
A criminal law offence usually requires the prosecution to prove guilty intent, as well as the
act or omission. This is not the case with most environmental and health and safety
offences, where the only requirement is to prove the defendant committed the act or
omission. The three distinct levels of duty are absolute, practicable and reasonably
practicable. These levels constitute a hierarchy as follows:
Absolute requirements, where the duty is qualified by shall or must, without any other
word or phrase to lower the standard.
Practicable requirements imply that if, in the light of current knowledge and invention,
it is feasible to comply with these requirements, irrespective of cost or sacrifice, then such
requirements must be complied with.
Practicable means more than physically possible and implies a higher duty of care than a
duty qualified by so far as is reasonably practicable. With a practicable requirement, if
something is technically possible, it should be done.
Reasonably practicable requirements imply a lower or lesser level of duty.
Reasonably practicable is a narrower term than physically possible, and implies that a
computation must be made in which the quantum of risk is placed on one side of the scale,
and the sacrifice involved in carrying out the measures necessary for averting the risk is
placed on the other side.
Question 1.
Civil claims are dealt with in which courts?
Multiple Choice (HP)
Answer 1:

High Court

Response 1:
Jump 1:

This page

Answer 2:

County Court

Response 2:
Jump 2:

This page

Answer 3:

All of the above

Response 3:
Jump 3:

Next page

Question 2.
Civil law is concerned with offences against the state.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:
Jump 2:

Next page

2.0 Nuisances.
A nuisance is a misuse of property to the substantial detriment of neighbouring users of land.
The concept of a nuisance has a long pedigree in English Common Law.
In St Helens Smelting v Tipping (1865) 11 HLC 642, Tipping bought an estate of 1300 acres
near a copper smelting works. The vapour from the works damaged his trees and crops and
Tipping brought an action. The House or Lords held that every person is bound to use land
so as not to injure other people.
In this case, Lord Westbury made the point that especially where one is dealing with
discomfort rather than property damage, what amounts to misuse of property is a matter of
degree and varies according to both use and locality. It follows from this that what amounts
to nuisance in one place is not necessarily a nuisance in another.
However, where physical damage results, liability in nuisance would seem to follow providing
that damage is foreseeable without any enquiry as to reasonableness subject perhaps to
the principles of de minimis (a level of risk that is too small to be concerned with).
In other instances, it will be a question of what is excessive in the particular circumstances.
Thus in Stern v Prentiss [1919] 1 KB 394 a farmer put down bone meal as manure and it
attracted rats. A neighbouring farmer had his crops eaten by the rats. It was held that there
was no liability, as putting down bone meal was not an excessive use of farming land. This
situation is not entirely satisfactory as the Court is being asked to make an individual
evaluation in each case before it.
2.1 Public Nuisance.
Public nuisances consist of misuses or interferences that might affect the exercise of public
rights or the health, safety and convenience of a substantial number of people.
Any claimant wishing to pursue an action in tort must show damage over and above that

suffered by the public at large. Otherwise, the remedy for public nuisance is an injunction, at
the instance of the Attorney General by means of a relator action.
Thus, the question arises as to what might be considered by the Attorney General as a
sufficiently substantial number of people to justify action.
In Attorney General v PYA Quarries [1957] 2 QB 169, an action was brought by the Attorney
General for an injunction against the quarry owners to stop blasting which was causing
nuisance by means of dust, noise and vibration especially in still, dry weather conditions.
The quarry owners appealed on the ground that their activities constituted a private and not
a public nuisance. The appeal was dismissed on the basis that any nuisance is public which
materially affects the reasonable comfort of the life of a dozen of Her Majestys subjects.
It should be noted that, although a nuisance may constitute a public nuisance, anyone
whose enjoyment of land is affected is able take private action also. An example of this is
Rose v Miles [1815] 4 M&S 101 in which damages were recovered for the obstruction of a
riparian passage. Thus nuisances can be both public and private.
In Halsey v Esso Petroleum [1961] 1 WLR 683 the claimant lived on a residential estate
adjoining an oil distribution depot which was one of a number of units on an industrial estate.
There were a series of nuisances: day and night noise from pumps and boilers causing
windows to vibrate; noise from lorries passing to and from the depot; noxious fumes; and
acid smuts landing on washing and cars. The claimant brought an action in respect of all
nuisances and it was held:
(1) that the noise of lorries passing to and from the depot and the smell was sufficient in
degree to amount to a private nuisance;
(2) that damages could be recovered in respect in respect of the physical injury which smuts
had caused to property such as cars and washing Rylands v Fletcher and in private
nuisance;
(3) the damage relating to the highway (the cars parked on it and the lorries passing along it)
amounted to a public nuisance.
One question which may arise in both public and private nuisance is the extent to which any
grant of planning permission may authorise the nuisance.
In Gillingham BC v Medway (Chatham) Dock Co [1992] 3 WLR 449, the question arose as to
whether - if planning permission had authorised an activity (in this case noise and
disturbance by lorries) - it could be said nonetheless to amount to a public nuisance.
In the case, the local authority, seeking to restrict by injunction the use of local roads at
certain times of the day, had itself granted planning permission to the ports operation. The
planning committee had considered the disruption likely to be caused to the residents at the
time of granting the permission, but had thought that this might prove a necessary price to
pay for the economic benefit of the port. Not so surprisingly against this background, the
injunction was refused.
However, rather than state that the permission authorised the nuisance, it is more accurate
to state that the permission had itself changed the character of the neighbourhood thereby
shifting perceptions of reasonable use. It will require, in most instances, a significant
development to change the nature of a location in this way (see Wheeler v Saunders [1996]

Ch 19).
The nuisance does not have to be constant. A periodic nuisance will suffice and a person
may be liable not only if they themselves cause a nuisance, but if they adopt a nuisance.
In Attorney General v Tod-Heatley [1897] 1 Ch 560, the defendant owned a stretch of land
which was not in use and people dumped rubbish on it by throwing it over a hoarding. Since
this included dead dogs and cats, vegetable refuse, fish, offal, rubbish and all kinds of filth
it constituted a health hazard and an injunction was granted to prevent further dumping.
2.2 Private Nuisance.
Private nuisance consists of a substantial interference by unlawful means to another
persons rights of use or of enjoyment of real property (land).
Essential Elements
There are certain essential elements of nuisance at common law. In order to find nuisance,
the court will require evidence that an unlawful act caused damaged or interfered with some
form of property right. Without this, there can be no right of action, but nor is this sufficient in
itself. The mere fact that an act causes loss to another will not constitute nuisance, if that act
was itself perfectly lawful.
An unlawful act is an essential pre-requisite of nuisance. Having said that, difficulties arise
because an action that is in some circumstances considered lawful may at other times be
considered sufficient to found an action in nuisance. This is because the act giving rise to the
claim will not be considered in an abstract way, but by reference to all of the circumstances
of the particular case (see the judgment in Allen v Gulf Oil Refining [1980] QB 156 at 179).
In making this determination, the courts will have regard to a number of factors. Thus, noisy
activity, considered allowable in the middle of the day, may be viewed very differently if
taking place at night. It follows that the time of the act, the place of its commission, and the
manner of committing it may all be important factors. In particular, it might be argued that
acts done wantonly rather than in reasonable exercise of a right are much more likely to
found a nuisance.
Because damage is an essential element of nuisance, its existence must ordinarily be
proven (AG v Kingston-upon-Thames Corporation (1865) 34 LJ Ch 481). This need not take
the form of pecuniary loss (AG v Conduit Co [1895] 1 QB 301), but it must be considered
material damage, since the law will not wish to concern itself with trifling inconvenience (see
St Helens Smelting Co. v Tipping). Having said that, where there is interference with an
absolute legal right of a claimant, the law will presume damage without the need to prove
actual loss (see Nicholls v Ely Beet Sugar Factory Limited [1936] Ch 343 at 350).
Damage here can include sensible or amenity damage; that is an interference with the
comfort and convenience of the claimant. However, in Hunter v Canary Wharf Ltd [1997] 2
All ER 426 Lord Hoffmann stressed that such species of damage must form part of injury to
land in order to be recoverable under the tort of nuisance. This drawing in of a potentially
wide-ranging tort to confine it to land based interests is a fundamental development and one
which has been re-emphasised in later judgments.
In addition, it may not be strictly necessary to prove damage where acts are contrary to
statute (AG v London and North Western Railway Co. [1900] 1 QB 78) and where, in public
nuisance, acts are unauthorised by law (AG v Shrewsbury (Kingsland) Bridge Co (1882) 21

Ch.D 752. Equally, it may not always be necessary to prove actual damage where some
type of activity is likely to injure the public. This may be particularly the case where an
injunction is sought to restrict the activity, but note that, because an injunction is
discretionary, equally it may be withheld in the absence of some evidence of public injury
(see further AG v Harris [1960] 3 All ER 207).
Note the possibility that a nuisance may arise out of the combination of two or more
independent acts. It may well be that in such a case, the act of any one party might in itself
be insufficient to constitute a nuisance. Nonetheless, in such a situation, the court may be
prepared to restrain each person contributing to the eventual nuisance (see Sadler v Great
Western Railway Co [1896] AC 450). In St Helens Chemicals v St Helens Corporation
(1876) 1 Ex D 196, the court held both parties responsible for a nuisance where they had
discharged chemicals into a sewerage system, which each believed to be innocuous, but
which could cause harm once combined.
2.3 Remedies.
A claimant must be entitled to a remedy arising out of an interest in land, which the law of
nuisance protects. Therefore, a reversioner (the person to whom the land reverts once the
lease has expired) can bring an action as well as a lessee, for example in Simpson v Savage
[1856] 26 LJCP 50 there was a successful claim that soot from a chimney adversely affected
the value of the reversioners land. The position of licensees has been unclear, but after
Hunter a mere licensee without exclusion possession will have no right to sue. Once a
sufficient interest has been established, it is no defence that the nuisance was already in
existence and the following remedies will be available:
(i) Damages
Damages recoverable extend to:

physical damage to real property;

damage to goods on the land;
consequential financial losses;
annoyance and discomfort.

Although it is not physical damage as such, it is clear that discomfort can result in an award
of damages - an example might be that of noxious smells, see Bone v Searle [1975] 1 WLR
797.
It is seems clear that damages for personal injury are not recoverable in private nuisance.
For a time, some writers argued that it was always necessary to show negligence in order to
recover damages for personal injury, while others argued that personal injury was
recoverable, but only by the occupier of the land and not by others on the premises. This
seems a little odd because persons other than an occupier might engage in exercising lawful
rights over or enjoyment of the land.
There are clear examples in public nuisance that damages for personal injury are
recoverable (see Dymond v Pearce [1972] 1 QB 496). However, it must be accepted that
public nuisance is conceptually different from private nuisance. After Hunter it seems unlikely
that personal injury is recoverable in private nuisance. Lords Lloyd and Hoffmann denied the
possibility of recovery for personal injury. Moreover, in Transco v Stockport MBC [2003]
UKHL 61, the House of Lords was very clear that personal injury was recoverable in Rylands
v Fletcher and given that Transco emphasised that the rule was simply a subset of the wider
tort of nuisance, the better view would seem to be that nuisance is a tort that allows recovery

for damage to interests in land.

The position in relation to damages to goods is not free from doubt. However in Halsey v
Esso Petroleum [1961] 1 WLR 683, 692 the court suggested that damage to an occupiers
chattels would be recoverable. This is not so easy to reconcile with the formulation of
nuisance as a land-based tort. On the other hand, it seems anomalous to allow recovery for
damage to the property itself but not to chattels on the property (e.g. in the case of flooding).
One interesting question is the recoverability of losses which might be said to be purely
economic - for example, a loss of profits. Although it is clear that the courts have turned very
much against allowing such awards in negligence actions, arguably the law of nuisance is
different. Pugh & Day in their book Toxic Torts (1992, Cameron May) certainly believe so.
They seek to distinguish the negligence cases which they say are:
primarily concerned with the question of foreseeability of loss which is relevant to a
negligence action but not to nuisance where, once the wrong is established, liability is strict.
This view seems to take little account of the influential decision of the Privy Council in The
Wagon Mound (No 2) [1967] 1 AC 617 which held as with negligence questions of
reasonable foreseeability applied in nuisance. Indeed in Cambridge Water Co v Eastern
Counties Leather, the House of Lords firmly rejected suggestions by the Court of Appeal that
there may be residual pockets of strict liability in our law of nuisance where foreseeability of
damage was not required.
Pugh & Day offer a second reason why financial losses may be recoverable in nuisance,
which is that a loss of profit claim arising from a pollution incident will probably be held to be
direct damage. This seems nearer the mark. Since damages will be awarded in nuisance
for discomfort and inconvenience, there is no strict requirement for physical damage, and if
the inconvenience results (e.g.) in the closure of a hotel, liability in nuisance for the financial
losses suffered may result: (see Grosvenor Hotel v Hamilton [1894] 2 QB 836. This can be
said, however, to be consequent upon the amenity damage.
Note that the House of Lords in Hunter suggested that amenity or sensible damage should
be assessed by reference to its effect upon the utility of the property. This can be measured
by the diminution capital value of the property in terms of its notional value to rent. This may
have the effect of lowering damages under this head, though much will depend on the type
of property affected.
Aggravated or even exemplary damages may be allowable in certain exceptional historic
classes of nuisance.
Finally, note that in cases where a nuisance has been caused as a result of the carrying on
to an excess an otherwise acceptable activity, then damages recoverable are limited to
those caused by the excess element only i.e. over and above the acceptable level.
(ii) Injunction
This remedy is available in the discretion of the court. The principles exercised by the court
are not always so easy to decipher as the following two cases illustrate. In Miller v Jackson
[1977] QB 996 a housing estate was built near a cricket field which had been in use without
complaint for approximately 70 years. Balls hit over the boundary frequently caused damage
and interfered with the enjoyment of occupiers of the houses. An injunction was granted for
nuisance in the High Court, but the Court of Appeal overruled the decision. Although the

action of the cricket club was found to be tortious by two of the judges (i.e. in negligence and
nuisance) it was thought that the claimant should be left with a remedy in damages only.
Lord Denning relied on the argument that the claimants had come to the nuisance in
justifying his decision.
The majority of the court found that this was no defence, so that it is difficult to see why it
might affect the question of remedies. However, although it was said that damages were
recoverable, an injunction was refused. In explaining this, two of the Judges (including Lord
Denning) stated that the conduct of the defendant was reasonable and the private interests
of the householder should not prevail over the public interest in having their cricket club in
this locality. After Shelfer v City of London Electric Lighting Co. [1895] 1 Ch 287, the test
ought to be whether an injunction would be oppressive to the defendant in view of a minor
infringement of the claimants right which is capable of being estimated and paid in a
moderate monetary payment.
Miller should be contrasted with Court of Appeal in Kennaway v Thompson [1981] QB 88
which concerned water skiing and power boat racing. The claimant owned the reversion of
land acquired in 1969 and built a lakeside property in 1971. In 1977 an action was
commenced against the boat club on the basis of noise nuisance. An injunction was granted
restraining the time during which the racing could take place. This imposed a substantial
restriction on use. In upholding this decision, the Court rejected the argument that the facility
added benefit to the neighbourhood. This case sits less than easily alongside Miller v
Jackson in which the actions of the cricket club were causing physical damage to property
whereas Kennaway v Thompson did not have this feature. Kennaway v Thompson was not
entirely clear as to whether the claimants had come to the nuisance, although evidence
showed that the racing had become noisier as time went on.
Finally, note that it is no defence that the nuisance, although injurious to the claimant, is
beneficial to the public at large. This is apparent from the Court of Appeal authority of Shelfer
v City of London Lighting Co. in which vibrations caused by the City of London Lighting
Company were restrained by injunction even though the company said that it would deprive
London of lighting. In Kennaway v Thompson the court said that short of the effect being
catastrophic, they would be loath to accept the public interest argument as a ground for
refusal to grant an injunction.
(iii) Self-help
Traditionally, nuisance may be abated by self-help (for the principles see Lemon v Webb
[1895] AC 1). Generally, there is a requirement of notice if it is necessary to enter upon the
defendants land in order to abate, except perhaps in emergency situations or where no
entry onto other premises is necessary (e.g. in relation to encroachment). However, in
modern times, notions of self-help have commended themselves less and less to the
judiciary, and in Burton v Winters [1993] 3 All ER 847, it was said that although the common
law right of self-redress still existed, this was restricted to cases in which the cost of the legal
remedy was difficult to justify or in which an immediate remedy was required necessitating
urgent action on the part of the claimant.
2.4 Defences.
There are a number of possible defences to private nuisance which require consideration:
(i) volenti non fit injuria/contributory negligence
These have no application generally although they are technically available. Volenti non fit

injuria is a maxim which expresses the view that if one consents to injury then this should not
give rise to an actionable tort. As is clear from Miller v Jackson (above), it is no defence to
argue that a person located alongside an activity which causes a nuisance. It follows that
there is little room for the operation of the volenti doctrine. Similarly, contributory negligence
will rarely apply in private nuisance (but see Dymond v Pearce (above) as to public
nuisance) although under s.4 of the Law Reform (Contributory Negligence) Act 1945 it may
be available.
(ii) Consent
This may be direct or indirect/implicit. All such cases are based upon prescriptive user (i.e.
the right to commit a nuisance may be acquired by prescription if the nuisance has been
continuous for 20 years). There are several points to note. The period of prescription runs
from when the actionable nuisance commenced or from when the claimant was affected by it
(e.g. Miller v Jackson ). The activity must have been carried on openly so that in Liverpool
Corporation v Coghill & Son Ltd [1918] 1 Ch 307, the secret discharge of chemicals for 20
years was not acceptable under the defence of prescription. Finally, the activity must be
undertaken as of right so that permissions have the effect of defeating a claim for
prescription.
There are definite limits to the doctrine of prescription. It cannot legalise a public nuisance
i.e. prescription is not a defence in public nuisance. It only supports an activity which itself is
an easement. In relation to possible causes of pollution, one must find specific and constant
practice. If the activity is fluctuating and inconsistent in user, then it cannot support a
prescription defence, for example, noise or smell is not generally specific enough nor in a
sufficiently defined channel to allow a prescriptive right.
Finally, statutes can render certain activities illegal, which prevents prescriptive use: e.g.
clean air/water purity legislation. Therefore, even if statutory authorities refused to take
action, the statute would nevertheless bar a defence of prescription in private nuisance. It
might be clear from this that defences of prescription rarely succeed in practice.
(iii) Statutory Defences
Statute may legalise many activities otherwise classed as nuisances. The activities of public
utilities often have such statutory authorisations available. A striking recent example of this is
Marcic v Thames Water [2003] UKHL 66 in which Marcic was said not to have available to
him an action in Nuisance even though the sewerage system operated by Thames Water
had flooded his property eight times in two years. This was on the basis that the statutory
scheme under the Water Industry Act 1991, including remedies under that scheme, was
exclusive.
However, the statutory defence is limited to the core activity permitted by the statute. Even
then, the ways and means of carrying out that activity may nevertheless comprise a
nuisance, for example, in Rapier v London Tramways [1893] 2 Ch 588 the keeping of horses
was a necessary part of the statutory function of running a horse-drawn tramway. However,
this did not prevent the stables creating to a nuisance in the locality. Therefore, the ways and
means of carrying out the activity permitted by statute can found a nuisance unless the
statutory undertaker takes reasonable precautions to prevent damage or discomfort.
It follows that the nuisance must be the unavoidable consequence of the activity permitted
by statute. The permission may be express or implied. It is also necessary to see whether
there is a mandatory duty to conduct the activity, or a mere power (see notes on Rylands v

Fletcher). Where there is a defence of statutory permission, it operates to negate liability, but
where a defence fails because of inadequacies in acting on the statutory permission, it is
open to the Courts to reduce damages to take account of some inevitable nuisance caused
by the statutory activity (see Tate & Lyle v GLC [1983] 1All ER 1159).
2.5 Who Can Be Liable?.
(i) The party who causes the nuisance
Note that liability here is stricter than in negligence. Comments in The Wagon Mound (No.2)
[1967] 1 AC 617 indicate that a defendant can be liable even if he uses the utmost care. The
creator of the nuisance need have no interest in the land from which the nuisance arises.
Liability may continue after the party has left the land: see Roswell v Prior (1701) 12 Mod
635. The construction of a house obstructed ancient lights and caused a nuisance. The
builder remained liable for the continuance of the obstruction even after he had sold the
property. This may create difficulties; there is no way a defendant can abate the nuisance in
these circumstances (see Thompson v Gibson (1841) 7 M & W 456). However, this might
now be tempered by the (confusing) notion that the nuisance might now lay beyond the
control of the creator (see Cambridge Water).
(ii) The party authorising the nuisance
This is illustrated by the case of Harris v James (1876) 45 LJ QB 545. The landlord was
party to an action in nuisance brought against the tenant who had leased the land for
quarrying of lime and erection of lime kilns. The landlord had authorised the activity and was
held liable for the subsequent nuisance that resulted from the ordinary pursuance of that
activity. However, such activity must constitute a nuisance when exercised by the tenant
(see Southwark LBC v Mills [1999] 4 All ER 449).
(iii) A successor
Clearly, an occupier of premises can create a nuisance and be liable as the creator.
However, an occupier may become liable as a successor in title to property that causes a
nuisance. A successor can be liable by adopting the nuisance though this may not always
apply in relation to sewers. Mere adoption may not be enough but if damage is discovered or
known to exist, steps must be taken to abate the nuisance. Thus in Sedleigh-Denfield v
OCallaghan [1940] AC 880 a trespasser laid a pipe into the defendants ditch in so
inefficient a manner that the grating become choked with leaves and water overflowed onto
the claimants premises. The defendants knew of the existence of the pipe but (despite the
lapse of 3 years) did nothing to remedy the obstruction. The court held that the defendants
had both continued and adopted the nuisance. This principle could apply also to acts of
trespassers (Lippiatt v South Gloucester Council [1994] 4 All ER 149) and naturallyoccurring nuisances.
2.6 Who Can Sue?.
The leading case of Hunter v Canary Wharf [1997] 2 All ER 426 took a narrow view of rights
to sue (but see the dissenting judgment of Lord Cooke of Thorndon). In the view of their
Lordships, the starting point for an action in nuisance is an interest in land. A person must at
least be able to assert exclusive possession of land.
However, in the view of Lord Hoffmann , the situation has become confused following the
decision of the Court of Appeal in Khorasandjian v Bush [1993] QB 727. This case concerns
a defendant who continually pestered the daughter of a house owner with telephone calls.
The majority of the Court of Appeal were willing to grant an injunction in order to restrain this
conduct and did so in nuisance. The problem was that the daughter had no interest in the

property in question, and therefore on the authority of Malone v Laskey [1907] 2 KB 141,
arguably had no cause of action. However in the Khorasadjian case, Lord Justice Dillon in
the Court of Appeal stated that:
to my mind it is ridiculous if - in this present age - the law is that the making of deliberately
harassing and pestering phone calls to a person is only actionable in the civil courts if the
recipient of the calls happens to have the freehold or a leasehold proprietary interest in the
premises in which he or she has received the call.
In support of this decision, the Court of Appeal pointed to a decision of the Alberta Supreme
Court in Motherwell v Motherwell (1976) 73 DLR (3 d) 62. That was a similar case of
unwanted telephone calls, but the Alberta Supreme Court allowed that where a remedy
would be open to a legal owner of property, it would also be open to his wife, even though
she had no such interest in the property. Again, the Motherwell case thought that it was
absurd to say that her occupancy of the matrimonial home is insufficient to found an action
in nuisance.
In the view of the House of Lords, the decision in Khorasadjian is an attempt to create by
the back door a tort of harassment. The Court now appoints the Protection from
Harassment Act 1997, and says that with statutory recognition of the problem, the
Khorasadjian type of case ought not now to present problems. In the view of Lord Bush
Khorasadjian v Bush must be overruled insofar as it allows that a mere licensee can sue in
private nuisance. Lord Goff takes the view that since the general remedy for private
nuisance is an injunction, providing the right to take action is vested in a person with
exclusive possession of the land, then this will in effect restrain the nuisance on behalf of
anyone who might occupy the land. Lord Goff thinks this is preferable to allowing the right to
sue to anyone who might have a substantial link with the land, as the Court of Appeal
would have allowed. Lord Goff states that such a category could:
include the lodger upstairs or the au pair girl or the resident nurse caring for an invalid who
makes her home in the house while she works there. If the latter, it seems strange that the
category should not extend to include places where people work as well as places where
they live...
A similar sort of line is taken by Lord Hoffmann. In his view, just as the invasion cases in
nuisance focus upon injury to the land, then so too the cases of inconvenience and loss of
amenity allow compensation for the diminution in the amenity value of the property during
the period in which the nuisance persists. This being the case, the entitlement to sue lies
with those with possessory rights, and once damages for nuisance are recoverable, they are
not increases merely because there are more people in occupation of the premises suffering
greater collective discomfort.
Dissenting Judgment
Against such views, that of Lord Cooke stands alone. His view is that private nuisance is
commonly available for interference for the enjoyment of land by an occupier. He maintains
that 'occupier' can have various meanings, but that there is no necessary reason to restrict
this too greatly especially where considerations concern the family home. He would argue,
for example, that in the Khorasadjian type of case:
the persistent ring of the telephone may be a nuisance in fact to all occupants of the home,
not any primary target only, and all members of the family living there should be entitled to

redress in law for substantial disturbance of their amenity.

Lord Cooke very much seems to take the line of Professor Fleming in his book the Law of
Torts that it would be senseless discrimination to deprive spouses or children of a right of
action in nuisance because they lack any legal title to the property. Lord Cooke is much
more sympathetic to the view that the wife and family residing with someone in exclusive
possession of property should be protected by the law of nuisance against discomfort and
personal injury. He accepts that there would be borderline cases (such as the au pair girl)
but:
It would seem weak ... to refrain from laying down a just rule for spouses and children on
the ground that it is not easy to know where to draw the lines regarding other persons.
In short, he would not disturb the conclusion adopted by the Court of Appeal and would allow
occupation of property as a whole as an acceptable criterion. It may be that the majority
judgment may need to be revisited in the light of the Human Rights Act 1998. If those without
standing to sue in nuisance claim that action by a public agency is interfering with rights to
family life, then they may have an entitlement to a remedy see McKenna v British
Aluminium Ltd [2002] Env LR 30.
Question 3.
Private nuisance consists of misuses or interferences that might affect the exercise of public
rights or the Health and Safety and convenience of a substantial number of people.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

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Answer 2:

False

Response 2:

This is a description of public nuisance. Private nuisance consists of a

substantial interference by unlawful means to another persons rights of
use or of enjoyment of real property (land).

Jump 2:

Next page

Question 4.
Defences to private nuisance include....
Multiple Choice (HP)
Answer 1:

Statutory defences

Response 1:
Jump 1:

This page

Answer 2:

Contributory negligence (volenti no fit injuria)

Response 2:
Jump 2:

This page

Answer 3:

Consent

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:

Jump 4:

Next page

2.7 Rylands v. Fletcher (1868).

In this case, a reservoir was constructed on the defendants land. The contractors failed to
block off a mine shaft with the result that when the reservoir was filled, the mine was flooded.
In essence, the judgment was: the person who - for his own purpose - brings on his land
and collects and keeps there anything likely to do mischief if it escapes, must keep it at his
peril and if he does not do so is prima facie answerable for all the damage which is the
natural consequence of its escape. This established the principle of strict civil liability
since it was not considered an adequate defence to say that all reasonable grounds had
been taken to prevent the escape occurring.
The implications from an environmental perspective are clear as: much pollution is caused
by materials and substances which are brought onto the land and escape. Over the years
the rule has been applied to water, fire, gases, electricity, oil, chemicals, poisonous
vegetation, colliery spoil, etc. A restriction on Rylands v. Fletcher was that there has to be
non-natural use of the land, and several subsequent judgments have slightly altered the
original interpretation.

However, later judgments such as Cambridge Water Company v. Eastern Counties

Leather plc (1994) have modified this in that whilst the liability is strict, it is not retrospective
since the judgment was clear that liability for damages will only arise where the polluter
could reasonably have foreseen that the damage would occur.
2.8 Rule in Rylands V Fletcher.
For many years, the rule in Rylands v Fletcher (1868) LR 3 HL 330 was thought to create
potentially strict liability (but see now Cambridge Water Co v Eastern Counties Leather).
However, in practice, the rule became so cluttered with available defences that this is not
now so widely used and negligence and nuisance are often employed instead. This whole
area of law may be reformed at some point in the future. In Australia, the courts take the
view that the rule has been overtaken by the modern law of negligence. In the EU, the
Commissions White Paper on Civil Liability for Environmental Damage suggests the

possibility of strict liability systems which would do much to replace the rule in Rylands v
Fletcher. However in Transco the House of Lords firmly retained the rule as part of English
common law, while reining in its scope.
The rule in Rylands v Fletcher is usually pleaded as a distinct tort in its own right, even
though recent rulings of the House of Lords have tended to emphasise its close relationship
with nuisance. The facts of the case were that Ryland employed an independent contractor
to construct a reservoir on his land and when this was filled with water, the water flowed into
Fletchers mine as the reservoir was built over disused mine shafts covered with topsoil.
Ryland was held liable even though he was not negligent. The rule is, therefore, that if
someone brings something on to land for that persons own purposes and that thing is likely
to do harm if it escapes, and if it does in fact escape, liability will follow for the natural
consequences of its escape - assuming that these are foreseeable.
2.8.1 Elements of the Rule.
(i) Bringing something
This relates to the non-natural user of the land. It assumes dangerous substances and
activities.
The rule applies to things likely to cause mischief on escape. Thus water - as in the Rylands
case itself - is included as would be sewerage, accumulating of waste, fire, electricity,
colliery spoil, gas, leaching liquids etc. etc. Note that the defendant must occasion a
presence of the item. He may undertake some form of unnatural user creating an escape.
Note that the concept of non-natural use is potentially restrictive. The rule in Rylands v
Fletcher has been diluted over the years by a liberal approach to the uses which are
considered natural. In Cambridge Water Co v Eastern Counties Leather Co (1991), at first
instance the storage of organchlorines used in the tanning industry in an industrial village
was said not to constitute a non-natural use. However, the House of Lords held, on appeal,
that the use of the solvents was certainly non-natural. In doing so, Lord Goff drew parallels
between non-natural user criteria in Rylands v Fletcher and unreasonable user criteria in
nuisance. There are a series of cases in which public benefit emanating from the user has
been instrumental in finding that it was natural (see Ellison v MoD (1997) BLR 101).
(ii) For the defendants purposes
Any item brought onto the land must be for the defendants own purposes. This requirement
creates a problem in relating to competing interests in land. For example, in Rainham
Chemical Company v Belvedere [1921] 2 AC 465, there were two lessees of land. They
granted a licence to Rainham Chemical Company to occupy the land and they were aware
that the Chemical Company was going to manufacture explosives. There was an explosion
and considerable damage was done to Belvederes land. The House of Lords held that the
defendant could sue all three parties because, although the lessees did not gain any benefit
from this use, they had sufficient interest in it for it to be for their own purposes. This case
usefully demonstrates that the concept of purpose is wider than the concepts of interest or
benefit. The notion of an accumulation for the defendant's own purpose rules out liability for
escape of things naturally on the land.
This latter case is good authority for the rule that a lessor can be liable for an escape under
Rylands v Fletcher even if he does not occupy the land. Another authority would be Smeaton
v Ilford Corporation [1954] Ch 450 in which a local authority allowed sewerage to escape
from pipelines. The case was in fact resolved under statute by the court pointing out that the

Rylands v Fletcher rule applied and it was thought to be no defence for Ilford Corporation to
say that the accumulation was not for their benefit.
(iii) Onto Land
It is necessary that the substance is brought onto land. Thus the rule will not apply to things
occurring naturally upon the land.
Land can include land held on a franchise or a grant i.e. not occupied in any other sense as,
for example, land which forms the subsoil of the highway.
The rule does not necessarily require that the defendant has an interest in the land in
question. The rule can apply to vessels or vehicles, providing that the vehicle is on land and
somehow causes damage to adjoining land. Thus Perry v Kendricks Transport [1956] 1 All
ER 154 involved a coach which was parked on land. Trespassers entered the land and set
the petrol tank of the coach on fire causing an explosion, and damaging neighbouring land.
Rylands v Fletcher would have applied except that the involvement of trespassers provided
a defence (see below).
(iv) Which then escapes
It is necessary for the thing causing the damage to escape. The escape need not be of the
dangerous thing accumulated, so that it may be damage caused by rocks as a result of an
explosion, rather than the escape of the explosives (Miles v Forest Rock Granite Co (1918)
34 TLR 500). The thing must leave a place under the occupation or control of the
defendant, arriving somewhere outside his control. In Read v Lyons [1947] AC 156 it was
held that it was not enough for the escape to be from one part of the persons land; a
boundary had to be crossed.
However, the rule can apply where escape is from one interest in land to another interest in
land, for example, Hale v Jennings [1938] 1 All ER 579 involved a fairground in which each
of the stallholders had separate licences and therefore separate interests in land. One of the
cars from the chairoplane flew off and landed on the shooting gallery. This was a sufficient
escape for the operation of the rule. However, in the Transco case, when the pipeline of
Transco was exposed by its foundations being exposed, there was said by Lord Scott to
have been no element of escape where the Transcos easement was over the land of the
defendant, and the land had been undermined by the escape of water allowed by the
defendant.
It has been suggested that the escape must be accidental rather than deliberate (to
distinguish the law of trespass) but this limitation was said to be dubious, certainly where no
specific property was targeted in Crown River Cruises v Kimbolton Fireworks Ltd [1996] 2
Lloyds Rep 533.
2.8.2 Interests Protected.
(a) physical damage to real property;
(b) physical damage to goods - an example might be where clothes left on a washing line
are damaged by acidic smuts from the boiler chimney of a neighbouring factory;
(c) personal injury is not covered according to the House of Lords in Transco. This is in spite
of earlier cases seeming to allow recovery, for example, in Miles v Forest Rock Granite Co
(1918) 34 TLR 500, the defendant was quarry blasting, and the claimant was physically

injured as a result (see also Hale (supra)). The rule in Rylands v Fletcher was said to apply.
Also in Dunne v North Western Gas Board [1964] 2 QB 806, astatement by the Court of
Appeal suggested that there was no problem with Rylands v Fletcher applying in the case of
personal injury, but see the contrary in Read v Lyons [1947] AC 156. But the cautious
approach to the rule in Rylands v Fletcher in Cambridge Water and the pronouncement
concerning non-recoverability of personal injury in nuisance in Hunter meant that in logic
there was little sense in allowing recovery for personal injury in nuisance, and in Transco the
view was taken that there was no place for recovery of personal injury in a tort against land.
(d) Economic losses: in British Celanese v Hunt [1969] 2 All ER 1252, the defendant
accumulated a large quantity of metal foil for its business use. The wind blew the metal foil
from the land interfering with electricity equipment causing a loss of electricity supply and
widespread economic losses as local enterprises were deprived of their power supply. Lord
Justice Lawton stated that there was no Rylands v Fletcher liability in that case (see below)
and that in any case Rylands v Fletcher was not designed to deal with intangible damage.
This opinion has certain logic and certainly of late it would seem likely that if loss is purely
economic it will not be recoverable. Another economic loss case in support of this is Weller v
Foot and Mouth Disease Research Institute [1966] 1 QB 569, which proposition involved
escape of a virus which caused the local cattle market to be closed and considerable losses
to local auctioneers. It was held that there was no protection under Rylands v Fletcher
because what was required was tangible physical damage. This case is supported in turn by
Eastern and South African Telegraph Company v Capetown Tramways [1902] AC 381 which
concerned an escape of electricity. This distorted the sensitive electric equipment of the
claimant causing harm to the claimants enterprise. Such loss was held not to be recoverable
because it did not result from tangible interference.
Unlike nuisance, there is no particular problem if the defendants activity is particularly
sensitive since the rule is based on strict liability. In Hoare v McAlpine the defendants tried to
argue that the claimants hotel was dilapidated but this was held not to be relevant since
liability was strict (though clearly this would go to the issue of damages). However in the
case of things which are harmless in themselves but which can cause damage in certain
circumstances, the claimant will have to prove an exceptional user to come within the
Rylands v Fletcher rule, for example, in British Celanese v Hunt which involved metal foil
stored on a trading estate, the point was argued that metal foil was not of itself particularly
dangerous and therefore the claimants must show exceptional use. Lord Justice Lawton
agreed with this and stated moreover that the storage or metal foil on a trading estate was
not of itself an exceptional or non-natural use. If this is right, it is an important principle
because it extends the nuisance principle and very much dilutes the Rylands v Fletcher rule.
However, the line of cases might be read in the light of the comments of Lord Goff in
Cambridge Water Co v Eastern Counties Leather (below) on the issue of non-natural user.
2.8.3 Defences.
(a) 'Act of God'
In general, it is accepted that damage caused by 'act of God' will not fall within the Rylands v
Fletcher rule. However, two points are worth noting:
(i) There must be a natural causal sequence - ie there must be no interruption by the
defendant to divert the natural hazards if the defence of 'act of God' is to apply. An 'act of
God' defence might still apply theoretically in a case where the defendant stores explosives
on the land and lightening strikes causing a massive explosion. However, following
Cambridge Water, this could be dealt with via foreseeability rules.

(ii) The circumstances must be such that the event cannot be prevented nor its harmful
effects be mitigated. For example, if there is a flood and the defendant could take remedial
action to prevent it and decides not to bother, the defendant could be liable notwithstanding
with natural occurrence of a flood.
Quite often, the courts apply a foreseeability test in the case of 'act of God' and the standard
is high. For example, in Greenock Corporation v Caledonian Railway [1917] AC 556 there
was a very heavy rainfall causing a flood from the Corporations paddling pool. The
Corporation claimed 'act of god' in defence. The court applied the standard that the 'act of
God' must be an event for which no human foresight can provide and of which human
prudence is not bound to recognise the possibility. Not surprisingly, this defence is very
rarely used (but see Nichols v Marsland (1876) 2 Ex D 1).
Since the decision of the House of Lords in Cambridge Water Co v Eastern Counties
Leather imposes a requirement of foreseeability of damage as an essential element of
Rylands v Fletcher, it might be thought that defences of 'act of God' have been rendered
redundant. However, Lord Hoffmann in Transco stressed the continuing availability of the
defence.
(b) Act of Stranger
Liability can be resisted if the escape can be shown as due to the act of a third party
(stranger) assuming that this was not foreseeable. In Box v Jubb [1879] 4 Ex.D 76 a third
party diverted a stream and thereby added to the amount of water flowing through the
watercourse into a reservoir. It flowed over the sides and the flooded the adjoining land. The
defendant was not held to be liable on the basis that the causal factor was an act of a third
party.
This defence is only available where the third party is either unauthorised or is a trespasser.
It does not apply to employees or where the third party is on the land with permission of the
owner. In Hale v Jennings, the defendant did not succeed in this defence because although
the chairoplane had been tampered with by someone who had been riding on it and
although it was an act of a third party, the chair was ridden with the authority of the owner.
This may be compared with Perry v Kendricks in which the act of a stranger defence applied.
Again Transco accepted the continuing availability of this defence.
(c) The fault of the Claimant
This defence was suggested in Rylands v Fletcher itself, and there may be a number of
possible instances in which this could apply, e.g.
(i) The claimant occasions the escape: for example, a person on laying one pipe disturbs the
pipe of another person thereby causing damage of the type considered in the Charing Cross
Electricity Co Case
(ii) The real cause of the damage is not the escape but the claimants conduct. In Miles v
Forest Rock Granite the defendant put up red flags before he started blasting the quarries.
This was a sufficient precaution to amount to a good defence. The circumstances have to be
such that the claimant would be exceptionally foolish to stand upon a strict legal right to
occupy any part of his premises.
(d) Statutory Defences

Statutory defences, often available to government agencies and other utilities, are not
uncommon. Thus in a New South Wales case, Edwards v Blue Mountain City Council (1961)
78 WN 864, the council had a statutory right to maintain a refuse tip and burn rubbish. This
was thought to take the case outside Rylands v Fletcher and the non-natural user rule. In
Manchester Corporation v Farnworth [1930] AC 170, Manchester Corporation was held
liable in nuisance for emitting a substance from their power station which destroyed crops. It
was held that although they had the statutory power to operate a power station that did not
extend to the right to create a nuisance.
It follows that this defence is potentially available both to Rylands v Fletcher and nuisance
cases. Both are considered here. For an overview of the principles, see Department of
Transport v North West Water [1984] AC 336. Again, Transco stressed the availability of the
statutory authority defence to someone acting under statutory powers where without
negligent conduct. The applicability of the defence depends upon the nature of the statutory
power:
(i) if the activity is mandatory, then, in general, the activity cannot be looked upon by the
courts as unlawful. However, there are two provisos to this defence:
- it only covers the direct activity given by the statutory power and not incidental activities;
and
- the statutory mandate will not protect actions in negligence.
(ii) in the case of permissive statute, only the law is uncertain and liability in Rylands v
Fletcher or nuisance may follow. Again, two points should be noted:
- in Dunne v North Western Gas Board [1964] 2 QB 806, the court was reluctant to apply
Rylands v Fletcher to a local authority who had been operating under statutory permission
and without negligence; and
- the statute itself may deal with the matter of liability e.g. by withdrawing any exemption (see
as an example the Charing Cross Electricity case).
In Pride of Derby v British Celanese [1953] Ch 149, Lord Denning suggested that local
authorities should be immune from Rylands v Fletcher liability. The case involved a
sewerage system which was 50 years old and was unable to cope with the amount of
sewage, causing discharge of raw sewage into rivers. The nuisance was neither inevitable
nor authorised on a construction of the statute. Lord Denning said that the rule of Rylands v
Fletcher could not apply because the activity had to be for the defendants own purpose.
Lord Evershed, however, disagreed; he was not convinced that the Rylands v Fletcher rule
was not applicable. Rather, he stated that it was a matter for statute and for Parliament to
provide specifically for each case. This view was endorsed in Smeaton v Ilford Corporation
[1954] Ch 450 and more recently in Marcic.
(e) Non-Occupation
This rule is generally applied to persons who are in occupation of the land. It is an open point
of English law whether an owner who is no longer in occupation of the land at the time of the
escape can be liable. It is well-established that an owner out of possession of the land at the
time of the escape, who has not authorised the accumulation of the land, will not be liable
under the rule. Thus a landlord may not be liable where the escape is the result of a tenant
accumulation. However, there are conflicting authorities on whether, if the person has

authorised the accumulation, he can then be liable even though he has relinquished
possession of the land. The better view may be that such a person ought not to be liable,
since a significant element of the rule is the notion of control of the dangerous substance.
Once again, however, the possibilities of liability should not be overlooked.
2.8.4 Conclusion.
It has to be said, however, that Rylands v Fletcher actions are rarely brought, since the width
of our negligence rules is sufficient to encompass much of the ground historically covered by
the rule in Rylands v Fletcher.
Moreover, the rule only applies where the use of the land creating the danger is nonnatural. This has been interpreted in the modern era as some special use bringing
increased danger to others, and ... not merely the ordinary use of land or such use as is
proper for the general benefit of the Community (per Lord Moulton in Rickards v
Lothian[1913] AC 263 at 279. The question of non-natural user is considered in the
discussion of the Cambridge Water case.
3.0 Negligence.
In 1856 in Blyth v Birmingham Waterworks Company (1856) 11 Exch. 781, 784, Alderson
defined negligence as follows:
Negligence is the omission to do something which a reasonable man guided by those
considerations which ordinarily regulate the conduct of human affairs would do or doing
something which a prudent and reasonable man would not do.
In 1971, Justice Windeyer in Munnings v Hydro Electric Commission (1971) 45 ALJR 378
said of the above words:
The avalanche of cases since then has not buried that simple statement and nothing that
has been said in them has bettered it.
Duty of Care
From what is said above, two-thirds of the nature of negligence is exposed - a duty must
exist, and a breach of that duty must follow. There is, however, another consideration; that
foreseeable damage must result from the breach of duty. It is necessary to examine towards
whom the duty arises, and by whom the damage will be suffered in order to give rise to an
action in negligence. The answer is that laid down by Lord Atkin in Donaghue v Stevenson
[1932] AC 562, 580-1:
You must take reasonable care to avoid acts or omissions which you can reasonably
foresee would be likely to injure your neighbour...
Lord Atkin went on to define how one may decide who his neighbours are:
Persons who are so closely and directly affected by my act that I ought reasonably to have
them in contemplation as being so affected when I am directing my mind to acts and
omissions which are called into question.
In broad terms, it will be apparent that operators of industrial facilities will know that certain
acts or omissions on their part could lead to foreseeable injury to a wide range of parties in
the immediate vicinity. Thus, it is not difficult to establish a breach of duty, but certainly
where there is a departure from recommended industrial practice, the claimants task is

made much easier.

However, it must be borne in mind that the defendants conduct is to be assessed according
to standards applicable at the time of the polluting incident. If a disposal of waste took place
some years ago, it would be wrong to judge any precautions taken by the standards of today
(see Roe v Minster of Health [1954] 2 QB 66). With scientific advance, we know much more
of environmental pollution. What is now foreseeable is not what was foreseeable even five
years ago, a point demonstrated by the Cambridge Water case.
3.1 Causation.
The major problems lie with proof of causation. It is one thing to show that contaminants
have migrated onto the claimants land, but it is another and more difficult task to establish
the route of their arrival and trace them back to the defendants land. This may require
careful use of expert evidence, or claims may fail for lack of proof. Some issues of causation
are considered in the discussion of Cambridge Water Co.
Nonetheless, it will be clear that negligence remains the most effective legal weapon. This is
particularly true in relation to personal injury. There are a growing number of cases in which
personal injuries arising out of exposure to noise, dust, chemicals or hazardous materials
such as asbestos, have been the subject of actions in negligence. Often, such cases pose
relatively little difficulty in establishing a duty relationship between polluter and injured party.
The injured party is often an employee, or a near neighbour of the polluting operation. In
considering whether or not the duty owed has been breached, the courts will generally take
into account three issues:

the risk of injury;

the practicability of any precautions which might have been taken; and
the importance of the object to be attained in the running of the enterprise.

Broadly, the greater the risk of injury, the greater the onus upon the operation to undertake
some precautions, and it becomes less and less likely that a potential tortfeasor could argue
that the importance of maintaining the operation overrode any risk of injury to the claimant
(but see Latimer v AEC [1953] AC 643).
3.2 Remedies.
Unlike nuisance, injunctions will generally not be available for a claim based in negligence.
The ordinary remedy will be damages. Financial losses will generally only be recoverable
where these are consequent upon some physical damage to person or property (see Murphy
v Brentwood D. C. [1991] AC 398).
One interesting question, which has arisen of late, is whether or not exemplary or punitive
damages (that is to say damages aimed primarily at punishing the defendant) might be
awarded for certain environmental torts.
This question arose in the case of AB v South West Water Services Limited [1993] 1 All ER
609. The case followed the accidental discharge of some 20 tonnes of aluminium sulphate
into the drinking water system at Camelford. This lead to claims by 180 claimants that they
suffered injury as a result of drinking contaminated water. It was alleged by the claimants
that the defendant had misled its customers by asserting that the water was safe to drink at
a time when full toxicity tests had not been undertaken. The statement of claim sought an
award of exemplary damages which the water company applied to have struck out.
Interestingly, as well as framing their action in breach of contract, negligence, the rule in

Rylands v Fletcher and nuisance, the claim was also pursued in terms of a breach of
statutory duty to supply wholesome water and under the Consumer Protection Act 1987
(strict product liability). At first instance, this application to strike out was refused, on the
basis that whether or not exemplary damages might be awardable would require greater
exploration into the conduct of the defendants, so that at this stage it would be wrong to
strike out. However the trial judge added:
the fact that I have refused to strike out any claim for exemplary damages in statement of
claim should not mislead any claimant into thinking that he or she is necessarily or even
probably going to recover any such award.
This turned out to be the case, since, in the Court of Appeal, the first instance judgment was
overturned. It was allowed that claims for exemplary damages may be pursued in two
instances:

wrongful actions by servants of Government; and

where the defendant calculates to profit by tortious conduct.

In relation to the first of these claims it was strenuously argued that South West Water
Authority were exercising an executive power derived from Government. The Court of
Appeal did not agree, stating that the complaints by customers arose in the defendants
commercial operations. Argument by the claimants based on EC law notions of a water
company constituting an emanation of the State were ruled out (see Foster v British Gas
[1991] 2 All ER 705 and Griffin v South West Water Co (1994) (unreported).
The notion that South West Water sought to calculate by its tortious conduct was equally
disallowed. They stated that if it were true that the defendants had sought to cover up the
commission of the tort and this was reprehensible but not uncommon conduct. However,
this in itself did not fall within the second category.
This case did not proceed beyond the Court of Appeal, so that as the law stands, it has to be
doubtful whether applications for exemplary damages are likely to be commonly awarded.
Technically, they are available and there are instances in which they have been awarded in
nuisance, nonetheless unless they fall very squarely within one of the two allowable
categories and unless there are clear past precedents for their award, the courts will prove
highly reluctant to allow exemplary damages.
As for sites which are sold, it is a general principle of English law that apart from contract or
implied warranty, a vendor is under no tortious liability, at common law, for the dangerous
condition of that property once he has parted with possession of it to a purchaser. This
principle was established in the case of Bottomley v Bannister [1932] 1 KB 458. This is
slightly problematic because the decision was given before the case of Donoghue v
Stevenson [1932] AC 562. As the latter case substantially laid down the principles of duty of
care in English law, it has sometimes been said that the rule in Bottomley v Bannister must
be treated with caution (see for example the views of Lord Denning in Dutton v Bognor Regis
U.D.C. [1972] 1 QB 373).
However, the House of Lords has never overruled the rule in Bottomley, whereas it has
overruled Dutton (in Murphy v Brentwood D.C. [1990] 3 WLR 414, HL). It follows from this
that under the general common law rule, there will be no tortious liability for the dangerous
condition of the property, post-sale.
3.3 Defective Premises.

The Defective Premises Act 1972 made amendments to common law. The relevant section
is section 3 which removes the common law immunities from liability for negligent acts
committed before sale.
However, it is confined in its scope. The section provides that anyone who does work of
construction, repair, maintenance or demolition or any other work to premises, will be in the
same position if he later sells, lets or disposes of them, as regards his liability in negligence,
as persons such as builders or architects, who have been negligent in carrying out work on,
or in connection with clients or other persons premises.
Accordingly, this will not apply to all environmental hazards, but simply those which might
follow in the aftermath of some building work on the premises prior to completion of the sale
of those premises.
The standard required in negligence, which section 3 permits, is to take reasonable care to
avoid injuries to persons whom it might be reasonably anticipated would be affected by
defects in the state of the land or buildings arising from the work in question. It follows from
this that sale does not constitute a cut-off point which terminates liability.
Note also of late that the scope of liability on persons such as builders or architects has been
restricted by more recent cases in the House of Lords, including that of Murphy referred to
previously.
In particular, it is unlikely that losses which are purely financial will be recoverable by a
claimant.
4.0 Breach of Statutory Duty.
Certain statutes which lay down duties allow that - where the duty is breached - there should
be a remedy in damages available to an injured party. On the whole, such statutes are
criminal or regulatory in nature, but Parliament has allowed that they can give rise to
compensation. They may be contrasted with statutes such as the Consumer Protection Act
1987 which introduces strict product liability, or the Occupiers Liability Acts which places
duties of care upon the occupiers of premises.
Such statutes aim deliberately to bolster the common law rather than regulate certain types
of conduct.
The mere inadequate performance of a statutory duty does not give rise, of itself, to an
action for breach of statutory duty although it may make a case in negligence easier to
sustain (X v Bedfordshire C. C. [1995] 3 WLR 152).
4.1 Statutory Provisions.
The most obvious area in which statutes imposing liabilities for breach of statutory duty
operate is in the field of workplace safety. However, over time they have spread to other
areas.
Because environmental statutes are essentially regulatory, provisions for civil liability for
breach of statutory duty can sometimes be found.
An example is section 73(6) of the Environmental Protection Act 1990 which allows that a
breach of section 33 of the (same) Act will be remediable by an action in damages. Section
33 contains the primary offences in relation to the handling and disposal of waste. As such,
they are at the heart of the waste licensing regime under Part II of the 1990 Act. It follows

that where a person is injured as a result of (for example) the unauthorised disposal of
waste, by relying on s.73(6), a person may seek to recover damage for the injury.
Interestingly, although this is the case in relation to s.33 offences, it is not true of s.34 which is not mentioned at all by s.73 (6). This is surprising since s.34 imposes a duty of care
in relation to waste upon all persons producing, handling, carrying, treating and disposing of
waste. It would have been an obvious step for the Act to have included civil liability for
breach of this duty of care, but the Act is silent on the matter.
4.2 Interpretations by the Courts.
This raises the question of whether there can be an action for breach of statutory duty where
an Act does not expressly authorise it. This is undoubtedly possible, but the principles upon
which a court will allow this are somewhat vague. In general, the courts will seek to
determine the intention of the legislature. This has been made somewhat easier than in the
past since it is now allowed that Hansard can be expressly referred to in an argument and
considered by the judge (see Pepper v Hart [1993] 1 All ER 42). However, on many
occasions, it is likely that Parliament will have failed to express any view upon the matter.
In the absence of any lead from the legislature, it is sometimes said that courts will imply a
remedy where that statute is silent on the intended consequence of any breach. The
problem with this suggestion is that it would apply in very few cases, and that in most cases,
where Parliament itself has allowed civil liability for breach, there have also been express
criminal sanctions. Although it is argued that the courts can only intervene if the statute is
completely silent as to remedies, there are unquestionably cases in which this rule has not
been followed.
It is also said that in order for the courts to imply civil liability for breach of statutory duty, the
duty must be there to benefit an identifiable class of persons - rather than the public as a
whole. In employment legislation, it is often easy to apply this rule, since the duties are
generally there to protect workers. In the context of environmental legislation, it might be
said that the duty is owed to the world at large, so that civil liability cannot be implied.
Certainly where there is substantial administrative discretion, the Courts are less likely to
offer a remedy for breach (ORourke v Camden LBC [1997] 3 WLR 86). The problem is that
issues may not be so clear cut, for example, if a producer of waste under section 34
misdescribes the waste and fails to disclose an obvious hazard, could a carrier of the waste
suffering severe injury as a result not argue that he was intended expressly to be a
beneficiary of the s34 duty?
Moreover, this limitation of benefit to an identifiable class has been questioned by the
courts. As Lord Justice Atkin pointed out in Phillips v Britannia Hygenic Laundry [1923] 2 KB
832 the more important duties are generally owed to the public at large so that it seems
strange that only less important specific duties may be enforced by the action for breach of
statutory duty.
5.0 Cambridge Water Co v. Eastern Countries Leather - A Case Study.
The Facts
This case involves an excellent illustration of the common law principles considered
previously and is presented here in detail as an effective case study of how the common law
works.

Eastern Counties Leather (ECL) operate a tannery at Sawston near Cambridge.

For many years, the company has used organochlorines. In particular, these are used in the
process of tanning. Primarily, two organochlorines had been used. These are chlorinated
solvents, trichloroethene (TCE) and perchloroethene (PCE). PCE had been used since the
1960s and continued in use until 1991. Though the actual amount used varied, up to
100,000 litres per year were in use until 1976.
The solvent was delivered in drums which were transferred across the yard to be tipped into
a tank at the time of use. From 1976 onwards, the solvent was delivered in bulk and kept
within a storage tank to be piped directly into the factory.

It was a finding of fact in the High Court that spillages of PCE had occurred in the transfer of
drums of PCE across the yard. These spillages were in small quantities only, such that it
might be thought that they would evaporate away. It followed from this that spillages were
thought to have occurred up to 1976, but not thereafter when the PCE was delivered in bulk.
At the same time as ECL ceased the use of PCEs in drums, the Cambridge Water Company
(CW) purchased land at Sawston Mill about a mile and a half away from the premises of
ECL. The purpose of this purchase was to gain the rights to abstract from a borehole which
served an underground chalk acquifer. A chemical analysis was taken prior to purchase, and
public supply of water commenced in 1979. Thereafter, the European Community (as was)
introduced stricter standards for drinking water, implemented in the UK from 1985. In 1983,
tests on water from the borehole found that organochlorine concentration was up to four
times the permitted level.
It is important to understand the geomorphology in relation to Sawston as presented by
expert witnesses at trial. It was accepted by the court that PCEs had travelled down through
the drift directly beneath the premises of ECL, and thereafter vertically downwards towards
the chalk acquifer. At some point, the PCEs were arrested by an impermeable layer of chalk
marl at a depth of 50 metres. PCEs had gathered there to form pools which were slowly

dissolving in ground water and thereafter being carried down towards the acquifer at a rate
of about 8 metres per day. This gave a total time for travelling between chalk marl and the
site at Sawston Mill of about 9 months. There remains a plume of PCEs still making their
way towards the Sawston Mill site. The House of Lords judgment discloses that the
minimum amount to have entered the chalk acquifer is 3,200 litres (about 1,000 gallons). In
the words of Lord Goff it is not possible even to guess at the maximum.
In view of this, and the fact that - following the implementation of the directive - the water
could not be considered wholesome and lawfully supplied to the public, CW had to take
remedial steps. Taking a decision in 1984, they rejected methods of water treatment as
uncertain, and chose instead to open a new source of supply at Hinxton Grange (a point
higher up the acquifer). The cost of this development was 956,937. It was this figure,
together with certain incidental expenses that was at issue in the case. In fact, however,
there has been further later spending in the form of a carbon filtration system which is now
thought capable of removing PCEs from the Sawston Mill source.
5.1 The Lower Courts.
A summary of the decision of the earlier courts is necessary to understand fully the decision
of the House of Lords. At first instance, Mr Justice Ian Kennedy rejected claims by
Cambridgeshire Water in negligence, nuisance and Rylands v Fletcher. The decision in
nuisance and negligence depended upon questions of foreseeability. It was said that the
seepage of PCEs into the chalk acquifer was not an event which would have been
foreseeable by the reasonable yard supervisor employed by ECL prior to 1976. It was
thought that at that time, it could not be foreseen that detectable quantities of PCE would
find their way into the catchment system thereby causing pollution of a water source. The
judgment on these points could be adequately summarised in the following words of Justice
Ian Kennedy:
that there should be an award of damages in respect of the 1991 impact of actions that
were not actually nuisances or negligence when they were committed 15 years before is to
my mind not a proposition which the common law would entertain.
In relation to Rylands v Fletcher, the finding of first instance was that in an industrial village
such as Sawston, the storage of PCE for the purpose of degreasing hides was a natural use.
As such, the non-natural user requirement of Rylands v Fletcher was not fulfilled. This
decision was taken bearing in mind that the creation of employment by ECL was clearly for
the benefit of the community.
It is fair to say that the Court of Appeal decision came as something of a surprise. This was
not least because Cambridgeshire Water appealed on the Rylands v Fletcher point, and the
Court of Appeal decided the case primarily in nuisance. The Court of Appeal held ECL
strictly liable for the damage which they had caused on the authority of Ballard v Tomlinson
(1885) 29 Ch D 115. This was on the basis that the decision in the 19th Century case made
it clear that no-one had the right to contaminate a source of water so as to prevent his
neighbour from having the full value of his right of appropriation. In the words of Lord
Justice Mann:
Ballard v Tomlinson decided that where the nuisance is an interference with a natural right
incident to ownership, then liability is a strict one. The actor acts at his peril and if his actions
result by the operation of ordinary natural processes in an interference with the right, then he
is liable to compensate for any damage suffered by the owner.
Thus, in effect, the Court of Appeal decision created strict liability in instances such as this
arising from the law of nuisance.

5.2 The Decision of the House of Lords.

Lord Goff gave the leading judgment in the House of Lords, with which the other four Law
Lords all concurred. The essential element of the judgment is that liability under the rule in
Rylands v Fletcher should only be imposed where there is foreseeability of damage of the
relevant type.
In disposing of the decision of the Court of Appeal in relation to Ballard v Tomlinson, Lord
Goff stated that following the decision in the Wagon Mound (Overseas Tank Ship (UK)
Limited ) v Miller Steamship Co [1967] 1 AC 617, foreseeability is also a necessary
prerequisite to recovery of damages based in nuisance. In the view of Lord Goff, in the
aftermath of The Wagon Mound (No. 2):
since ... the recovery of damages in private nuisance depends on foreseeability by the
defendant of the relevant type of damage ... it would appear logical to extend the same
requirement to liability under the rule in Rylands v Fletcher.
Note that although Lord Goff talks here of extending the requirement of foreseeability to
Rylands v Fletcher, elsewhere in his judgment, he argues that, although there was a division
of academic opinion, the weight of authority pointed towards the conclusion that
foreseeability was already a prerequisite of the recovery of damages under the rule in
Rylands v Fletcher.
There are two final points of some importance.
The first concerns the issue of non-natural user. Lord Goff rejected the analysis, at first
instance, of Mr Justice Ian Kennedy, by saying that the storage of organochlorines in an
area such as Sawston could be regarded as an almost classic case of non-natural user.
The second issue of importance is the problem of continuing the damage to the aquifer over
the longer term. Here, the judgement seems less than clear. At one point it is said that the
PCE had become irretrievably lost in the ground below, and that the PCE so travelled down
through the drift and the chalk acquifer beneath ECLs premises that it passed beyond the
control of ECL.
Having said all of this, however, Lord Goff concludes by saying at best, if the case is
regarded as one of nuisance, it should be treated no differently from, the case of the landslip
in Leakey v National Trust for Places of Historic Interest or Natural Beauty (1980) QB 485.
In considering whether or not the rule in Rylands v Fletcher requires foreseeability, Lord Goff
returns in detail to the judgment of Justice Blackburn in the original case of Rylands v
Fletcher. Here, Blackburn speaks of anything likely to do mischief if it escapes and of a
thing which he knows to be mischievous if it gets on to his neighbours (property) liability is
said to follow for the natural and anticipated consequences. Lord Goff places great stress
upon words such as likely, knows and anticipated in seeking to establish the
requirement of foreseeability in Rylands v Fletcher.
However, in spite of Lord Goffs assertion that there was academic division as to the
prerequisite of foreseeability, the weight of opinion would seem to be as follows. It is laid
down in Rylands v Fletcher that there must be foreseeability of a general species of risk.
Thus, the non-natural user of land must foresee a substance brought on to land is capable of
inflicting harm.
However, this requirement of foreseeability of risk is not the same as that of foreseeability of

damage. The particular harm caused by that substance need not necessarily have been
foreseen in Rylands v Fletcher as the law stood.
It follows that in imposing a requirement of foreseeability of the relevant type of damage,
Lord Goff does extend the rule in Rylands v Fletcher, as indeed he appears to admit at one
point in his judgment. This extension of the law does not necessarily sit easily with his
statement that
as a general rule, it is more appropriate for strict liability in respect of operations of high risk
to be imposed by Parliament, than by the courts. If such liability is imposed by statute, the
relevant activities can be identified, and those concerned can know where they stand.
Furthermore, statute can - where appropriate - lay down precise criteria establishing the
instance and scope of such liability.
It is not necessarily easy to see why the extension of a strict liability principle requires the
authority of Parliament, whereas the dilution of strict liability principles may be a matter for
the courts.
Although the decision in the House of Lords in the Cambridge Water Company case is that
foreseeability is a prerequisite of recovery in Rylands v Fletcher, comparatively little attention
is given to what must be foreseen. In part, this was because of the finding of fact, accepted
by the House of Lords, that the seepage of PCE into the chalk aquifers was occasioned by a
large number of accidental spillages. In the view of the High Court, the reasonable
supervisor could not have foreseen that such quantities of PCE would pollute the aquifer a
mile and a half away. This formulation of foreseeability seems to have been accepted by the
House of Lords without question. However, it is not free from doubt.
In this formulation, the question of foreseeability is that of the reasonable yard supervisor
and not, interestingly, that of a company instituting a safe working system. Putting that aside,
what is required here is foreseeability of a particular injury. This, it can be argued, is in
accordance with Wagon Mound (No. 1) (Overseas Tanks Ships (UK) for Morts Dock and
Engineering Company (1961) AC 388). However, the decision of the Privy Council in Wagon
Mound (No. 1) needs to be considered in the light of the later House of Lords case of
Hughes v Lord Advocate (1963) AC 837.
In that case, it was held that even though there was a foreseeable risk that two boys might
burn themselves on kerosene warning lamps left by an open manhole, the boy claimant
could still recover when an explosion caused by the lamp falling down the manhole severely
injured him. Although the majority of the Court of Session felt constrained by the earlier
decision in the Wagon Mound (No. 1), the House of Lords held that the injury befalling the
boy was a type of foreseeable injury clearly falling within the general risk created by the
negligence.
Applying this fact to the facts in the Cambridge Water case, the question is to whether what
should have been foreseen in 1976 was the particular pollution of the water in the aquifer or
the general risk of pollution caused by the spillage of organochlorines. It may be that the
House of Lords in the instant case felt themselves constrained by the finding of fact in the
High Court that the PCEs were expected only to have evaporated, and that the only species
of harm might have been someone being overcome by fumes following a spillage.
Nonetheless, this issue of the precise degree of foreseeability may be raised in the future in
cases of environmental pollution and on rather different facts.
The insistence of foreseeability as a prerequisite of recovery in Rylands v Fletcher will

certainly make it less easy to predict when strict liability under that rule may be imposed
upon an operator who causes pollution.
In recent times, both in the House of Commons Select Committee on the Environment
(1990) and more recently in the UK Governments Response to the EU Commissions Green
Paper on Remedying Environmental Damage, the established view has been that common
law liabilities are clear and capable of addressing problems of historic pollution. Recovery for
historic pollution is by no means impossible (although this will now depend on questions of
foreseeability), but in general terms, such statements about the clarity and capacity of the
common law must be in doubt. It follows that the need for statutory intervention, of the kind
referred to by Lord Goff , may arise in the future.
6.0 Hunter and Others v Canary Wharf Limited (1997).
Hunter and Others v. Canary Wharf Ltd CA (1995), Hunter and Others v. London
Docklands Corporation (1997)
This case was also a landmark case for very different reasons. It demonstrates that
nuisance action is possible, even in the absence of the ownership of land. The case
concerned loss of enjoyment of television reception, and noise and grit caused by the
erection of the Canary Wharf Tower over a period of two years. The residents claimed that
their quality of life had been adversely affected.
The preliminary issues were considered by Judge Havery Q.C. He held that interference with
television reception is capable of constituting an actionable nuisance, but that a right of
exclusive possession of land is necessary to entitle a person to sue in private nuisance.
The Court of Appeal reversed the decision of Judge Havery, holding that the creation or
presence of a building in the line of sight between a television transmitter and other
properties is not actionable as an interference with the use and enjoyment of land, but that
occupation of property as a home provided a sufficiently substantial link to enable the
occupier to sue in private nuisance.
This case was important in that it extended the categories of people who could make a claim
for nuisance to those who occupy land as a home.
When the Lords subsequently upheld the Appeal Court's decision, they reaffirmed the need
to demonstrate a link between the right to sue and ownership of property.
The judgment of the House of Lords concentrated on two aspects of private nuisance.
The first issue was who could be seen to have a legitimate right in land, a necessary
requirement to sue in nuisance. The Lords rejected the interim case of Khorasandjian v
Bush, where it had been found that no proprietary interest in a property was required to bring
an action. In doing so, they upheld the findings of Malone v Lasky, establishing again that
only householders with a right to a property could commence actions in nuisance.
The second issue was that, after establishing who could bring an action for nuisance, what
rights were protected by the tort. Lord Lloyd in his judgment referred to three areas of private
nuisance:
"Private nuisances are of three kinds. They are
(1) nuisance by encroachment on a neighbour's land;
(2) nuisance by direct physical injury to a neighbour's land; and

(3) nuisance by interference with a neighbour's quiet enjoyment of his land."

6.1 Margereson and Hancock v J W Roberts Ltd (1996).
Margereson and Hancock v. J W Roberts Ltd, Principle of Date of Knowledge
This case involved environmental exposure to asbestos. Mr Margereson and Mrs Hancock
spent their childhood in an area close to an asbestos factory operated by the defendant
company in Leeds, in the 1930s and 1940s. Apparently, asbestos dust pervaded the area at
that time, and children played in the dust in the street and in the loading bays. Many years
later, both contracted mesothelioma, and the company admitted that the cause was the
asbestos from their factory. Actions for negligence, nuisance and the rule of Rylands v.
Fletcher were brought against the company.
The High Court determined the case only on the grounds of negligence. In order to show
that a duty of care was owed, it would have to be shown that the company could reasonably
have foreseen that its conduct would have exposed the children to risk of injury.
In the judgement, it was held that a duty of care was not limited to workers at the factory, but
could extend to others, such as nearby residents exposed to similar levels of asbestos dust.
It was also part of the judgment that there was sufficient knowledge on the part of the
company of the dangers of exposure to asbestos, to have foresight of that harm to children.
Damages of 50,000 and 65,000 were awarded.
The company appealed against that decision on the grounds that it was not until 1933 that it
could be said to have had adequate knowledge of the properties of asbestos so as to create
a duty of care to non-employees, and that Mr Margeresons mesothelioma could have been
contracted before 1933. The Appeal was dismissed. In the judgment, Lord Justice Russell
held that the evidence demonstrated that the defendant should have reasonably foreseen a
risk of some pulmonary injury, and that the company should have known about the risk of
asbestos exposure many years before the claimant was born. This date of knowledge has
far-reaching implications for many cases, especially in the field of health and safety.
7.0 Duties of Employers.
It is a well-established principle of common law that employers must take reasonable care
to protect their employees from the risks of foreseeable injury, disease or death at work.
General Duties
The common law duties of an employer were identified in general terms in Wilsons and
Clyde Coal Co Ltd v. English (1938). This case held that this incorporated a duty to:
provide safe plant and machinery, employ competent staff, provide safe systems of work,
provide a safe place of work, and safe means of access and egress.
Current Knowledge
If an employer is aware of a health and safety risk to employees, or ought, in the light of
current knowledge at that time, to have known of the existence of a hazard, they will be
liable if an employee is injured, or killed, or suffers illness as a result of the risk, or if the
employer failed to take reasonable care to avoid this happening. In the judgment on the case
of Margereson and Hancock v. JW Roberts Ltd (1996), it was stated that a report on the
danger of asbestos, published in 1930 (and the trigger for the Asbestos Industry
Regulations 1931, which came into force in March 1933), should be known to members of

that industry by that date; in practice, there were many reports on the danger of asbestos
dating back to the turn of the century. Thus the claim that someone exposed from 1925
onwards was accepted by the Court: the information which should have operated upon the
defendants corporate mind was in existence long before the claimants birth.
In environmental terms, this can occur when, for example, investigating contaminated land.
Foreseeability
A defendant is generally responsible for all damage that is a direct consequence of their act.
Case law exists to the effect that someone can only protect against something that they can
reasonably foresee.
Remoteness
Compensation can only be obtained when it is accepted that the injury or damage is not too
remote from the original wrong. Where there is an intervention between the negligence and
the damage, liability will still exist if the intervention was foreseeable. However, when
negligent work by a council led to a house subsiding and being left vacant, whilst there was
liability for the damage, there was no liability for subsequent damage by squatters who
moved into the empty property (Lamb v. London Borough of Camden 1981).
7.1 Breach of Statutory Duty.
Apart from suing for negligence, an injured person (or their dependants) might sue under the
tort of breach of statutory duty.
A breach of a statutory duty may result in a criminal prosecution by the enforcing authority
and - if successful - the guilty party will receive some sort of punishment, which is of little
benefit to the injured person. Judges in the 19th Century felt that those injured by acts
declared criminal by those statutes should be given a right to compensation which the
common law at that time failed to provide. A breach by the defendant of his statutory duty
may give a claimant a cause of action in tort. Such an action is irrespective of whether the
enforcing authority decides to prosecute.
The difficulty that arises with breach of statutory duty lies in discerning which statutes in their
breach give rise to a cause of action in tort:

Only if the case falls within the wording of the statute can the victim sue for
compensation.
Not all statutory duties give rise to civil action. Sometimes, the statute expressly
confers or denies such an action, but it is often left for the judges to read the mind of
Parliament.

In environmental cases, there are many instances where definitions and circumstances have
not been adequately defined in the legislation, and these may lead to judgements and
decisions having to be made by the Courts. The following elements must be proved (on a
balance of probabilities):

The statute must place the obligation on the defendant. For example, if the legislation
imposes duties on an employer, should a breach of these be used as the basis of a
civil case, then the defendant must be an employer.
The statutory duty was owed to that claimant (i.e. the claimant must show that they
are within the class of persons whom the statute was intended to protect). For

example, if the purpose of the statute is to protect employees, then a breach of that
statute can only be used for civil action by an employee.
The injury was of a type contemplated by the statute.
The defendant must be in breach of that duty.
The breach of statutory duty must have caused the injury.

7.2 Defences.
We have seen how common law places a duty of care on the employer, how negligence is
an indication of a lack of duty of care and that in certain cases, a breach of statutory duty
may give rise to civil liability and a claim for damages.
We now have to consider the defences which are available to claims of negligence and
breach of statutory duty:
Negligence

No Duty Owed

This defence is based upon the principle that there is no duty of care owed to the injured
party. It may be because it was not possible for the defendant to have reasonably foreseen
that the action would result in the condition that led to the injury to the claimant.

No Breach of Duty

The defendant must be in breach of the duty of care he owes to the claimant by being
careless or negligent. If there is no breach, the action must fail.

The Breach Did Not Lead to the Damage

The basis of this defence is that there was no direct connection between the breach and the
damage/injury that occurred.

Lack of Foreseeability

It was, under the circumstances, unforeseeable that the event or action would take place.

Remoteness of Damage

The kind of damage must be reasonably foreseeable, although neither the extent of the
damage nor the precise manner of its occurrence need be reasonably foreseeable.

Volenti Non Fit Injuria This phrase means that no injury can be done to the willing.

As far as the law of torts is concerned, no person who has consented to the infliction of an
act on himself can expect to find a legal redress for the consequences of that act. The
important point to remember is that there must be a true consent; i.e. if two men agree to
take part in a boxing match, then both must accept that they may be injured. In such an
event, neither could sue. The picture would be different if, during the boxing match, one of
the contestants picked up a club and hit the other boxer with it, thereby causing injury. This
act would be regarded as being outside the rules of the game and it would be actionable.

Necessity

Sometimes the defence of necessity is put forward. Essentially, this means that in some
circumstances it is reasonable to assume an abnormal risk. An example would be the
emergency services exceeding the speed limit to get to an incident in an emergency. The
risk of not getting there quickly could be argued as outweighing the increased risk of a road
traffic accident.
7.3 New Civil Court Procedures.
On 26th April 1999, new rules were introduced which changed the way civil claims are
conducted. These apply to all personal injury cases. The old rules of court (in both the High
Court and the County Court) have been replaced by the Civil Procedure Rules 1999 which
have been developed following the recommendations of Lord Woolf s report on Access to
Justice, published in 1996.The 1999 Rules were regularly amended year on year, with the
most recent amendments in 2010.
Before the Woolf report, prospective litigants were often deterred from starting an action due
to the costs and possible delaying tactics of defendants. The new rules were intended to
give the genuine claimant a better chance of achieving justice at a reasonable cost and
within an acceptable period. Equally, they would make it more difficult for a claimant with a
poor or speculative claim to make any progress. The rules had an overriding objective of
enabling the court to deal with cases justly.
To encourage early settlement, a number of pre-action protocols have been developed that
must be adhered to, otherwise the courts may impose sanctions. The personal injury preaction protocol has been designed for accidents at work, slips, trips and road traffic
accidents, which are likely to be allocated to the fast track.
The steps of the workplace accident protocol are as follows:
Letter of Claim
The claimant sends the prospective defendant letters detailing a summary of the facts, the
nature of any injuries, any financial losses incurred and requests details of the insurer.
Defendants Reply
The defendant should reply within 21 days, identifying the insurer (if any).
Investigation
The defendant (in most cases the insurance company) then has up to three months to
investigate the claim and to respond. The defendant may:
Admit liability: the defendant will then be bound by this admission for all claims with a
total value of up to 15,000.
Deny liability either completely or partially: the defendant must give reasons why
liability is not wholly accepted, and must include documents which are relevant to the denial
and of which the court would be likely to order disclosure.
The claimant must then decide whether to issue proceedings or abandon the claim.

During the operation of this protocol, the parties involved are encouraged to enter into
discussions and ideally, to settle prior to starting proceedings so that litigation is seen as the
last resort.
Proceedings
If proceedings commence, the defendant must offer a defence document which states:
the facts which are admitted;
the facts denied;
the defences version of events;
the facts which the defendant neither admits nor denies, and which the claimant must
prove.
Further documents that were not disclosed under the pre-action protocol may then need to
be disclosed and a disclosure statement should also accompany these.
All cases are now allocated to one of three tracks, governed mainly by the value of the claim:

Small claim track if damages are no more than 5,000.

Fast track if damages are above 5,000, but do not exceed 15,000.
Multi-track if damages exceed 15,000, or involve complex issues.

When it allocates a case to the fast track, the court gives directions for the management of
the case and sets a timetable for the steps to be taken between the giving of the directions
and the trial. Multi-track cases allow the courts greater flexibility to deal with a broad range of
complex cases and make use of case management conference, or a pre-trial review.
Question 5.
Apart from suing for negligence, an injured person or their dependants night sue under the
tort of breach of statutory duty.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

Question 6.
Defences available to claims of negligence and breach of statutory duty include....
Multiple Choice (HP)
Answer 1:

Proving a breach did not lead to damages

Response 1:
Jump 1:

This page

Answer 2:

Proving that no breach of duty occurred

Response 2:
Jump 2:

This page

Answer 3:

Proving no duty was owed

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

Question 7.
The old rules of court (in both High and County Courts) were replaced by the Civil
Procedures Rules in what year?
Multiple Choice (HP)
Answer 1:

1995

Response 1:
Jump 1:

This page

Answer 2:

1997

Response 2:
Jump 2:

This page

Answer 3:

1999

Response 3:
Jump 3:

Next page

8.0 Summary of Key Case.

Rylands v Fletcher
[1866] HL
[Tort negligence - duty of care - proving fault - strict
liability]
B constructed a reservoir which flooded A's mineshafts. B
employed a competent engineer and a contractor, to construct
the reservoir.

A had use of some mines under B's land. Some old unused
passages ran vertically up to B's land but they were blocked
with clay and earth. No care was taken to block up these shafts,
and shortly after water had been introduced into the reservoir it
broke through some of the shafts, flowed through the old
passages, and flooded As mine.

Held : A was entitled to recover damages from B in respect of

this injury, although there was no precedent.
Margereson & Hancock
v JW Roberts Ltd (1996)

CA
[Tort - negligence - foreseeability of harm]
D the owners of a factory near where the two complainants had
lived and played as children. They contracted mesothelioma
due to their exposure to asbestos

Held : D was liable to C because they knew or ought to have

known that asbestos dust was escaping from the factories into
the surrounding street and could cause harm to people who
were exposed to it.

Risk of harm of allowing asbestos dust to escape factory was

foreseeable

As stated by Lord Lloyd in Page v Smith (1995) , 'the test in

every case ought to be whether the defendant can reasonably
foresee that his conduct will expose the claimant to the risk'

C won

[Tort private nuisance]

CC alleged that their television reception had been affected by
the building of the Canary Wharf tower.
Hunter v Canary Warf
Ltd and London
Docklands Development
Corporation (1997) HL
Whole case, here

Cambridge Water Co v
Eastern Counties
Leather plc (1994)
Question 8.

Held: Overruling Khorasandjian on the point that the

occupation of property as a home (rather than a right to
exclusive possession) was sufficient capacity to bring an action
in private nuisance and reaffirming the decision in Malone v
Laskey . The idea that the complainant needed only a
"substantial link" with the property affected was too vague and
would transform nuisance from a tort to land into a tort to the
person.
There might be a nuisance if reception was affected by
activities (e.g. involving electrical discharges) on DD's
premises, but the mere presence of a building was not capable
of constituting a nuisance.
The law of private nuisance does not extend to personal
injuries, which are properly covered by the tort of negligence.
Nuisance Forseeability of damage is a requirement for strict
liability as well as for nuisance.

The first step of the workplace accident protocol is....

Multiple Choice (HP)
Answer 1:

Admit liability

Response 1:
Jump 1:

This page

Answer 2:

Investigation

Response 2:
Jump 2:

This page

Answer 3:

A letter of claim

Response 3:
Jump 3:

Next page

Question 9.
Fast track cases deal with claims of ......
Multiple Choice (HP)
Answer 1:

No more than 1000

Response 1:
Jump 1:

This page

Answer 2:

Above 1000 but below 15000

Response 2:
Jump 2:

Next page

Answer 3:

Exceeding 15000 of involving a complex issue

Response 3:
Jump 3:

This page

Please be advised that the course material is regularly reviewed and updated on the
elearning platform. SHEilds would like to inform students downloading these printable notes
and using these from which to study that we cannot ensure the accuracy subsequent to the
date of printing. It is therefore important to access the elearning environment regularly to
ensure we can track your progress and to ensure you have the most up to date materials.
Version 1.1c

Element 9 - Solid and Liquid Wastes.

Overall aims
On completion of this unit, candidates will have knowledge and understanding of:

the classification of waste;

specific legislative requirements applying to waste storage, transport, treatment and
disposal;
principles of monitoring techniques applying to solid and liquid waste;
control strategies and measures.

Specific intended learning outcomes

The intended learning outcomes are that candidates will be able to:

assess wastes and effluents to determine their category;

advise on the management of waste and effluent with reference to relevant legal
requirements;
devise strategies for minimising and monitoring waste and effluents;
advise management on appropriate control strategies and measures for solid and
liquid wastes.

Hours of tuition and private study

14 hours of tuition
5 hours private study

Relevant statutory provisions:

Trade Effluents (Prescribed Processes and Substances) Regulations 1989

Trade Effluents (Prescribed Processes and Substances) (Amendment) Regulations
1990
Trade Effluents (Prescribed Processes and Substances) Regulations 1992
Water Industry Act 1991, 1999 and 2003
Controlled Waste Regulations 1992 and associated Regulations
Radioactive Substances Act 1993
Transfrontier Shipment of Waste Regulations 2007
Hazardous Waste (England and Wales) Regulations 2005 and amendments 2009
The Special Waste Amendment (Scotland) Regulations 2004
The List of Wastes (England) Regulations 2005
End of Life Vehicle Regulations 2003 and End of Life Vehicles (Producer
Responsibility) Regulations 2005
Control of Pollution (Amendment) Act 1989
Environmental Protection Act 1990, Part II and Pollution Prevention and Control Act
1999

Environmental Protection (Duty of Care) Regulations 1991

Environmental Protection (Duty of Care) (England) Amendment Regulations 2003
Environmental Protection (Disposal of Polychlorinated Biphenyls & Other Dangerous
Substances) (England and Wales) Regulations 2000
The Waste Electrical and Electronic Equipment Regulations 2006 and amendments
2010
Producer Responsibility Obligations (Packaging Waste) Regulations 2007
Waste Incineration (England and Wales) Regulations 2002
The Environmental Permitting (England and Wales) Regulations 2010 (and regional
equivalents)

1.1 What is Waste?.

The definition of waste is a complex area of law which has been the subject of many cases
in the European Court. As a result, the definition continues to evolve and be refined from
year to year. The following cases should be explored to understand how the definition of
what is a waste has been refined :
Mayer Parry Recycling Ltd v Environment Agency, 1999
Mayer Parry Recycling Ltd v Environment Agency, 2003
Palin Grnit Oy and Vehmassalon kansanterveystyon kuntayhtyman hallitus, 2002
Castle Cement v Environment Agency, 2001
Arco Chemie Nederland Ltd v Minister van Volkshuisvesting, 2000
Schedule 2B of the Environmental Protection Act 1990 incorporates the European Waste
Framework Directive definition of waste into UK Law. Schedule 2B includes 16 categories of
waste and is intended to be illustrative rather than exhaustive.
The Environmental Protection Act 1990 states that waste includes any substance which
constitutes a scrap material, an effluent or other unwanted surplus arising from the
application of any process or any substance or article which requires to be disposed of which
has been broken, worn out, contaminated or otherwise spoiled; this is supplemented with
'anything which is discarded, or otherwise dealt with as if it were waste shall be presumed to
be waste unless the contrary is proved'.
This definition was further amended by the Waste Management Licensing Regulations 1994
which defines waste as 'any substance or object which the producer or the person in
possession of it, discards or intends or is required to discard but with exception of anything
excluded from the scope of the Waste Directive.'
It is the concept of discard which is particularly important to determine.
Therefore, the producer of a waste must ask themselves certain questions which will help
identify it as a waste, such as

is it a scrap material?
is it an unwanted surplus substance?
broken or worn out?

'Anything discarded or otherwise dealt with as if it were a waste'. This provides a simplistic
understanding as to whether the material in question is actually a waste.

Basic Definition of Waste

"Waste" includes(a) any substance which constitutes a scrap material or an effluent or other unwanted
surplus substance arising from the application of any process; and
(b) any substance or article which requires to be disposed of as being broken, worn out,
contaminated or otherwise spoiled;
but does not include a substance which is an explosive within the meaning of the [1875
c.17.] Explosives Act 1875.

Any thing which is discarded or otherwise dealt with as if it were waste shall be presumed to
be waste unless the contrary is proved.
1.2 What is Not a Waste?.
If a substance is not caught by the definition of controlled waste under the Waste
Management Licensing Regulations 1994 (Regulation 1(3)) then the waste management
licensing regime does not apply. Certain quarrying wastes, certain organic agricultural
wastes and waste waters are examples of such non-controlled wastes.
Such wastes are excluded from the definition of controlled waste because they are caught
by other legislation, such as waste water which is caught by the Urban Waste Water
Treatment Directive or certain agricultural wastes are within the scope of the Animal ByProducts Regulations. As a consequence, the waste management licensing does not seek to
duplicate.
1.3 Types of Waste.
Having defined the material is a waste, there are various pieces of legislation including the
Environmental Protection Act 1990, the Controlled Waste Regulations 1992 and the Waste
Management Licensing Regulations 1994 which seek to further define the types of wastes
as they are legally defined by the processes or premises from which they are produced.
Ways of defining waste include the view of the individual or organisation involved in any
activity from life itself to sophisticated technical manufacturing, producing a product and an
unwanted by-product, thereby defined as waste.
It may be however, that this by-product is useful in another process. This complication over
individual or corporate interpretation of what is waste has led to strict legal definition to
ensure that all wastes produced are handled according to the laws and regulations.

Controlled Waste
Controlled wastes are so called because they are controlled by legislation and storage
handling, transport and disposal must meet certain legal requirements set down in the
legislation.
Household, industrial or commercial waste, including special (now known as Hazardous
Waste) and clinical waste are so defined in accordance with the Controlled Waste
Regulations 1992. The Controlled Waste Regulations define the various waste types in the
following way:
i) Household waste is that which arises from dwellings of various types including houses,
caravans, houseboats, campsites, prisons and wastes from schools, colleges and
universities.
ii) Commercial waste comes from premises used wholly or mainly for trade, business, sport,
recreation or entertainment; it excludes household and industrial waste.
iii) Industrial waste is waste from a factory or industrial process; it excludes wastes from
mines and quarries and agricultural wastes.
The storage, handling, movement and disposal of controlled waste is strictly regulated with
the Environmental Protection Act 1990 introducing a chain of accountability for controlled
waste and the concept of Duty of Care.
Household Waste
Waste from a domestic property, caravan, residential home, educational establishment,
hospital or nursing home with the exception of mineral or synthetic oil or grease, asbestos
and clinical waste.
Clinical Waste
Any waste consisting wholly or partly of human or animal tissue, blood or other body fluids,
excretions, drugs or other pharmaceutical products, swabs or dressings, or syringes,
needles or other sharp instruments, being waste which - unless rendered safe - may prove
hazardous to any person coming into contact with it.
Any waste arising from medical, nursing, dental, veterinary, pharmaceutical or similar
practices, investigation, treatment, care, teaching or research, or the collection of blood for
transfusion, being waste which may cause infection to any person coming into contact with
it.
Clinical waste is further subdivided for management purposes into hazard risk groups 1 to 4
(Advisory Committee on Dangerous Pathogens) and Groups A1-A3 and B, C, D and E
(Health Services Advisory Committee).
Hazardous Waste
Hazardous wastes (previously referred to as Special Waste) are potentially harmful to
human health or to the environment, either immediately or over an extended period of time.
These are called hazardous for a variety of reasons (or hazard codes) including toxicity,
explosiveness, flammable, carcinogenic etc. However, there is no easy definition of
hazardous waste as account needs to be taken of the properties of each substance which

may or may not be a function of its concentration.

As a consequence of their hazardous properties, hazardous wastes require specialist
treatment, control and final disposal. The European Waste Catalogue (implemented in the
UK through the List of Wastes ( England ) Regulations 2005) contains a list of substances
considered to be hazardous. In the European Waste Catalogue, hazardous wastes are
marked with an asterisk.
In addition, it should be noted that although radioactive waste is not classified as controlled
waste, some radioactive wastes possessing certain hazardous properties may be classed as
special/hazardous waste.
Agricultural Waste
Agricultural waste is defined as waste from premises used for agriculture within the meaning
of the Agriculture Act 1947, the Agriculture (Scotland ) Act 1948 or the Agriculture Act (
Northern Ireland ) 1949 .
Agricultural waste therefore includes a range of waste streams that originate from
agricultural or horticultural establishments, for example, agricultural plastics and packaging
waste, empty pesticide containers, clinical waste, tyres, old machinery and oil. Where
manure slurry and effluent is used as a fertiliser on the farm where it originated, it is not
considered to be waste.
Recently, the Controlled Waste Regulations have been amended to encompass agricultural
waste as well. Since May 2006, agricultural wastes have been within the controlled wastes
definition. This amendment has made it illegal to continue burning or burying wastes on
farms without appropriate permissions as with other controlled wastes. Agricultural waste is
therefore subject to the same waste disposal and duty of care requirements as other
controlled wastes.
Certain wastes derived from agricultural premises are subject to strict control under the
Animal By-Products Regulations (for example, carcasses and some bedding materials)
and/or may be subject to control under Clinical Waste, Hazardous Waste or Radioactive
Waste legislation.
Radioactive Waste
Radioactive waste is defined in the Radioactive Substances Act 1993 as any waste which
i) consists wholly or partly of substance which would otherwise be classified as a radioactive
material (these are listed in Schedule 1 of the Act with associated threshold values) or
ii) any substance contaminated by a radioactive material or radioactive waste.
It should be noted that some radioactive waste may also be classified as hazardous waste.
1.4 Summary of the Main Categories of Controlled Waste.
Summary of the Main Categories of Controlled Waste
"Directive Waste" is any substance or object which the producer or the person in possession
of it discards or intends or is required to discard. This forms the basic definition of waste in

the UK. Other categories of waste are subsets within Directive Waste.
"Controlled waste" means household, industrial and commercial waste or any such waste,
where:
"Industrial Waste" originates from:
(a) factories;
(b) premises related to any public transport services;
(c) any premises used for supply to the public of gas, water or electricity or the provision of
sewerage services; or
(d) any premises used for the provision to the public of postal or telecommunications
services.
"commercial waste" means waste from premises used wholly or mainly for the purposes of a
trade or business or the purposes of sport, recreation or entertainment excluding:
(a) household waste;
(b) industrial waste;
(c) waste from any mine or quarry and waste from premises used for agriculture and
"household waste" includes waste from:
(a) domestic property or residential home;
(b) a caravan;
(d) premises forming part of a university or school or other educational establishment;
(e) premises forming part of a hospital or nursing home.
"Hazardous Waste"
This subcategory of controlled waste includes waste that has hazardous properties, and is
defined by the Hazardous Waste Regulations 2005 and the List of Waste Regulations 2005.
There are 14 hazardous properties defined by the Hazardous Waste Regulations 2005
including explosive, flammable, irritant, toxic, harmful, carcinogenic, mutagenic or corrosive.
For wastes with specific hazardous properties, such as toxic or irritant, there is a threshold
quantity/concentration below which the waste is not considered as hazardous waste, rather
a non-hazardous waste.
Household waste is generally excluded from Hazardous Waste Regulations 2005 other than
as set out in Regulation 14 for separately collected domestic fractions and Regulation 13
which relates to asbestos produced by householders.
The Hazardous Waste Regulations 2005 implement the EU Hazardous Waste Directive
(91/689/EEC, as amended).
The List of Waste Regulations 2005 lists those wastes which are considered to be
hazardous wastes. This includes absolute hazardous wastes and mirror entry hazardous
wastes which must be assessed further to determine whether they are hazardous. Hazard
information and classification can be found in the "Approved Supply List" and the "Approved
Guide to Classification and Labelling" provided by the Health and Safety Executive.
1.5 Categorising Controlled Wastes.
European Waste Catalogue (EWC) Classification

The European Waste Catalogue (EWC) is a method of classifying all wastes produced
across the member states of the European Community. The European Waste Classification
describes all wastes produced and classifies all wastes using a six-digit code. The EWC
contain 20 different chapters that refer either to a process that produced the waste or
specific waste types (see the list below).
The chapters are given to a two-digit number as follows:
01 Wastes resulting from exploration, mining, quarrying, physical and chemical treatment of
minerals.
02 Wastes from agriculture, horticulture, aquaculture, forestry, hunting and fishing, food
preparation and processing.
03 Wastes from wood processing and the production of panels and furniture, pulp, paper
and cardboard.
04 Wastes from the leather, fur and textile industries.
05 Wastes from petroleum refining, natural gas purification and pyrolytic treatment of coal.
06 Wastes from inorganic chemical processes.
07 Wastes from organic chemical processes.
08 Wastes from the manufacture, formulation, supply and use (MFSU) of coatings (paints,
varnishes and vitreous enamels), adhesives, sealants and printing inks.
09 Wastes from the photographic industry.
10 Wastes from thermal processes.
11 Wastes from chemical surface treatment and coating of metals and other materials; nonferrous hydro-metallurgy.
12 Wastes from shaping and physical and mechanical surface treatment of metals and
plastics.
13 Oil wastes and wastes of liquid fuels (except edible oils, 05 and 12).
14 Waste organic solvents, refrigerants and propellants (except 07 and 08).
15 Waste packaging; absorbents, wiping cloths, filter materials and protective clothing not
otherwise specified.
16 Wastes not otherwise specified in the list.
17 Construction and demolition wastes (including excavated soil from contaminated sites).
18 Wastes from human or animal health care and/or related research (except kitchen and

restaurant wastes not arising from immediate health care).

19 Wastes from waste management facilities, off-site waste water treatment plants and the
preparation of water intended for human consumption and water for industrial use.
20 Municipal wastes (household waste and similar commercial, industrial and institutional
wastes) including separately collected fractions.
Each of these chapters has sub-chapters shown by four digits. The sub-chapters contain the
unique six-digit code for each waste.
Question 1.
Which of the following are categories of waste?
Multiple Choice (HP)
Answer 1:

Controlled

Response 1:
Jump 1:

This page

Answer 2:

Hazardous

Response 2:
Jump 2:

This page

Answer 3:

Agricultural

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

2.0 Waste Legislation.

This section briefly describes the main areas of European and national legislation impacting
upon waste management in the UK. There is also another influence that impacts upon waste
management and that is at the international level e.g. the Kyoto Protocol on Climate Change
which is an international commitment reflected across not only European Directives but also
other countries across the globe.

European Directives
European legislation has increasingly influenced UK waste and pollution controls, with most
UK legislation impacting on waste management now implemented as a result of the
requirements of European Directives. There are three main elements to the European
Union's waste legislation:
i) horizontal legislation, establishing the overall framework for the management of wastes,
including definitions and principles;
ii) legislation on treatment operations, such as landfill or incineration, which tends to set
broad technical requirements for the operation of the impacted waste facilities;
iii) legislation on specific waste streams, such as ozone depleting substances, waste oil
waste electrical and electronic equipment or batteries, which usually include set targets to
increase recycling of the waste or to reduce its hazardousness.
Framework Directive on Waste 75/442/EEC, as amended by Directive 91/156/EEC and
96/350/EC
The Waste Framework Directive (75/442/EEC, as amended by Council Directive
91/156/EEC, 91/692/EEC and 96/350/EC) is the basis for the UKs waste regulatory
requirements describing the key elements of Community waste management strategy,
including the waste management hierarchy and the principles of proximity and selfsufficiency which remain as key principles underpinning waste policy in the UK.
The Directive requires that Member States establish national waste management plans,
setting out their policies on the disposal and recovery of waste and a procedure for licensing
those companies involved in waste disposal or recovery
The amended Waste Framework Directive was to be implemented by the Member States
through laws, Regulations and administrative provisions by 1st April 1993. In the UK it was
implemented principally through the Waste Management Licensing Regulations 1994.
Key Sections of the Framework Directive on Waste
Article 1 defines waste as 'any substance or object which the holder disposes of or is
required to dispose of pursuant to the provisions of national law in force', and disposal meant
'the collection, sorting, transport and treatment of waste as well as its storage and tipping
above or under ground and the transformation operations necessary for its re-use, recovery
or recycling'.
Article 2 identifies the categories of material excluded from the scope of the Directive,
including wastes covered by other Directives, including waste water and gaseous effluents.
Articles 3, 4 and 5 detail the general objectives of the Waste Framework Directive.
Article 3 outlines the principal of the waste hierarchy.
Article 4 sets out the overall health and environmental objectives of the Directive by

requiring Member States to take necessary measures to ensure that waste is recovered or
disposed of without endangering human health and without using processes or methods
which could harm the environment and in particular without:

risk to water, air, soil and plants and animals;

causing nuisance through noise or odours; and
adversely affecting the countryside or places of special interest

Article 4 also requires Member States take measures to prohibit abandonment, dumping or
the uncontrolled disposal of waste.
Article 5 introduces the concept of the proximity principle and imposes the duty on Member
States to establish a integrated and adequate network of disposal facilities which enables
waste to be disposed of at one of the nearest appropriate facilities.
Article 8 requires that there be a licensing system for any disposal installation or
undertaking and these had to be periodically inspected by the competent authority to ensure
that the conditions of the permit or licence were being fulfilled.
Articles 9 and 10 require that any establishment or undertaking which carries out the
disposal or recovery of waste must obtain a permit from the competent authority.
Article 11 introduces the 'polluter pays' principle for the cost of waste disposal, i.e. that it
had to be borne by the holder of the waste and/or previous holders or the producer of the
waste.
2.1 Other European Directives Relating to Waste.
There are a number of other European Directives which relate to waste management and
pollution control. The main Directives and the implementing legislation in UK are as follows:
Directive 96/61/EC on Integrated Pollution Prevention and Control
Some larger institutions have on-site incineration facilities and as a result, it is appropriate to
consider these.
During 2000, a new pollution control regime was introduced in the UK to implement Directive
96/61/EC on Integrated Pollution Prevention and Control (IPPC). Over the period 2000 to
2007, this replaced the systems of Integrated Pollution Control (IPC) and Local Authority
Pollution Control (LAPC) that existed under Part I of the Environmental Protection Act 1990.
The legislation was introduced by the Pollution Prevention and Control Act 1999 and is
enacted by the Pollution Prevention and Control (England and Wales) Regulations 2000 (SI
2000 No 1973) as amended and by the Pollution Prevention and Control ( Scotland )
Regulations 2000 (SSI 2000 No 323) in Scotland.
The overall aim of IPPC is to use an integrated approach to achieve a high level of
protection for the environment taken as a whole by, in particular, preventing or, where that is
not practicable, reducing emissions into air, water and land. The basis of the control
systems to ensure this protection is through a system of permit (similar to the old
authorisation under IPC) for specific types of installation including larger waste management
facilities, landfill sites and incinerators. The Regulations created regimes for Part A and Part

B activities (similar to those laid out in Part I of the Environmental Protection Act 1990).
Within its overall aim, Pollution Prevention and Control has specific objectives that include:

Prevention or reduction of emissions from installations. This is achieved by setting

Emission Limit Values (ELVs) These are set after consideration of the Best Available
technique (BAT) for the process and circumstances.
The requirement for permit applications to include an assessment of environmental
impacts for the installation and measures that will be used to mitigate adverse
effects.
Consideration of the appropriate Environmental Quality Standard (EQS)
Promotion of the minimisation of waste reduction and release
Requirements for the process to be resource-efficient (energy, water, raw materials
etc)
Consideration of the risk of accidents that would affect the environment.

Existing incinerators were required to be transferred from the IPC to IPPC regime by March
2005 (new plant was required to comply immediately) and, in addition to meeting the general
requirements of IPPC, had to comply with the new Waste Incineration Directive (Directive
2000/76/EC).
This Directive is implemented in the UK by Waste Incineration Regulations 2002 (SI 2002 No
2980) and the Waste Incineration (Scotland) Regulations 2003

Waste Batteries and Accumulators Directive

Directive 2006/66/EC of the European Parliament and of the Council of 6th September 2006
on batteries and accumulators and waste batteries and accumulators and repealing Directive
91/157/EEC [See amending acts].
Context
This Directive repeals and replaces Directive 91/157/EEC.
Several hundred thousand tons of industrial and portable batteries and accumulators are
placed on the Community market every year. A wide range of metals are used, from
mercury, lead and cadmium to nickel, copper, zinc, manganese and lithium.
Disposing of the waste from these products pollutes the atmosphere (in the case of
incineration) and contaminates ground-cover and water (in the case of landfill or burial).
Through appropriate rules it will be possible to reduce the environmental pollution from this
waste. In addition, recycling the waste enables the recovery of thousands of tonnes of
metals, including precious metals like nickel, cobalt and silver.
SUMMARY
The Directive prohibits the placing on the market of certain batteries and accumulators with a
proportional mercury or cadmium content above a fixed threshold. In addition, it promotes a
high rate of collection and recycling of waste batteries and accumulators and improvement in

the environmental performance of all involved in the life-cycle of batteries and accumulators,
including their recycling and disposal.
The aim is to cut the amount of hazardous substances - in particular, mercury, cadmium and
lead - dumped in the environment; this should be done by reducing the use of these
substances in batteries and accumulators and by treating and re-using the amounts that are
used.
The Directive applies to all types of batteries and accumulators, apart from those used in
equipment to protect Member States' security or for military purposes, or in equipment
designed to be sent into space. It therefore covers a wider range of products than Directive
91/157/EEC, which applied only to batteries containing mercury, lead or cadmium, and
excluded "button cells".
The Directive prohibits:

batteries and accumulators, whether or not incorporated in appliances, containing

more than 0.0005% by weight of mercury (except for button cells, which must have a
mercury content of less than 2% by weight);
portable batteries and accumulators, including those incorporated in appliances, with
a cadmium content by weight of more than 0.002% (except for portable batteries and
accumulators for use in emergency and alarm systems, medical equipment or
cordless power tools).

Batteries or accumulators which do not meet the requirements of this Directive were
prohibited from being placed on the market after 26th September 2008.
To ensure that a high proportion of spent batteries and accumulators are recycled, Member
States must take whatever measures are needed (including economic instruments) to
promote and maximise separate waste collections and prevent batteries and accumulators
being thrown away as unsorted municipal refuse. They have to make arrangements enabling
end-users to discard spent batteries and accumulators at collection points in their vicinity
and have them taken back at no charge by the producers. Collection rates of at least 25%
and 45% have to be reached by 26th September 2012 and 26th September 2016
respectively.
In principle, it must be possible to remove batteries and accumulators readily and safely. It is
for Member States to ensure that manufacturers design their appliances accordingly.
Member States also had to ensure that, from 26th September 2009 at the latest, batteries
and accumulators that had been collected were treated and recycled using the best available
techniques. Recycling had to exclude energy recovery.
As a minimum, treatment must include removal of all fluids and acids. Batteries and
accumulators must be treated and stored (even if only temporarily) in sites with impermeable
surfaces and weatherproof covering, or in suitable containers.

The recycling of battery and accumulator content to produce similar products or for other
purposes has to reach the following levels by 26th September 2011:

at least 65% by average weight of lead-acid batteries and accumulators, including

the recycling of the lead content to the highest degree that is technically feasible;
75% by average weight of nickel-cadmium batteries and accumulators, including the
recycling of the lead content to the highest degree that is technically feasible;
at least 50% by average weight of other battery and accumulator waste.

If there is no viable end market, or if a detailed assessment of environmental, economic and

social impact concludes that recycling is not the best solution, Member States may dispose
of batteries and accumulators containing cadmium, mercury or lead in landfills or
underground storage. Otherwise, it is prohibited to put waste from industrial and automotive
batteries and accumulators into landfill, or to incinerate it; only residues from treating and
recycling them may be disposed of in these ways.
Treatment and recycling may take place outside the Member State concerned or even
outside the Community, provided EU legislation on the shipment of waste is respected.
The producers have to bear the cost of collecting, treating and recycling industrial,
automotive and portable batteries and accumulators, as well as the costs of campaigns to
inform the public of these arrangements. Small producers may be exempted from this
obligation if this does not impede the proper functioning of the collection and recycling
schemes. All producers of batteries and accumulators have to be registered.
End-users are to be informed in various ways:

through campaigns covering, among other things, the potential effects on the
environment and human health of the substances used in batteries and
accumulators, and the collection and recycling arrangements at the end-users'
disposal;
being directly informed by distributors that they can discard waste batteries and
accumulators at sales points;
visible, legible and indelible markings on batteries, accumulators and battery packs
with the following information: the symbol of the crossed-out wheeled bin (in Annex II
to the Directive); the capacity of the accumulator or the portable battery; the chemical
symbols Hg, Cd and Pb if the batteries, accumulators or button cells contain over
0.0005% mercury, over 0.002% cadmium or over 0.004% lead. If the battery,
accumulator or battery pack are too small, this information appears on the packaging.

The Member States must send the Commission reports on the implementation of the
Directive and the measures they are taking to encourage developments affecting the impact
of batteries and accumulators on the environment (including new recycling and treatment
techniques) - the first report will cover the period until 26th September 2012; subsequent
reports are to be produced every three years. On the basis of these reports, the Commission
must publish its own report on the implementation of the Directive and its impact on the
environment and the functioning of the internal market.

A review of the Directive will be carried out after the second round of reports from the
Member States. The Commission will examine the appropriateness of further risk
management measures, minimum collection targets and minimum recycling obligations, and
if necessary propose amendments to the Directive.

The Waste Batteries and Accumulators Regulations 2009

From 1st February 2010, anyone selling more than 32kg a year of portable batteries will
need to take back used batteries from the public free of charge.
The Waste Batteries and Accumulators Regulations came into force on 5th May 2009
establishing a new Producer Responsibility system for the collection, treatment and recycling
of waste portable, industrial and automotive batteries. This follows a Europe-wide Batteries
Directive (see above) which aims to increase battery recycling rates across all European
member states.
Responsibility for leading the implementation of the Batteries Directive was shared between
Defra and the Department for Business, Innovation and Skills (BIS, formerly BERR) namely:

Defra leading on portable/household battery provisions (including portable batteries

arising from business and industry) and on treatment provisions for all batteries.
BIS leading on automotive/industrial batteries and single market provisions.

Please note, the word batteries refers to both disposable batteries and accumulators
(rechargeable batteries).
The regulations will introduce, for portable batteries:

collection targets of 25% to be reached by 2012 and 45% to be reached by 2016;

interim collection targets to assess progress towards these targets;
producer responsibility for battery collection and recycling. Producers will do this by
joining a Battery Compliance Scheme (BCS) who will arrange the collection and
recycling of waste portable batteries on their behalf. BCSs will also carry out publicity
to inform consumers on how they can return their waste household batteries for
recycling;
a requirement for producers who put less than 1 ton a year of portable batteries on
the market, to register with the environment agencies but not have to fund collection,
treatment and recycling;
a requirement from February 2010, for certain retailers of portable batteries to
provide a take back facility for waste batteries.

For industrial and automotive batteries:

prohibition of disposal of automotive & industrial batteries into landfill and

incineration, therefore all industrial and automotive batteries to be recycled;
a requirement for producers of industrial batteries to offer free take back on all

industrial batteries from end users;

a requirement for producers of automotive batteries to set up collection schemes for
spent automotive batteries not covered under schemes established under the End of
Life Vehicles Directive.

2.2 Landfill of Waste Directive 1999/31/EC.

The main aim of the Landfill Directive was to prevent, or reduce as far as possible, the
negative effects of the landfill of waste on the environment and human health. It was
introduced to ensure that landfill sites across the European Union faced strict regulatory
controls on their operation, environmental monitoring and long-term care after closure.
The Directive also aimed to reduce the emission of methane from landfill sites. Where
methane is produced, the Directive aimed to ensure that it is used productively, by requiring
the collection, treatment and use, where possible, of the gas from all landfills receiving
biodegradable waste. To help fulfil its objective of reducing methane emissions, the Landfill
Directive introduced progressively diminishing limits on the landfill of biodegradable
municipal waste.
Implementation of these targets:

By 2010 to reduce biodegradable municipal waste landfilled to 75% of that produced

in 1995.
By 2013 to reduce biodegradable municipal waste landfilled to 50% of that produced
in 1995.
By 2020 to reduce biodegradable municipal waste landfilled to 35% of that produced
in 1995.

Other changes required by the Directive included:

To obligate landfill operators to submit conditioning plans, which describe the nature
of compliance with the Directive.
To classify sites on the basis of the waste accepted in terms of inert, non-hazardous
and hazardous waste types.
To ban the co-disposal of hazardous and non-hazardous wastes to landfill.
To ban the landfilling of certain hazardous wastes, including corrosive, flammable
and oxidising wastes, hospital and other clinical wastes, toxic wastes, and liquid
wastes.
To ban the disposal of whole tyres and shredded tyres.
To treat wastes, including hazardous wastes, prior to final disposal - provided that it
is technically feasible.
To establish an environmental monitoring programme at landfill sites, which relates to
landfill leachate, gas and groundwater modelling.

EC Regulation on Substances that Deplete the Ozone Layer EC 2037/2000

This Regulation became directly applicable in the UK from 1st October 2000 and replaced
the previous regulation, EC 3093/94.
The major points of the Regulation regarding recovery and destruction of all Ozone
Depleting Substances (ODS) include:

Tougher requirements regarding the recovery of ODS from products and equipment.
All ODS used in refrigeration and air conditioning equipment must be recovered
during servicing and maintenance of equipment or prior to the dismantling or disposal
of the equipment, which includes domestic fridges and freezers. Recovered CFCs
must be destroyed by an approved technology.
All ODS must be removed during servicing and maintenance of equipment or prior to
dismantling or disposal of equipment. With the exception of HCFCs, all recovered
ODS solvents must be destroyed by an environmentally acceptable technology.
All halons and other ODS contained in fire protection systems and fire extinguishers
must be recovered during servicing and maintenance of equipment or prior to
dismantling or disposal of equipment. Recovery must be for destruction by an
environmentally acceptable technology. The only exemption to this rule is for reuse in
the critical uses listed within the Regulation.
ODS must be recovered from foams (including insulation foams) if practicable. The
recovered fluid must be destroyed or reused.

Any contractor that removes appliances containing CFCs pending disposal must hold a
Waste Management Licence (along with an appropriate planning permission) for the storage
of this hazardous waste. The final destruction of the ODS must be carried out in a licensed
treatment facility.
Question 2.
The main aim of the Landfill Directive is to prevent or reduce , as far as possible, the
negative effects of the landfill of waste on the environment and human health.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

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2.3 Waste Incineration Directive 2000/76/EC.

The Waste Incineration Directive (WID) is applicable to almost all incinerators, including
those that are currently controlled under waste management licensing and also those that
are currently exempt from licensing. The Directive sets tight emissions standards which all
plant must meet. Exemptions from the Directive include incinerators that treat only

radioactive waste;
animal carcases;
cremation of human remains;
experimental incinerators that treat < 50 tons per year;

vegetable waste from agriculture and forestry.

The new Waste Incineration Regulations cover the incineration and co-incineration (e.g. in
cement kilns or combustion units) of both hazardous and non-hazardous waste (as defined
in Section 5.1 of Schedule 1 to the PPC Regulations, as amended). They require compliance
with the WID technical requirements, which aim to reduce air, water and ground pollution.
The aim of the Waste Incineration Directive is to prevent or to limit as far as practicable
negative effects on the environment from the incineration and co-incineration of waste,
especially pollution by emissions to air, soil, surface water and groundwater and the resulting
risks to human health.
The Directive sets out that all incineration and co-incineration plants must be authorised and,
in order to guarantee complete waste combustion, the incineration or co-incineration gases
must be kept at a temperature of at least 850C for at least 2 seconds. Limit values for
incineration and co-incineration plant emissions to atmosphere are defined, as are further
operating conditions.
However, the Directive does not apply to experimental plants for improving the incineration
process and which treat less than 50 tons of waste per annum and it does not cover
incineration plants treating only:

vegetable waste from agriculture and forestry, the food processing industry or the
production of paper;
wood waste;
cork waste;
radioactive waste;
animal carcasses;
waste resulting from the exploitation of oil and gas and incinerated on board offshore
installations.

2.4 End-of-Life Vehicles Directive 2000/53/EC.

The End of Life Vehicles (ELV) Directive (2000/53/EC) came into force on 21st October
2000 and was implemented in Member States in April 2002.
The Directive lays down measures which aim, as a first priority, at the prevention of waste
from vehicles and, in addition, at the reuse, recycling and other forms of recovery of end-of
life vehicles and their components so as to reduce the amount of waste disposed to landfill.
It also aims at the improvement in the environmental performance of all of the economic
operators involved in the life cycle of vehicles and especially the operators directly involved
in the treatment of end-of life vehicles.
Two of the main implications of the Directive are:

The introduction of controls on the scrapping ("treating") of ELVs by restricting

treatment to authorised treatment facilities
The setting of rising reuse, recycling and recovery targets:
o 85% of all ELVs to be reused or recovered, 80% reused or recycled, by
January 2006
o 95% of all ELVs to be reused or recovered, 85% reused or recycled, by 2015

Sites engaged in dismantling vehicles needed a new permit, and planning permission was a
prerequisite of the permit.
In the UK, the directive was implemented as
The End of Life Vehicles Regulations 2003
The End of Life Vehicles (Producer Responsibility) Regulations 2005
The End of Life Vehicles (Amendment) Regulations 2010.

Animal By-Products Regulation (EC) 1774/2002

On 3rd October 2002, the EU adopted Regulation (EC) No 1774/2002 governing animal
byproducts not intended for human consumption, which lays down strict animal and public
health rules for the collection, transport, storage, handling, processing and use or disposal of
all animal by-products.
Animal-By-Products are defined in the Regulations as entire bodies or parts of animals or
products of animal origin not intended for human consumption and include:

ova, embryos and semen not intended for breeding purposes;

manure and gut contents;
animal carcases and parts of carcases (including blood, shells, feathers, hides, skins,
hooves, horns, wool, hair and fur);
catering waste from restaurants, catering facilities and kitchens that is intended for
feeding animals, for making biogas or for composting.

The Regulations applied directly to the UK from May 2003, however UK Regulations have
been introduced to put in place enforcement powers and transitional measures via The
Animal By-Products Regulations 2003 (in England), The Animal By-Products (Scotland)
Regulations 2003 (in Scotland), the Animal By-Products (Wales) regulations (in Wales) and
by the Animal By-Products Regulations (Northern Ireland) 2003.
The Regulation divides animal by-products into three categories:
Category 1 is the highest risk category and includes material such as Specified Risk
Material and the carcasses of animals infected, or suspected of being infected, with BSE.
The permitted disposal routes are incineration and rendering in a Category 1 rendering plant.
Category 2 is also high-risk material (e.g. diseased animals, condemned material and
animals which are not slaughtered for human consumption). The permitted disposal routes
include incineration and rendering in a Category 1 or 2 rendering plant.
Category 3 is essentially material which is fit for human consumption. The permitted
disposal routes are:

incineration;
rendering in a Category 1, 2 or 3 rendering plant;
use in a pet food plant;
use in a technical plant; and

treatment in a biogas or composting plant.

The Regulation would permit the treatment of category 3 material in composting plants and
biogas plants. The material would need to be reduced to a size of 12mm and treated at 70C
for at least one hour in a closed vessel on approved premises. The compost or residues
could be used as fertiliser on non-pasture land (i.e. land that is not grazed by animals).
Manure and digestive tract contents could be used without pre-treatment, but other category
2 material could only be used in a composting or biogas plant if it had first been rendered to
the pressure cooking standard.
The Animal By-Products Regulation includes controls on incinerators that burn only animal
carcasses.
Question 3.
The Waste Incineration Directive (WID) is applicable to all incinerators.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

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Answer 2:

False

Response 2:
Jump 2:

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2.5 Waste Electrical and Electronic Equipment (WEEE).

Triggered by concerns about the potential harm to the environment from production and
disposal of electronic and electrical equipment (EEE) and the sheer quantity that is produced
(constituting 4% of municipal waste and increasing on average three times as fast as the
growth in municipal waste) and disposed, the EU adopted two Directives to address this.
Their aim was to prevent the production and disposal of WEEE, largely though the
introduction of provisions relating to reuse and recycling. They also aimed to improve the
environmental performance of all operators involved in the life cycle of electrical and
electronic equipment.
These Directives were the Waste Electrical and Electronic Equipment Directive
(2002/96/EC) (WEEE Directive) and the Restriction of the Use of Certain Hazardous
Substances in Electrical and Electronic Equipment (RoHS) Directive (2002/95/EC).
In February 2003, the European Commission adopted the Directive on Waste Electrical and
Electronic Equipment (WEEE) which was implemented in Member States by August 2004.
Electrical and electronic equipment contains significant amounts of material (e.g. heavy
metals and halogenated substances) that - if incorrectly disposed - may pose significant

hazards to health and to the environment. In addition, disposal results in the loss of large
quantities of valuable resources (e.g. metals and plastics). Recycling of these would reduce
the overall volume of waste generated and the need to use virgin raw materials.
The WEEE Directive applies to all electronic and electrical equipment that is dependant on
electrical currents or electromagnetic fields and has a voltage rating of less than 1000 Volts
for AC and 1500 Volts for DC.
Key points of the WEEE Directive include:

a compulsory household collection target of 4 kg by the end of 2006;

compulsory producer responsibility for financing the management of consumer
electrical and electronic waste;
measures must be taken by member states to minimise the disposal of WEEE by
consumers as unsorted municipal waste;
producers banned from preventing reuse or recycling of products with clever chips;
the costs of treating historical waste are to be shared proportionately between
producers on the market when costs rise;
the Directive includes recycling/reuse and recovery targets for waste electrical goods.

2.6 UK Waste Legislation.

The following is a list of current waste legislation in the UK :

Control of Pollution (Amendment) Act 1989

Clean Neighbourhoods and Environment Act 2005
Environment Act 1995
Environmental Protection Act 1990
Controlled Waste Regulations 1992 SI 588
Controlled Waste (Amendment) Regulations 1993 SI 566
Controlled Waste (Registration of Carriers and Seizure of Vehicles) Regulations 1991
SI 1624
Controlled Waste (Registration of Carriers and Seizure of Vehicles) (Amendment)
Regulations 1998, SI 605
End of Life Vehicles Regulations 2003, SI 2635
End-of-Life Vehicles (Producer Responsibility) Regulations 2005 SI 263
Environmental Protection (Duty of Care) Regulations 1991 SI 2839
Environmental Protection (Duty of Care) (England) (Amendment) Regulations 2003
SI 63
EU Regulation on the Supervision and Control of Shipments of Waste 259/1993
EU Regulation laying down Health Rules concerning Animal By-Products not
intended for Human Consumption 1774/2002
Hazardous Waste (England and Wales) Regulations 2005, SI 894
Landfill (England and Wales) Regulations 2002 SI 1559
Landfill (England and Wales) (Amendment) Regulations 2004 SI 1375
Landfill (England and Wales) (Amendment) Regulations 2005 SI 1640
List of Wastes (England) (Amendment) Regulations 2005, SI 1673
List of Wastes (England) Regulations 2005, SI 895
Packaging (Essential Requirements) Regulations 2003 SI 1941
Packaging (Essential Requirements) (Amendment) Regulations 2004 SI 1188
Packaging (Essential Requirements) (Amendment) Regulations 2006, SI 1492
The Producer Responsibility Obligations (Packaging Waste) Regulations 2005 SI
3468

Transfrontier Shipment of Radioactive Waste Regulations 1993, SI 3031

Transfrontier Shipment of Waste Regulations 1994 SI 1137
Transfrontier Shipment of Waste (Amendment) Regulations 2005 SI 187
Waste Electrical and Electronic Equipment Regulations 2006 SI 3289
Waste Electrical and Electronic Equipment (Waste Management Licensing) (England
and Wales) Regulations 2006 SI 3315

Waste Incineration (England and Wales) Regulations 2002, SI 2980

Waste Management (England and Wales) Regulations 2006 SI 937
Waste Management Licences (Consultation and Compensation) Regulations 1999,
SI481
Waste Management Licensing Regulations 1994 SI 1056
Waste Management Licensing (Amendment) Regulations 1995, SI 288
Waste Management Licensing (Amendment No 2) Regulations 1995 SI 1950
Waste Management Licensing (Amendment) Regulations 1996, SI 1279
Waste Management Licensing (Amendment) Regulations 1997 SI 2203
Waste Management Licensing (Amendment) Regulations 1998 SI 606
Waste Management Licensing (Amendment) (England) Regulations 2002 SI 674
Waste Management Licensing (Amendment) (England) Regulations 2003 SI 595
Waste Management Licensing (England and Wales)(Amendment and Related
Provisions)(No. 3) Regulations 2005 SI 1728
Waste Management Regulations 1996, SI 634

2.7 Environmental Protection Act 1990.

The contents of the Framework Directive on Waste were implemented in the UK through the
Environmental Protection Act 1990, amended by the Environment Act 1995 and also by
various regulations.
The Environmental Protection Act 1990 is one of the single most important pieces of
environmental legislation of recent times, enacted primarily as a result of criticisms of the
effectiveness of the Control of Pollution Act 1974.
The Environmental Protection Act 1990 built upon the Control of Pollution Act 1974. It
controls many aspects of how the environment is protected and regulated in daily lives. This
is the primary Act that controls how waste is managed; it defines different categories of
waste and assigns responsibility for different types of waste. The duties and responsibilities
of waste collection authorities and waste disposal authorities are set out with the
Environment Protection Act, as is the statutory Duty of Care applicable to all those producing
and handling waste.
At the time, the Department of the Environment, Transport and the Regions (DETR) (now
replaced by the Department of Food, Environment and Rural Affairs) explained the
background to the Environmental Protection Act 1990 as the following:
The new licensing system [of the Control of Pollution Act] was brought into force in June
1976. Although local authorities were given some extra money in recognition of the
additional burden placed on them they were soon beset by strictures to restrain the growth in
their expenditure. In many cases, waste management was low on local authorities' lists of
priorities.
The consequence was that throughout the 1980s, the Government was subjected to quite
intense political and public criticism because of allegedly poor standards in the management

and disposal of waste and inconsistency between authorities in the standards they applied..
The Environmental Protection Act 1990 provides the main statutory framework in relation to
waste. In particular the document:

defines what is a waste;

outlines the roles and functions of the waste collection authorities, the disposal
authorities and the Environment Agency;
establishes the criminal offences in relation to waste;
establishes the waste management licensing system;
establishes the statutory duty of care in relation to waste.

2.8 Environment Act 1995.

The Environment Act implements various aspects of the Framework Directive on Waste and
is the enabling legislation for all producer responsibility legislation. The Act sets out the
objectives for the purposes of the national waste strategy (under Schedule 2A to the
Environmental Protection Act 1990).
These objectives are:

to ensure that waste is recovered or disposed of without endangering human health

and without using processes or methods which could harm the environment;
to establish an integrated and adequate network of waste disposal installations,
taking account of the best available technology not entailing excessive costs
(BATNEEC);
to ensure self-sufficiency in waste disposal, with waste to be disposed of in one of
the nearest appropriate installations, by means of the most appropriate methods and
technologies in order to ensure a high level of protection for the environment and
public health;
to encourage the prevention or reduction of waste production and its harmfulness;
to encourage the recovery of waste by means of recycling, reuse or reclamation or
any other process with a view to extracting secondary raw materials; and
the use of waste as a source of energy.

Waste Management Licensing Regulations, 1994

The Waste Management Licensing Regulations 1994 (S.I. 1994/1056) apply in England,
Scotland and Wales to those persons involved in the collection, storage, treatment and
disposal of controlled wastes. These activities were previously covered by provisions
contained within the Control of Pollution Act 1974. The regulations implement certain
provisions of the revised European Framework Directive on Waste (91/156/EEC) and are
enacted under the Environmental Protection Act 1990.
The Waste Management Licensing Regulations set out the procedure for obtaining a licence
and also deal with revocations, suspensions, appeals, public registers and the definition of fit
and proper persons. They also introduce a system for the registration of waste brokers.
The Regulations underpin the entire waste management licensing system and provide
details on the key concepts outlined under Environmental Protection Act 1990 Part 2.
The Regulations amend the definition of waste from the definition within Section 75 of the

Environmental Protection Act 1990 and also contain information on the exemptions from
requiring a waste management licence.
Exemptions from the need to hold a licence are detailed in Schedule 3 of the Regulations. A
Waste Management Licence can only be issued to a Fit and Proper Person, as defined in
Section 74 of the Environmental Protection Act 1990. The Waste Management Licensing
Regulations detail the relevant offences and technical competence issues.
The Waste Management Licensing (Amendment) Regulations, 1997 amend the 1994
Regulations with respect to the level of training required for a person to be considered fit
and proper to hold a waste management license according the type of facility.
Question 4.
The contents of the Framework Directive on Waste was implemented in the UK through the
Environmental Protection Act 1990, amended by the Environment Act 1995.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

2.9 Other UK Waste Legislation.

Landfill (England & Wales) Regulations 2002
These regulations implement part of the Landfill of Waste Directive in England and Wales.
They define a landfill as subject to paragraph (4), any site which is used for more than a
year for the temporary storage of waste; and any internal waste disposal site, that is to say a
site where a producer of waste is carrying out its own waste disposal at the place of
production.
Paragraph (4) states that landfills do not include any facility where waste is unloaded in
order to permit its preparation for further transport for recovery, treatment or disposal
elsewhere; any site where waste is stored as a general rule for a period of less than three
years prior to recovery or treatment; or any site where waste is stored for a period of less
than one year prior to disposal.
The Regulations set out the criteria for the classification of landfills and the conditions to be
included in landfill permits. In addition, they set out waste acceptance and prohibition criteria
for the different classes of landfill, closure and after care procedures.

Schedule 2 sets out the general requirements for landfills, including the landfill location
considerations.
Waste and Emissions Trading Act 2003
The Waste and Emissions Trading Act was granted Royal Assent assent on 13th November
2003.
A system of tradable permits was introduced in England to limit the amount of biodegradable
municipal waste that authorities can landfill and therefore implement the targets set by the
Landfill Directive. The total amount of allowances will be calculated so that the sum total of
permitted landfilling in the UK would meet the targets of the Directive.
These permits were allocated free to waste disposal authorities; those authorities which
divert more waste from landfill, by recycling for example, were able to trade their permits to
those which do not. For example, waste disposal authorities in areas where the additional
costs of diversion away from landfill are high could chose to continue landfilling waste by
buying permits from authorities where the additional costs of diversion are lower.
The permits themselves will not reduce landfill, which will require the sustained effort of local
authorities to reduce waste and divert waste from landfill, but it will benefit those authorities
who take early action to reduce the amount of waste going to landfill. The system aims to
minimise the cost of meeting Landfill Directive obligations whilst giving local authorities the
greatest amount of freedom in how they meet their targets.
2.10 Waste Incineration (England and Wales) Regulations 2002.
These regulations, made under the Pollution Prevention and Control Act 1999, came into
force in December 2002, and together with directions issued at the same time to the
Environment Agency and the Local Authorities, who are the regulators, they transpose the
Waste Incineration Directive, 2000/76/EC.
The Waste Incineration (England and Wales) Regulations apply to all new incinerators and
applied to all existing installations from 28th December 2005, implementation being carried
out mainly under the existing Pollution Prevention and Control (PPC) regime.
Finance Act 1996 and the Landfill Tax Regulations
The Landfill Tax was introduced in October 1996 under the Finance Act 1996 and has the
key intention of taxing waste disposed to landfill in order to promote the adoption of other
waste management options. It allows up to 20% of the taxes collected by landfill operators to
be claimed against environmental projects, and the Landfill Tax Credit Scheme aims to use
these funds to encourage the use of more sustainable waste management practices and
technologies, as well as partnerships between landfill operators and local communities.
The Government reviewed the role of the scheme in consultation with key stakeholders. It
recognised that the Scheme had supported many worthwhile community and environment
projects and had been successful in generating local community involvement in such
projects. However, there was less evidence that the Scheme had delivered a step change
towards more sustainable waste management.
The Government therefore decided to reform the Landfill Tax Credit Scheme from 1st April
2003, with around one third of the funding available through a reformed tax credit scheme for

spending on local community environmental projects. The remainder, around 100 million in
200304 rising to 110 million in 200405 and 200506, was allocated to public spending to
encourage sustainable waste management.
Control of Substances Hazardous to Health Regulations 2002 (as amended) (COSHH)
Those storing, handling or transporting waste must also comply with health and safety
legislation. Companies dealing with hazardous waste must comply with the Control of
Substances Hazardous to Health Regulations. These Regulations aim to protect employees
from the effects of hazardous substances in the workplace. They require that risk
assessments are undertaken and that this takes account of all hazardous substances to
which people may be exposed and also their likely effects.
Companies must eliminate exposure to hazardous substances where practicable (e.g. by the
use of suitably tailored work practices). Where this is not possible, then they must put in
place measures to control exposure (e.g. ventilation or personal protective equipment).
COSHH also requires that any control measures adopted are correctly used and undergo
adequate maintenance and testing.
The scope of COSHH includes substances such as hazardous chemicals, micro-organisms
and dust.
Transfrontier Shipment of Waste Regulations 1994 & Waste Shipments Council
Regulation EEC/259/93
Exports of waste from the UK are subject to controls under Council Regulation EEC/259/93
on the supervision and control of shipments of waste within, into and out of the European
Union (as amended). The Waste Shipments Regulation gives effect in the EU to a number of
important international agreements and conventions. The Regulation is directly applicable
and does not require transposition into national legislation. Under these Regulations, any
person who imports or exports controlled waste has a duty to take all reasonable steps to
ensure that their waste is handled lawfully and safely.
The transfrontier shipment control system is based on prior informed consent. It requires
notification, where appropriate, to the competent authorities of dispatch, destination and
transit, using a consignment note containing prescribed information. The regulation also
requires shipments of hazardous waste to be covered by a financial guarantee.
The Waste Shipments Regulation enforce the strict regulation imposed under the Basel
Convention on the Control of Transboundary Movements of Hazardous Wastes and their
Disposal 1989. The Basel convention has been ratified by around 56 nations to date.
Movements of waste to non-signatories of the Basel Convention are prohibited.
The Basel Convention is further reinforced by the Organisation for Economic Co operation
and Development (OECD) Decision C(2001)107/FINAL. The OECD Decision creates a
streamlined system for regulating movements of hazardous waste for recovery between
OECD countries in accordance with the framework established by the Basel Convention.
Export of hazardous wastes to non-OECD members for disposal or recovery is prohibited.
The Organisation for Economic Co-operation and Development (OECD) Decision classifies
wastes to be recovered into one of three categories according to their hazard, the Green

List, Amber List and Red List.

Green List wastes (listed in Annex II to the Waste Shipments Regulation) are
considered to be non-hazardous wastes. Green list wastes are not controlled under
the OECD system, but documentation must still accompany transhipments as
described under Article 11 of the EU Regulations.
Amber List are considered to be hazardous wastes.
Red List are considered to be the most hazardous wastes (Annex V to the Waste
Shipments Regulation).
Wastes that do not appear in any list are considered as unassigned waste and will be
treated as Red List waste.

There are some matters, however, that require national legislation to give full effect to the
provisions of the Waste Shipments Regulation. The Transfrontier Shipment of Waste
Regulations 1994 is a Statutory Instrument that gives full effect to the provisions of the
Waste Shipments Regulation. It identifies matters such as offences and penalties, and
designates the competent authorities responsible for enforcing the Waste Shipments
Regulation.
2.11 National Waste Strategy 2000 & 2007.
Waste Strategy 2000 describes the Governments vision for managing waste and resources
better in England and Wales, and sets out the changes needed to deliver more sustainable
development. The Strategy sets targets for reducing the amount of household and
industrial/commercial waste going to landfill until 2015, as well as for the recovery of
municipal waste, the recycling and composting of household waste and the reduction of
household waste. The specific targets, from which each local authority has been set
statutory targets for recycling/composting, are:

To recover value from 40% of municipal waste by 2005;

To recover value from 45% of municipal waste by 2010;
To recover value from 67% of municipal waste by 2015.

Statutory targets under Best Value:

To recycle or compost at least 25% of household waste by 2005;

To recycle or compost at least 30% of household waste by 2010;
To recycle or compost at least 33% of household waste by 2015.

Best value targets:

Waste Disposal Authority areas with 1998/99 recycling and composting rates of
under 5%, to achieve at least 10%;
Waste Disposal Authority areas that recycled or composted between 5% and 15% in
1998/99 to double their recycling rate; and
The remaining Waste Disposal Authority areas to recycle or compost at least one
third of household waste.

The Strategy sets out guidelines about how the Government expects itself, business, the
waste management industry, waste planning authorities, waste collection and disposal
authorities, the Environment Agency and the community sector will deliver these changes.
Part 2 of the Strategy supports Part 1 by focusing specifically of applied ways of reducing,

recovering and managing waste, including identification of the waste management options
and progress with different waste streams. This is currently being reviewed and it is
expected that the detail of the Strategy will evolve over time, although the principal goals and
aspirations are likely to remain the same.
The Strategy Unit carried out a review of Waste Strategy at the end of 2001, resulting in the
publication of Waste Not, Want Not, a strategy for tackling the waste problem in England, in
November 2002. The aim of the review was to analyse the scale of the challenge posed by
growing quantities of municipal waste, to assess the main causes and drivers behind this
growth now and in the future, and to devise a strategy which will put England on a more
sustainable path for managing municipal waste in the future.
The latest version of the Strategy for England was published in 2007. Its main proposals are
to:

incentivise efforts to reduce, re-use, recycle waste and recover energy from waste;
reform regulation to drive the reduction of waste and diversion from landfill while
reducing costs to compliant business and the regulatory agencies;
target action on materials, products and sectors with the greatest scope for improving
environmental and economic outcomes;
stimulate investment in collection, recycling and recovery infrastructure, and markets
for recovered materials that will maximise the value of materials and energy
recovered; and
improve national, regional and local governance, with a clearer performance and
institutional framework to deliver better coordinated action and services on the
ground.

2.12 Statutory Waste Planning Guidance.

Planning Policy Statement 10: Planning for Sustainable Waste Management
PPS 10, published in 2006, sets out the Governments policies on planning with respect to
waste management. It provides advice about how the land-use planning system should
contribute to sustainable waste management through the provision of the required waste
management facilities in England and how this provision is regulated under the statutory
planning and waste management systems. PPS 10 must be taken into account by regional
and local planning authorities as they prepare development plans and material to decisions
on individual planning applications. Key Planning Objectives with PPS 10 include the
importance of delivery of appropriate facilities to serve communities.
Planning Policy Guidance Note 23: Planning and Pollution Control
PPG 23, published in 1994, seeks to provide comprehensive advice on the relationship
between planning and pollution control.
Important planning policy considerations are current:

The planning and pollution control systems are separate but complimentary in that
both are designed to protect the environment from harm caused by development, but
the planning system should not be operated so as to duplicate the controls that are
the statutory responsibility of other bodies.

Applicants do not normally have to prove the need for their proposed development or
discuss the merits of alternative sites. However, a number of judicial decisions have
established certain categories of development where a duty to consider the existence
of alternative sites may arise. The nature of such developments and national or
regional need may make the availability, or lack of availability, of suitable alternative
sites material to the planning decision.
Planning interests must focus on any potential for pollution, but only to the extent that
it may affect the current and future uses of land.
In considering the weight to attach to the risk of a pollution incident, planning
authorities rely upon the advice of the Environment Agency.

3.0 Waste Minimisation.

How Much Waste is Produced in the UK
About 145 million tons of solid waste are produced in the UK each year by households,
commerce and industry, including construction and demolition. In 2005, landfill sites received
around 60% of this waste for disposal (approximately 20% of this is household waste, 40%
industrial & commercial waste and 40% construction & demolition waste). The rate of
disposal to landfill is decreasing as more recycling initiatives are introduced and landfill
disposal becomes more expensive due to the Landfill Tax Escalator and other market forces.
As well as the 145 million tons of solid waste, even larger amounts come from other sources
such as agriculture, mining and quarrying, sewage sludge and dredged spoils resulting in a
total waste production figure of around 400 million tons each year.
The need to reduce the amount of waste generated (also known as waste minimisation) is
therefore clearly important to reduce the need for disposal and treatment facilities.
What is Waste Minimisation?

Excessive waste is often due to the inefficient use of resources, and dealing with it has an
impact on the environment. The production of waste needs to be addressed if both
resources and the environment are to be sustained.
Waste minimisation, also known as waste prevention and source reduction, is the design,
purchase, manufacture or use of products and materials which reduce the amount of waste
generated. In any definition of the waste management hierarchy, waste minimisation comes
at the top. Waste minimisation is not recycling, which is an effective way to manage waste
materials once they have been generated. Waste minimisation actually reduces the amount
of raw material used and therefore the amount of wasted resources discarded.
Avoiding the creation of waste is the most sustainable of waste management techniques.
Both environmentally and economically, it makes no sense to produce items which are not
necessary and which rapidly become waste. Consuming less is the most fundamental step
in moving towards a more sustainable society and in reducing waste. However, since it
involves fundamental changes in attitude, it is a much more difficult thing to achieve, and to
measure, than recycling. The UK has historically lagged behind the rest of Europe in per
capita waste creation. In Germany and The Netherlands, for example, per capita waste

generation has fallen as a result of policies and mandatory targets set by Government.
Many businesses are still unaware of the cost of waste disposal (including transport). Yet
many companies could make substantial reductions in their waste, and therefore disposal
costs. Research shows that companies could save 1% of their turnover by implementing a
systematic waste minimisation programme.
Waste minimisation often results in substantial savings through reduced purchasing costs
and more efficient practices. It also has wider environmental benefits such as reduced
energy consumption and pollution, conservation of natural resources and preservation of
valuable landfill capacity.
3.1 Steps in Minimising Waste at a Company.
Significant reductions in waste produced by a company can be achieved by carrying out a
waste minimisation survey. In summary, this involves analysing the inputs and outputs from
the company and identifying where improvements can be made. Information must be
collected in a systematic manner to ensure that as comprehensive an initial assessment can
be made.
Waste Survey
A waste audit should:

identify all points at which waste is generated;

identify the origin of each type of waste;
monitor the waste to identify its quantity and type and its environmental effects;
establish methods of measuring the waste for monitoring purposes;
identify the costs of the current disposal methods, including treatment, handling,
storage and transport;
identify any wastes which are hazardous and consider how they can be separated
from the main waste stream, or replaced with a non-hazardous product;
look at opportunities to reduce, recycle or re-use the waste;
set targets for reducing waste;
durability and obsolescence.

In the first instance, it is important to look at the company or site as a whole and identify the
main raw materials and utilities used along with any wastes produced (detailing type and
quantity). It is important to determine the cost of each input and output, the quantities of
materials used and the costs associated with different forms of wastage. This will identify the
areas of business producing most waste, and which therefore require priority attention in a
waste minimisation review. This information should be readily available; if not, then accurate
estimates may be required.
When calculating the cost of waste, it is important to also consider other costs not just the
discarded materials. For example the cost of wasted raw materials, rework, lost production
time, waste treatment costs, wasted labour, loss of materials to atmosphere and to the drain,
as well as the excessive use of energy and water should also be considered in the waste
survey.
Examples of Areas to Explore

Product durability and life span

Product durability and life span are now receiving increasing attention in the office
environment; these issues are particularly relevant to capital items such as computers and
similar hardware. Increasing the life span of products is a key factor in reducing their
environmental impact, since on average, for one ton of waste at the consumer end of a
manufactured article, there are 5 tons at the manufacturing stage and 20 tons at the site of
initial resource extraction.
There are many products which are designed for single or short life usage which are
commonly found in the office or workplace, examples include non-refillable ball-point pens,
marker pens, plastic cups and cutlery, plastic pots for single portions of milk, disposable
wiping cloths, paper towels and metal staples. All these products require raw materials and
energy for their production and resources to deal with their disposal. Each process produces
environmental impacts. In many instances, longer life products can be substituted,
sometimes through rediscovered old technology, such as the fountain pen, sometimes
through new products, such as refillable marker pens, or low energy light bulbs, which last
as long as eight standard bulbs. Paper clips and staples can be replaced by a new type of
stapler which does not use metal staples.
Use purchasing power to improve waste minimisation
Although much can be done to minimise waste and encourage reuse at an individual or
departmental level, there are instances where the purchasing strategy of the whole company
needs to be involved. For example, there may be more scope for buying in bulk to reduce
packaging if this is instituted as company policy, or requirements for suppliers to remove
their packaging. Transit packaging may be reused, particularly if the deliveries are regular, or
are within the same company
Raw Material Selection
Companies may consider using other raw materials in a process which may lead to the
production of less waste or waste with reduced hazardous properties which can be
recovered and managed in a more sustainable way.
Involving everyone in everything
Communication amongst employees is vital for the success of waste minimisation schemes.
Internal newsletters, presentations, stickers and posters are ways of communicating new
initiatives and the progress of projects to staff in large organisations.
Question 5.
Waste minimisation is the design, purchase, manufacture or use of products and materials
which reduce the amount of waste generated.
True/False (HP)
Answer 1:
Response 1:

True

Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

3.2 Case Study - The Wessex Water Operations Centre.

Construction Industry
The construction industry consumes vast quantities of materials each year (over 420 million
tons), largely from primary sources that are not renewable. It also uses large quantities of
energy to transport materials and waste (around 90 million tons of construction demolition
waste is generated each year in the UK). By taking action to maximise resource efficiency
and to reduce, reuse and recycle waste results in a reduction in overall operating costs and
improvement of companies environmental performance.
Example Wessex Water Operations Centre, Claverton Down
The 22.5 million Wessex Water Operations Centre at Claverton Down, near Bath houses
580 people. The building was designed throughout with sustainable development in mind.
The site was a Constructing Excellence demonstrator project and achieved an excellent
rating from BREs Environmental Assessment Method. It was completed in June 2000.
Key Features

The design minimised the amount of excavation required and located the building so
that the maximum amount of excavated material could be used on-site.
Off-cuts were reduced by using standard dimensions throughout (e.g. standard
curtain walling and standard window sizes).
Contractual arrangements/materials management over-ordering was discouraged
through trade contracts that were fixed price and set out targets for material
quantities. Wessex Water covered the cost of materials up to these targets, but any
excess material cost due to the wastage of materials was paid for by the trade
contractor.
Separate collection of timber and metal wastes from mixed general wastes. The latter
was taken off-site for segregation.

Facts and Figures

Some 5,000m3 of excavated material was reused on site, e.g. stone was used to
build sections of the boundary wall, crushed to be used as fill and general backfill for
structures.
25,000 was saved through the recycling and reuse of material onsite;
1,956m3 of waste was removed from the site;
The cost of waste removal was estimated at 57,000 (including labour and costs of
machinery for segregating waste);
The full cost of waste, including procurement and storage costs was estimated at
630,000.

The above demonstrates that careful consideration of materials generated at a site can lead
to their use during a development rather than simply paying for them to be removed as a
waste. This can lead to an improvement in the profitability of a project.
3.3 Packaging Waste.
Packaging and Packaging Waste Directive (94/62/EC)
The Packaging and Packaging Waste Directive aims to harmonise measures concerning the
management of packaging and packaging waste and in particular, obligates the UK to meet
targets for the recovery and recycling of packaging waste. The Directive covers all
packaging placed on the Community market.
Logically, packaging is anything that is used in the transport, handling or protection of
products. Six types of material are covered - paper, plastic, steel, aluminium, glass and
wood. There is also a category of 'other' that includes things such as hessian bags.
Targets are set as a percentage of packaging flowing into the waste stream. The Directive is
transposed into UK law in the Producer Responsibility Obligations (Packaging Waste)
Regulations 2007 (as amended) and the Packaging (Essential Requirements) Regulations
2003.
The main requirements of the Directive can be summarised as follows:

sets targets for recovery and recycling;

requires the encouragement of the use of recycled packaging materials in the
manufacturing of packaging and other products;
requires packaging to comply with 'essential requirements' which include the
minimisation of packaging volume and weight and the design of packaging to permit
its reuse or recovery;
requires the implementation of measures to prevent packaging waste in addition to
preventative measures under the 'essential requirements', which may include
measures to encourage the re-use of packaging.

Targets were originally introduced by the UK Government in 1997, to be met by 2001. More
recent targets have been agreed by the European Union, to be met by the 31st December
2008 . The overall recovery target is set at 60%, with a recycling target of between 55% and
80%. Material specific targets for each packaging material have also been set - 60% for
glass, 60% for paper, 50% for metals, 22.5% for plastics and 15% for wood.
Producer Responsibility Obligations (Packaging Waste) Regulations 2007 (as
amended) and the Packaging (Essential Requirements) Regulations 2003

The Producer Responsibility Regulations obligate businesses with an annual turnover over
2m handling and handling more than 50 tons of packaging per year (and/or consumed, if
imported) to:

register with the Environment Agency (Scottish Environment Protection Agency, if in

Scotland ) or a registered Compliance Scheme. Registration in either option requires

the submission each year of packaging data calculated from the previous calendar
year's activities;
recover specified tonnages of packaging according to the activity they perform (e.g.
whether they are retailers, packers and fillers, etc). The accuracy of the data supplied
is required to be 'as accurate as reasonably possible';
certify that their obligations have been met;
if retailers, to inform consumers of how they are increasing recovery and recycling.

3.4 Packaging Chain and Packing Recovery Notes.

The are four 'activities' in the packaging chain, each of which takes responsibility for a
percentage of the packaging. The four activities are:

the company that manufactures the raw material;

the company that produces the packaging material;
the company that creates the packaging product;
the company that sells it to the final consumer.

The responsibility does not demand that companies recover a proportion of the actual
packaging they have handled. It simply means that companies have to own proof of recovery
of an equivalent proportion of their responsibility percentage multiplied by the actual target
percentages.
In practice, this means obtaining Packing Recovery Notes (PRNs), which are produced by
reprocessors of packaging. The targets are structured so that PRNs are required for each
material handled as well as for more general recovery.
A compliance scheme obtains these PRNs on behalf of its members. PRN prices can
fluctuate. Revenues from PRN sales should be used by reprocessors to stimulate increased
collection and recycling infrastructure and to develop end markets for recycled goods.
Packaging (Essential Requirements) Regulations 2003 and amendments 2009

The Essential Requirements Regulations specify requirements for packaging placed on the
market which include:

minimisation of packaging volume and weight, consistent with the level necessary for
safety, hygiene and acceptance by the consumer;
design and use of packaging in a manner that permits its reuse and recovery;
limits on the concentration of lead, cadmium, mercury and hexavalent chromium in
packaging.

The UK business recovery and recycling targets are (%):

Paper
Glass
Aluminium
Steel
Plastic

2006
66.5
65
29
56
23

2007
67
69.5
31
57.5
24

2008
67.5
73.5
32.5
58.5
24.5

2009
68
74
33
59
25

2010
68.5
74.5
35.5
59.5
25.5

Wood
Overall recovery
Minimum amount of recovery to be achieved
through recycling

19.5
66
92%

20
67
92%

20.5
68
92%

21
69
92%

21.5
70
92%

Question 6.
The main requirements of the Packaging and Packaging Waste Directive are....
Multiple Choice (HP)
Answer 1:

The implementation of measures to prevent packaging waste

Response 1:
Jump 1:

This page

Answer 2:

Set targets for recovery and recycling

Response 2:
Jump 2:

This page

Answer 3:

The encouragement of use of recycled packaging materials in

manufacturing of packaging and other products

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

3.5 Duty of Care.

Introduction
The Environmental Protection Act 1990 introduced the concept of the Duty of Care, which
stated that

anyone importing, producing, carrying, keeping, treating or disposing of controlled

waste had a duty to take all necessary measures to ensure that no waste escaped
from control;
the waste was not deposited on land which was not an authorised site;

on transferring waste to anyone else full details of the waste were given in writing;
and
that the recipient was an authorised person - 'ie, a holder of a waste management
licence, a waste collection authority, or a registered carrier of controlled waste'.

The Duty of Care provisions and the Registration of Carriers of Waste were brought into
effect in April 1992 through the Environmental Protection (Duty of Care) Regulations 1991,
and the main licensing provisions of The Environmental Protection Act implemented through
the Waste Management Licensing Regulations during 1994.
The effect of the above Regulations were to ensure that, together with a more detailed
system of tracking waste movements and deposits, all controlled waste was closely
managed from the point of production to disposal.
Controlled waste had historically not been the subject of close tracking along its route from
producer to final disposal. However, the Duty of Care system required that comprehensive
records were now produced of all disposals. These records were publicly available and were
intended to provide a clear picture of the contents of landfill sites or the substances
incinerated from 1994 onwards. One of the primary aims of the new licensing system was to
make it almost impossible to dispose of controlled waste from any commercial or industrial
process (or household waste) except by using a registered carrier and depositing it in an
authorised site or incinerator where its quantity and nature would be recorded.
Scope of the Duty of Care

Anyone who imports, produces, carries, keeps, treats or disposes of waste is subject to a
Duty of Care. It is important that anyone who passes their waste on to another party, such as
a waste contractor, scrap metal merchant, recycler, local council or skip-hire company, is
authorised to carry it and - where relevant - manage it. If this check doesnt take place, and
waste is illegally disposed of, the the person who passed the waste on can be held
responsible and potentially prosecuted.
In England and Wales, the Act was further amended in 2005 to amend the scope of the Duty
of Care to include householders who now have a duty to take all reasonable measures to
ensure that any household waste produced by them on the property is transferred to an
authorised person or carrier. Generally, all households have their general waste removed by
their local Waste Collection Authority. However, there are commonly instances where
householders contract skip hire businesses to take clearance/home improvement waste
away.
In Northern Ireland and Scotland, occupiers of domestic properties are exempt from the Duty
of Care for household waste that they produce. The Duty of Care would, however, apply if
householders wanted to dispose of waste that did not come from their property (i.e. waste
from their workplace) or if waste was produced by someone other than the occupier of the
property (e.g. a tradesperson working at a domestic property).
Certain wastes are not treated as household waste, for example asbestos waste arising from
a household tends to be classified as industrial waste. Animal by-products are presently not
treated as controlled waste for the purposes of the Duty of Care. The Animal By-Products
Order (ABPO) has now been repealed and new EU Animal By-Products Regulations have
come into force. However, the old exemption from the Duty of Care for animal by-products

still applies. This may have implications for businesses which keep, transport, recover or
dispose of animal by-products.
Anyone who imports, produces, carries, keeps, treats or disposes of waste is required by law
to take all reasonable and applicable measures:

to prevent another person illegally treating, keeping, depositing or otherwise

disposing of the waste;
to prevent the escape of waste;
to ensure that transfer of the waste only occurs to an "authorised person" and that
the transfer is accompanied by a written description of the waste

One of the aims of the Duty of Care is to prevent the practice of waste producers simply
handing their waste over to anyone prepared to take it away, without giving any
consideration to where it is going and whether it will be dealt with properly. A cradle to
grave approach to managing wastes ensures that waste is managed in a responsible and
more sustainable manner.
It is also important to remember that the Duty of Care does not negate the need to comply
with the requirements of other regulations such as the Hazardous Waste Regulations 2005.

Summary of the Implications of the Duty of Care

Householders and businesses have a duty of care to take all reasonable measures to

i) prevent anyone keeping, depositing, disposing of or recovering controlled waste without

a waste management licence or an exemption from the need for a licence;

ii) ensure that their waste management licence has not been suspended or partially revoked
and that they are not in breach of the conditions of that licence or exemption;

iii) stop materials escaping from control (or the control of anyone else) by packaging it
appropriately and robustly;

iv) ensure that waste is only transferred to an authorised person - this involves making sure
that a person or business is authorised to deal with the particular type of waste;

v) ensure that the waste being transferred is accompanied by a written description that will
enable anyone receiving it to dispose of it or handle it in accordance with his or her own

Duty of Care.
3.6 Waste Brokers and Dealers.
The Duty of Care applies to everyone from waste brokers/dealers to waste
disposal/treatment operators. Waste brokers who arrange the collection, recycling, recovery
or disposal of controlled waste on behalf of another person must register as a waste broker
with the Environment Agency in England and Wales and the Scottish Environment
Protection Agency in Scotland.
Once an application has been processed, registrations are valid for three years.
Waste brokers make arrangements on behalf of others to handle, transport, dispose of or
recover controlled waste. They dont handle, transport, dispose of or recover the waste
themselves. A waste broker shares responsibility with the waste holders for the appropriate
management of the waste before and after its transfer, in accordance with the Duty of Care.
As they control what happens to the waste, they are legally responsible for its proper
handling and disposal.
Specifically, waste brokers and dealers include:

businesses that buy and sell recoverable materials, including scrap metal; they may
operate from a yard or act as a middleman arranging the purchase and sale of the
waste;
businesses arranging the disposal of waste on behalf of another company or waste
producer;
waste disposal operators or carriers arranging the disposal or recovery of waste not
covered by their own licence, for example a waste management licence may only
allow the operator to accept and/or manage certain wastes at a site and therefore
other wastes must be dealt with at a different site with an appropriate authorisation.

3.7 Registration of Waste Carriers.

The Duty of Care was introduced under section 34 of the Environmental Protection Act 1990.
Section 34 (3) of the Environmental Protection Act 1990 describe the types of persons
authorised to carry or dispose of waste. It states that anyone removing wastes from a
premises must be one of the following:

An authority which is a waste collection authority.

A person who has a waste management licence.
A person who is registered as a carrier of controlled waste.
A person exempt from registration as a carrier of controlled waste.

In Scotland, a waste disposal authority acting in accordance with a resolution made under
section 54 of the Environmental Protection Act 1990.
The Duty of Care was amended in February 2003 to allow Waste Collection Authorities, in
addition to the Environment Agency, to check whether businesses are completing and
retaining their Duty of Care transfer notes correctly.
Any individual, business or organisation in the UK carrying Controlled Waste as a part of its
business, e.g. skip hire and other waste hauliers, must, as a requirement of the Controlled

Waste (Registration of Carriers and Seizure of Vehicles) Regulations 1991, be registered as

a waste carrier by the Regulator. Although waste is most commonly carried on the roads,
waste carriers also transport controlled waste by rail, air, sea or inland waterway. To give an
illustration of the number of individuals, organisations and businesses affected, there are
approximately 70,000 registered waste carriers in England and Wales which are registered
by the Environment Agency, with approximately 6,000 registrations in Scotland registered by
SEPA.
Waste Carriers who operate in England, Scotland and Wales must register with either the
Environment Agency or SEPA, depending on their principal place of business. A single
registration with either agency will cover carriage of waste throughout Great Britain. In a
similar way to waste broker registration, waste carrier registrations are also issued for a fixed
period of 3 years and are then the subject of a renewal application.
Businesses, individuals and organisations that only carry their own waste need not apply to
be a waste carrier, with the exception of construction waste (where even businesses
carrying their own wastes need to be registered). This vital link is the first step in preventing
illegal waste management and the impacts which can result, such as impact upon the
environment or harm to human health.
Using a Registered Carrier, including the local council, is the most common way for waste
producers to have their wastes removed from their premises. Waste producers passing their
waste on to an identified contractor should check that their waste is passed onto a valid
registered waste carrier as part of their Duty of Care. Before instructing waste to be
removed, producers can ask to see evidence of waste carrier registration, request a
registration number or check the validity of the waste carrier with the Regulator.
There are also a number of other exemptions from the need to register as a waste carrier.
Specifically, exemptions from the requirement to register include:

Ferry operators transporting waste-carrying vehicles.

Operators of vessels, aircraft, hovercraft, marine structures, floating containers or
vehicles that are used to dispose of waste at sea.
Registered Charities or voluntary organisations.
Government departments or councils.

If the organisation is an exempt carrier but collects/transports waste as a business then

registration with the regulator is required as a professional transporter.
The Environmental Protection Act 1990 states that a waste carrier can be refused
registration or have their current registration revoked if the carrier has been convicted of an
environmental crime, or if the Regulator believes it is undesirable for the carrier to continue
to be authorised.
3.8 Duty of Care Waste Transfer Notes.
The Duty of Care requires the completion of waste transfer notes before accepting waste
and this applies to each of the steps of managing a waste. A Waste Transfer Note is a
document which must be completed and accompany any transfer of waste between different
holders of the waste. The transfer documentation for Hazardous Waste is referred to as a
'consignment note' which fulfils the Duty of Care requirements and a separate waste transfer
note is not required.

A waste transfer note is completed every time a waste load is moved from one site to
another (e.g. waste producer passed to waste carrier, waste carrier to site of acceptance
and so on), unless the transfer is covered by a season ticket. A season ticket relates to
regular waste transfers between customers and suppliers where one transfer note covers
multiple transfers over a defined period (up to one year). A common situation where season
tickets are used is at commercial premises where waste is removed by a contractor.
The use of a season ticket is only permitted when the same parties are involved with the
series of waste transfers and the description of the waste remains the same.

Summary of the Requirements of Duty of Care Waste Transfer Notes

A Waste Transfer Note should:

1. be competed and signed by both parties;

2. include a description of the waste - what it is (including the European Waste Catalogue
reference) and how much there is. Descriptions should be both in words and by reference to
the appropriate codes in Schedule 1 of the List of Wastes (England) Regulations 2005 and
the List of Wastes (Wales) Regulations 2005.
3. show the date and time of transfer;
4. show where the transfer took place;
5. include the names and addresses of both parties involved;
6. confirm what category of business each party is e.g. a producer or importer, a
registered waste carrier or a waste management licence holder etc;
7. confirm the certificate number(s) of any waste carrier registrations of either party as well
as the number and issuing agency for any waste management licence or "PPC" permit for
any site to which the waste is going;
8. confirm the reasons for any exemptions claimed by either party;
9. give the details, including name and address of any broker involved in the transfer.
The regulations state that copies of waste transfer notes must be kept for at least two years.

Source: Duty of Care A Code of Practice, DEFRA

Question 7.
The Duty of Care under Section 34 of the Environmental Protection Act 1990 states anyone
removing waste from premises must....
Multiple Choice (HP)

Answer 1:

Be an authority which is a waste collection authority

Response 1:
Jump 1:

This page

Answer 2:

Be a person registered as a courier of controlled waste

Response 2:
Jump 2:

This page

Answer 3:

Be a person who has a waste management licence

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

3.9 Obligations of Waste Producers and Carriers.

In order to comply with the Duty of Care the waste producer and subsequent carriers must
ensure the following are met:

They adequately contain wastes in their control and do not simply rely upon the
containment system (e.g. packaging) used by the previous holder of the waste.
They do not allow waste to escape from containers. The waste may need to be
repackaged or bulked up with other wastes which may result in a new waste
description if necessary.
They make a visual inspection when accepting waste to check the accuracy of the
waste description on the transfer note.
They make sure waste is taken to a site with a suitable and valid Pollution Prevention
and Control (PPC) permit, waste management licence or appropriate exemption.
Before carrying the waste, it is important to ask to see the appropriate
documentation.
Report possible offences, e.g. where they is suspicion that the waste has been
handled illegally (i.e. non-compliance with the Duty of Care) at any stage.
All waste is stored and disposed of responsibly.
All waste has the potential to pollute the environment if it is not properly handled or
stored.

Responsible Storage of Waste

A key requirement of the Duty of Care is the secure storage of waste throughout its journey

to its final point of disposal with a view to preventing its unauthorised escape.
The following is a list of important considerations associated with the storage of waste. The
list is not exhaustive and is simply intended to illustrate the importance of responsible
storage:

All waste materials must be stored and transferred safely and securely in suitable
containers such as skips or labelled drums. The only exceptions to this would be
loose material or liquid that is loaded into a suitable vehicle.
All waste materials must be stored safely and securely in suitable containers such as
skips, intermediate bulk containers and drums.
Ensure that any containers used are in good condition, fit for their intended purpose
and do not allow the escape of waste materials. If old containers are used for the
storage of wastes such as drums, ensure that they are properly labelled and any old
labelling is removed.
Make sure containers such as drums and intermediate bulk containers are correctly
labelled.
Storage of waste materials must consider segregating materials that are incompatible
such as chemicals that may react together if a leak occurs.
Ensure that waste materials cannot blow away and that pollutants cannot leach from
the waste into the ground. Where possible, consideration should be given to the
storage of certain wastes under cover while they await removal/disposal. If wastes
are stored in skips or other similar containers, ensure that where necessary they are
covered or netted to prevent loose and lightweight material from escaping.
Ensure that liquid wastes cannot escape into drains, watercourses or surrounding
ground. Store wastes on impervious surfaces that are bunded or drained to a sealed
pit capable of containing the contents of the storage containers. Any material spilt
accidentally should be contained adequately.
Ensure that storage facilities are secure against vandalism or other outside
interference.
Ensure that all employees and contractors handling wastes are given adequate
instructions about how each type of waste is to be handled and disposed of.
Waste must only be transported in suitable containers and vehicles (such as tankers)
that are secure and will prevent spillage of waste during transit. Loose materials
should be covered in transit to prevent it being blown out of the vehicle.

3.10 Waste Sent to Management Facilities (e.g. Landfills, Incinerators, Recycling &
Reprocessing Sites).
In accordance with the Duty of Care, all storage, treatment or disposal of controlled waste
must only be carried out with an appropriate and relevant permission (i.e. Waste
Management Licence, Exemption Registration, Pollution Prevention and Control Permit).
There is often confusion about return containers or other similar off-specification materials
sent back to a supplier. It is also important to check suppliers have an appropriate
authorisation to reprocess or dispose of the waste.
To ensure the Duty of Care is fulfilled, a copy of the permission should be sought and
carefully reviewed before consigning waste to the site. When examining the waste
management licence, exemption or Pollution Prevention and Control Permit, it is important to
check that the site is authorised to take all the types of waste materials to be sent. This can
be a complicated process when dealing with potentially hazardous wastes (particularly
where these wastes are produced intermittently) and assessing the Waste Acceptance
Criteria (WAC) at landfills.

Four Summarised Steps to Comply With the Waste Duty of Care:

1. Prevent any of the waste escaping while it is under your control. You must store it safely
and securely in suitable containers, buildings etc. Even when you put it out for others to
collect - until they do, the waste is still under your control. Keep your waste secured.

2. Check that anyone you give your waste to has the authority to take it. Businesses can
only give their wastes to certain types of authorised parties.

3. Describe the waste carefully. This needs to be done before you can pass your waste onto
anyone else. The description should be good enough to ensure that whoever handles it
afterwards can do so without harming people or the environment. The description should
include the 6-digit European Waste Catalogue reference for your wastes - if in doubt, ask
your waste manager for help.

Waste may also be hazardous. If so, tighter controls apply.

4. Keep Records. There must be a written record of any "transfer" (ie wherever it is passed
from one business into the control of another). This is called a "Transfer Note" and you
should keep a copy of it on your files for at least two years for any possible enforcement
follow up.

Repeat arrangements for your waste. If all details remain the same, they can be covered by
an annual season ticket.

4.0 Permitting of Waste Management Activities.

Introduction

European and National legislation require the permitting of certain waste management
activities. This section considers the different types of permitting regimes, how these affect
different waste activities and the implications for operators.
The licensing of waste management facilities is at the heart of environmentally sound and
safe waste management since 1976. Modern regulation should use resources efficiently and
effectively by focusing on the outcome of regulation and delivering environmental protection
and improvement. Modern regulation needs to attain these goals by adopting a risk-based
approach such that the regulatory requirements placed on operators are proportionate to the
environmental or human risk posed by a given activity, but do not hamper sustainable and
effective waste management activities.
This aim is consistent with the vision for sustainable waste management set out in the
Governments Waste Strategies 2000 and 2007.
Over recent years the development of European and domestic policies is resulting in a
greater range of wastes needing to be recovered and disposed in a more sustainable
manner, e.g. end of life vehicles, ozone depleting substances, waste electronics and
electrical equipment, along with a growth in land remediation, resulting in a greater number
and range of permitted facilities. Similarly certain agricultural and non-mineral mining wastes
have also entered the definition of controlled wastes leading to a demand for permitted
waste management facilities.
Waste Management Activities
Introduction

Anyone who keeps, deposits, recovers or disposes of controlled waste must do so either:

within the conditions of a waste management licence, or

within the conditions of an exemption from waste management licensing
and must not cause pollution of the environment, harm to human health or serious
detriment to local amenities.

Some waste management disposal activities require a Pollution Prevention and Control
(PPC) permit (e.g. landfill sites, municipal waste incinerators) and this may also include sites
storing or treating hazardous wastes, or treating large quantities of non- hazardous wastes.
If the waste management activities are not carried out in accordance with appropriate
permission then the operator risks the potential of a fine or imprisonment in serious
situations.
4.1 Waste Management Licences.
Waste management licences are issued that authorise the keeping, treatment or disposal of
controlled waste. They are issued to ensure that waste management facilities do not pollute
the environment, cause harm to human health or serious detriment to local amenities. The
legislative basis is provided in Part II of the Environmental Protection Act 1990, the Waste
Management Licensing Regulations 1994 and a number of associated regulations.

For an activity that requires a waste management licence, you must obtain that licence from
the Regulator and obtain planning permission from the Local Planning Authority before the
licence can be issued.
There are two broad types of waste management licence:
i) site licence authorising the deposit, recovery or disposal of controlled waste in or on an
identified area of land and is issued to an individual, partner or body corporate who is in legal
occupation of that land. Accordingly, a site licence includes the name of the licence holder,
nature of the controlled waste and identifies the licensed area of land.
ii) mobile plant licence authorising the recovery or disposal of controlled waste using
certain types of mobile plant (defined by Regulations 12 of the Waste Management
Licensing Regulations 1994, as amended). The licence is issued to the individual, partner or
body corporate who operate the plant. A mobile plant licence is intended to be moved
around the country with the mobile plant; as a result, the licence does not include site
specific concerns.
Summary of the Requirements of Waste Management Licences
A waste management licence imposes certain conditions upon an operator which the
Regulator deems to be necessary. Typically conditions cover:

Types and quantities of waste.

Technical requirements.
Security precautions.
Record keeping and submissions.

It is important that the licence conditions which make up the issued licence are fit for
purpose and must be:

necessary justifiable and necessary in all licences where the condition is included;
enforceable compliance should be readily measureable or otherwise capable of
demonstration (such as through monitoring or sampling);
unambiguous conditions should be clear by stating objectives of the condition;
comprehensive conditions should be sufficiently detailed or refer to the site working
plan so it is clear how the objective of the condition can be met.

4.2 Fixed and Bespoke Waste Management Licences.

Due to the large number and complexity of waste management licence applications, the
Environment Agency has developed a simplified application process for waste management
licences. There are fixed licences for a range of waste activities which include a set of
conditions that an operator can sign up to thus making the application process quicker and
cheaper. However, the fixed licences are restricted to only a limited number of facility types
accepting limited quantities of waste (<75,000 tons per annum). The following example gives
details of the typical restrictions imposed on applicants of Fixed Waste Management
Licences.
The range of fixed licences is being extended on a continual basis. Those that want to
deviate away from the fixed licence can apply for a bespoke licence which contain a set of
conditions tailored for the site. In summary though, the larger activities above (75,000 tons

per annum) are unlikely to be able to go down the fixed licence route.
The conditions for fixed waste management licences include specified technical/performance
standards appropriate to typical sites in that category on the basis of a generic risk
assessment. With the exception of key site-specific information (storage capacity of site,
annual waste quantities, and hours of operation (where appropriate), the conditions are
fixed. The generic risk assessment is a simple, qualitative risk assessment of the
environmental risks presented by typical sites in that category. This provides the risk-based
justification for the conditions in the fixed licence. The risk assessment is primarily for
information only; however, the applicant must sign it as acceptable and true to the best of
his/her knowledge.

Standard Waste Management Licence Example - Household, commercial and

industrial waste transfer station with treatment and asbestos storage

The standard waste management licence for a general waste transfer station is limited in
the following ways:

There are three fixed licences for sites accepting less than 5,000, less than 25,000
and less than 75,000 tons of waste per annum.
All bulking, transfer or treatment of non-hazardous waste must be carried out inside
a building.
The only permitted inputs of hazardous wastes are for asbestos.
Asbestos waste must be double bagged and kept within secure lockable containers.
Wastes of similar types will be transferred into larger containers and sent to other
waste facilities for further treatment, recovery or disposal.
Non-hazardous wastes can be bulked up for disposal or recovery elsewhere and can
be manually sorted or separated for recovery but this licence does now allow any
waste treatment activities such as screening and crushing.
Non-hazardous wastes must be stored or treated on impermeable pavement with
sealed drainage.
Inert wastes must be stored or treated on hardstanding or on impermeable
pavement with sealed drainage.
The only discharges to controlled waters are surface water from the roofs of
buildings and from areas of the site not used for the storage of wastes.
The location must not be located within 1km of a Natura 2000 site (protected habitat
designated under European legislation).

Working Plans/ Site Management Systems

A working plan remains an important part of an application for a waste management licence.
It is the licence holder's own document and describes how they intend to prepare, develop,
operate and restore (where applicable) the site or plant. Fixed waste management licences

do not require separately prepared working plans.

A comprehensive working plan will help avoid delays in the application process. It helps to
make sure that any licence issued contains appropriate conditions. This can give the
operator flexibility by avoiding over-prescriptive conditions.
It is in everybody's interests if the layout of the working plan and licence are similar. You
should discuss the proposed content and format of your working plan with the relevant local
authorities before you submit any application.
Site management systems are a requirement of Pollution Prevention and Control Permits
and details how the plant will be operated. The Site Management System must be available
for inspection at any time by the Regulator. The Site Management System often forms part
of the operators Environmental Management System.
4.3 Specific Requirements of a Waste Management Licence.
FIT AND PROPER PERSON
Waste management licences issued under the Environmental Protection Act 1990 require
that the management of sites must be in the hands of Technically Competent Management.
In summary, there are three distinct elements to consider when determining whether an
operator is a fit and proper person:

The applicant must demonstrate that they have sufficient financial means to fund the
obligations of the waste management licence, including those associated with the
closure of the facility.
Whether a technically competent person will be managing the licensed activities.
Whether the operator has been convicted of a relevant offence.

TECHNICAL COMPETENCE
Before issuing a waste management licence or certain waste related pollution prevention
and control permits, the Regulator must satisfy itself that the management of the activities
authorised will be in the hands of a technically competent person.
Technically competent management may be exercised by more than one person, particularly
for a large and complex site. Technically competent staff must be in a position to control the
day-to-day activities authorised by the licence and carried out at the licensed site.
There are two distinct types of waste management facility:
i) Waste Management Industry Training Advisory Board sites
If the site or plant is of a type listed in Table 1 to the Waste Management Licensing
Regulations 1994 (as amended), then technical competence may only be demonstrated by
either:

the appropriate certificate (or provisional certificate) of technical competence issued

by Waste Management Industry Training Advisory Board), or
a certificate of qualifying experience.

An exception to the above is where the provisions of the Waste Management Regulations
1996 Regulation 4 apply.
Waste Management Regulations 1996, Regulation 4, states that where a person has applied
to Waste Management Industry Training Advisory Board for an appropriate certificate and
the Agency is satisfied that the person would otherwise be technically competent and the
site in question is not any type of landfill, then the proposed manager may be deemed to be
competent to manage the facility in respect of which the waste management licence
application is being made for a period of two years from the date of the waste management
licence being issued. This two-year window provides the individual with sufficient time to
secure the adequate Advisory Board qualification. In such circumstances, the Regulator will
assess the proposed site managements technical competence.
ii) Non-Waste Management Industry Training Advisory Board sites
If the site or plant is not covered by the Advisory Board system, the Agency will assess the
technical competence of candidates. For each candidate, this involves a Statement of
Qualifying Experience giving details about the level of their waste management experience
and its relevance to the proposed activities along with a question and answer session
conducted by the Regulator at the site to be licensed. Questions assess the level of
knowledge and understanding about the proposed activities, site design and legal
obligations. Successful candidates tend to have some relevant experience at a supervisory
level.
RELEVANT CONVICTIONS
Before a waste management licence can be issued to an applicant, the Regulator must first
decide whether they are responsible to hold a waste management licence. This is
established by reviewing the past conviction history of the applicant to discover if anyone
connected with them has been convicted of a relevant offence (as set out in Regulation 3 of
the Waste Management Licensing Regulations 1994 (as amended), and Section 74 of the
Environmental Protection Act 1990 (as amended by the Waste Management (Miscellaneous
Provisions) Regulations 1997).
Conviction for a relevant offence does not necessarily disqualify an application. Further
questions may be asked to find out further details relating to the incident which led to the
conviction and what measures have been put in place to stop it happening again.
FINANCIAL PROVISION
Section 74(3)(c) of the Environmental Protection Act 1990 says that a person is not a fit and
proper person to hold a waste management licence if that person "has not made and either
has no intention of making - or is in no position to make - financial provision adequate to
discharge the obligations arising from the licence".
New Waste Management Licence applications, licence modifications where the obligations
have increased (eg. changing waste types, or increasing volumes of waste on site) and
transfers of Waste Management Licences require applicants to demonstrate that they are "in
a position to make financial provision" and have sufficient financial means to fund the
requirements of the licence, including those arising on closure. Usually, applicants for nonlandfill facilities choose to demonstrate this to the Regulator by authorising a credit reference
check to take place or through a letter from their bank.

The amount of financial provision required is calculated based upon the maximum quantity
of waste that is to be permitted under the Waste Management Licence. Tonnage costs are
based upon 250 for hazardous waste, 35 for non-hazardous and 8 for inerts and reflect
the greater disposal costs based upon the wastes pollution potential. There is a 500
minimum financial provision that must be demonstrated.
Waste management activities caught under the Pollution Prevention and Control Regulations
also require the consideration of financial provision. Landfill sites permitted under the
Pollution Prevention and Control Regulations require adequate financial provision to be
accessible to the Regulator which can be called upon in the event of serious risk to the
environment. The calculation of the total figure is based upon the permits obligations, e.g.
monitoring requirements, capping, the need to deal with certain specified events such as
liner failure or excessive leachate build-up. Many applicants choose to use the renewable
bond mechanism to assure the Regulator that they have an adequate financial provision in
place.
Question 8.
Certain waste management activities, under European and National Legislation require the
permission before being undertaken.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

5.0 Pollution Prevention & Control Permits.

Directive Concerning Integrated Pollution Prevention and Control (IPPC) (96/61/EC),
the Pollution Prevention and Control Act 1999, and the Pollution Prevention and
Control (England and Wales) Regulations 2000, as amended.
The Integrated Pollution Prevention and Control (IPPC) Directive (96/61/EC) is transposed
into UK law through the Pollution Prevention and Control Act 1999 and the Pollution
Prevention and Control (England and Wales) Regulations 2000 as amended.
PPC replaces the existing regimes of Integrated Pollution Control (IPC) and Local Air
Pollution Control (LAPC), as well as implementing the EU Directives requirements in new
sections of industry, thereby providing a single regulatory framework.

The IPPC Directive introduced a new integrated permitting regime for major industrial and
waste sites covering air, water and land pollution. This means that emissions to air, water
(including discharges to sewer) and land, plus a range of other environmental effects, must
be considered together. It also means that regulators must set permit conditions so as to
achieve a high level of protection for the environment as a whole. These conditions are
based on the use of the Best Available Techniques (BAT), which balances the costs to the
operator against the benefits to the environment.
Pollution Prevention and Control (England and Wales) Regulations 2000, as amended
contains three distinct permitting regimes:

Part A(1) - This is an integrated permitting regime. Emissions to the air, land and
water of potentially more polluting processes are regulated. The Environment Agency
is the regulator.
Part A(2) - This is an integrated permitting regime. Emissions to the air, land and
water of processes with a lesser potential to pollute are regulated. The Local
Authority is the regulator.
Part B - This regime covers processes with a lesser potential to pollute. Only
emissions to the air are regulated. The Local Authority is the regulator.

Sectors Covered by Integrated Pollution Prevention and Control

Sectors of industry regulated by IPPC include energy, metal production and processing,
minerals, chemicals production and waste management.
PPC is intended to provide a high level of protection for the environment as a whole and
extends traditional approaches to environmental protection by including energy use, waste
minimisation, vibration and noise.
Under PPC, industrial sites should be operated following five general principles:
use Best Available Techniques (BAT) to prevent pollution;
minimise waste and recycle it where possible;
conserve energy;
prevent accidents and limit their environmental consequences;
return the site to a satisfactory state after operations cease.
To conclude, Integrated Pollution Prevention and Control is intended to help industrial
operators move towards greater environmental sustainability.
For non-waste installations, the Directive includes the following requirements relating to
waste produced:

lays down measures to prevent or reduce emissions to air, water and land, including
measures concerning waste;
requires the avoidance of the production of waste and where waste is produced, it
must be recovered or, where that is technically or economically impossible, it must be
disposed of avoiding or reducing any impact on the environment;
specifies that permit applications must identify measures for the prevention and

recovery of waste generated by the installation.

5.1 Waste Activities Covered Integrated Pollution Prevention and Control.
Schedule 1 of the PPC Regulations identifies the industrial sectors and threshold criteria that
qualify an installation for inclusion under these regulations.
The Regulations apply to the following waste facilities:

The UK Government broadened the scope of the Pollution Prevention and Control
(England and Wales) Regulations 2000 to cover all landfills including inert landfill.
The Directive states that only landfills receiving more than 10 tons per day of waste
with a total capacity exceeding 25,0000 tons (excluding inert waste) would be caught.
Municipal waste incinerators with a capacity more than 3 tons per hour.
Non-hazardous waste treatment facilities with a capacity exceeding 50 tons per day.
Hazardous waste recovery or disposal facilities with a capacity exceeding 10 tons per
day.

New and existing facilities such as landfill sites, municipal solid waste incinerators and
certain waste treatment facilities now require Pollution Prevention and Control permits rather
than Waste Management Licences. The implementation of the Pollution Prevention and
Control (England and Wales) Regulations 2000 included requirements to repermission
facility types caught by the new Regulations.
Best Available Techniques
To gain a permit, operators have to show that they have systematically developed plans to
apply the "Best Available Techniques" (BAT) at the facility and meet certain other
requirements, taking account of relevant local factors. For example, there is specific
guidance on BAT for waste minimisation which includes:

analysing the use of raw materials and assessing the opportunities for reduction;
assessing opportunities for improved process efficiency and waste reduction.

In essence, Best Available Techniques (BAT) are the most effective and advanced stage in
the development of activities and their methods of operation which indicate the practicable
suitability of particular techniques for providing the basis for emission limit values designed
to prevent and - where that is not practicable - generally to reduce the emissions and the
impact on the environment as a whole.
BAT aims to select techniques which protect the environment and achieve an appropriate
balance between environmental benefits and costs incurred by Operators. However,
whatever the costs involved, no installation may be permitted where its operation would
cause significant pollution.
Pollution Prevention and Control ( England and Wales ) Regulations and Existing
Facilities
All IPPC installations are required to apply for a permit to operate and the PPC regulations
have fully replaced the previous IPC and LAPC systems.

Ongoing supervision of existing waste management licences and pollution prevention

and control permits
Waste facilities are the subject of ongoing supervision from the Regulator, including
compliance monitoring inspections, audits, licence reviews, monitoring and possible
enforcement action.
Article 4 of the Waste Framework Directive places an obligation upon Member States to
ensure facilities are the subject of appropriate periodic inspections. This requirement is
reflected in section 42 of the Environmental Protection Act 1990 which requires the
Regulator to take the following steps:

Ensure the activities authorised by the licence do not cause pollution of the
environment, harm to human health or become seriously detrimental to the amenities
of the locality affected by the activities.
Ensuring the conditions of the licence are complied with.

The Environment Agency continues to develop a risk-based approach to inspection to meet

its obligations and ensure high levels of environmental protection are achieved. More
recently, inspection regimes have been increased on sites or operators with poor compliance
records or at particularly sensitive sites.
Examples of Environment Agency Supervision:

Planned inspections, including out of hours inspections determined by site

supervision plans.
Monitoring fit and proper person status.
Assessment of a licence holders own management and supervision.
Unplanned inspections, such as in response to incidents or complaints.
Sampling/environmental monitoring.
Verification and analysis of submitted environmental monitoring.
Checking/analysis of records kept and submitted.
Audits.
Progress and review meetings with the operator.
Enforcement action.
Reviews and updates of licences and working plans.

The cost of the Regulators supervision is largely met through the imposition of annual
subsistence charges, made under section 41 of the Environment Act 1995. These charges
are based upon the risk associated with a licensed site, including site type, types and
quantities of waste accepted, sensitivity of the location and operator performance.
5.2 Amendments to Waste Management Licences and Pollution Prevention Control
Permits.
Conditions of an issued waste management licence can be varied in four possible ways, in
accordance with section 37 of the Environmental Protection Act 1990.
Modifications made under section 37(1):

Section 37(1) of the Environmental Protection Act 1990 provides that where a waste
management licence is in force, the Regulator may:
a) on its own initiative modify the conditions of a waste management licence to any extent
which in its opinion, is desirable and is unlikely to require unreasonable expense on behalf of
the licence holder; and
b) on the application of the licence holder, accompanied by the relevant charge prescribed
for the purpose by a charging scheme under section 41 of the Environment Act 1995, modify
the conditions of his licence to the extent requested in the application.
Modifications made under section 37(2):
Section 37(1) of the Environmental Protection Act 1990 provides that where a licence issued
by the Regulator shall, except where it revokes the licence entirely, modify the conditions of
the licence:
a) to the extent which in the opinion of the Regulator is required for the purpose of ensuring
that the activities authorised by the licence do not cause pollution of the environment, harm
to human health, or become seriously detrimental to the amenities of the locality affected by
the activities; and
b) to the extent required by any regulations in force under section 35(6) of the Environmental
Protection Act 1990 (regulations imposed by the Secretary of State and National Assembly
Wales providing for conditions to be included in licences).
If a modification is issued by the Regulator under section 37(2) then it must also include a
statement that in their opinion it is necessary for the purpose of preventing, or where this is
not practicable, minimising pollution of the environment or harm to human health. This
statement ensures that the modification remains effective during any subsequent appeal.
Modifications can only be made to the conditions of the licence and not to the terms of the
licence itself. Therefore, the extent to which the authorised activities, the broad categories of
waste and the area subject of the waste management licence can be amended through a
modification are limited.

TRANSFER OF EXISTING WASTE PERMISSIONS

Section 40 of the Environmental Protection Act 1990 provides that waste management
licences can be transferred to another person. The current licence holder and proposed
transferee should jointly make an application to the Regulator for a transfer of the waste
management licence.
The transferee must go through the Fit and Proper Person check in the same way as a new
applicant for a waste management licence.
Upon determination of the transfer, the Regulator endorses the waste management licence
at which point the obligations of the licence pass on to the new licence holder.
5.3 Surrender of a Waste Management Licence.
The Environmental Protection Act 1990 states that waste management licences remain in

force (unless revoked by the Regulator) until they are formally surrendered and issued with a
Certificate of Completion by the Regulator.
The Regulator processes surrender applications in accordance with section 39 of the
Environmental Protection Act (EPA) 1990. Section 39 states that the Regulator must
determine whether the condition of the land, as a result of that land being used for the
keeping, treatment or disposal of waste (whether or not in pursuance of the licence) is likely
or unlikely to cause pollution of the environment or harm to human health.
The current Environment Agency position on waste management licence surrenders is:
The Agency must determine applications to surrender waste management (site) licences in
accordance with section 39 of the EPA 1990. The term whether or not in pursuance of the
licence will be interpreted as meaning any use of the land for the keeping, treatment or
disposal of waste since the date of issue of that licence. In determining whether pollution of
the environment or harm to human health is likely or unlikely, the Agency will have regard to
the use of that land and any neighbouring land, as evidenced by the relevant planning
authorities at the time of the determination of the surrender application.
There is a risk-based approach to the determination of surrender applications. This requires
the applicant to identify and characterise the likely sources of contamination, possible
receptors and the potential pathways to those receptors. This information is usually
submitted in a report along with a fee set by the Regulator. Where land use is a factor,
therefore, the Agency will require evidence from the relevant planning authority (in the form
of a planning consent or an extract from a local development plan or similar) at the time of
making its determination.
Modern facilities with their high levels of containment quality assured by qualified engineers
can easily demonstrate that levels of site contamination have not resulted from licensed
activities.
Where sites are located upon previously contaminated areas, e.g. former scrapyards, oil
storage sites, then it is commonplace for operators to complete a contamination baseline
report to establish the background contamination before commencing waste management
activities. This avoids any confusion at the waste management licence surrender stage.
5.4 Waste Management Licensing Exemptions.
The Waste Management Licensing Regulations 1994 (WMLR), which put into effect the
amended Waste Framework Directive and the licensing provisions of EPA 1990, also
contain many exemptions. The Department of the Environment Circular 11/94 explained that
one of the purposes of the WMLR was to prescribe under Section 33(3) of the 1990 Act
cases where a waste management licence is not required.
According to the Circular, the Government's waste policy was, subject to the best practicable
environmental option, that waste management should be based on a hierarchy in which the
order of preference was:

reduction;
re-use;
recovery including:
recycling;

composting;
recovering energy;
disposal.

Within this waste hierarchy, each option was to be managed and where necessary regulated
to prevent pollution of the environment or harm to human health. However, this was set
within the Government's more general policy of regulation being proportionate to the risks
involved and benefits to be obtained, that it should not be an end in itself, that it should not
be over-prescriptive and that it should not impose an unjustifiable or disproportionate burden
on those regulated - especially small businesses.
5.5 Activities exempt from waste licensing.
Some activities involving waste materials are exempt from licensing if they meet the
requirements detailed in Regulation 17 and 18 of the Waste Management Licensing
Regulations 1994, as amended. Lower risk waste management activities, such as some
reclamation and recycling activities, are usually not seen as a threat to the environment or
human health and can register as an exempt activity.
There are currently 46 separate exemptions listed in Schedule 3 of the Waste Management
Licensing Regulations. The 46 exemption paragraphs are generally subject to specific
constraints on waste types, quantities, capacities and duration of storage. A operation
registered under a exemption must comply with the strict terms of the exemption
conditions and the relevant objectives listed in Regulation 3 of the Waste Management
Licensing Regulations 1994:
the activity must not

endanger human health or harm the environment by presenting a risk to

- water,
- air,
- soil,
- plants or
- animals;

cause nuisance through noise or odours; or

adversely affecting the countryside or places of special interest.

If the activity ceases to operate under the strict terms of the exemption, then the Regulator
may take enforcement action and force activities to cease until a more appropriate
authorisation is secured.
It is an offence to carry out an exempt activity without it being registered or to carry out an
activity in breach of the conditions of the exemption.
The following tables, produced by the Scottish Environment Protection Agency to inform
operators, list the activities which are currently considered exempt. There are a number of
paragraphs which are used more commonly than others:

Spreading of waste on land : paragraph 7 of schedule 3 granted an exemption for the

spreading on land of waste consisting of soil, ash or sludgearising from

construction and demolition work on any land in connection with the reclamation or
improvement of that land , subject to the following limitations:
o as a result of industrial or other development, the land is incapable of
beneficial use without treatment;
o spreading results in benefit to agriculture or ecological improvements;
o the activity is carried out in accordance with a valid planning consent;
3
o no more than 10000m per hectare can be applied (approximately 2m
maximum depth of material).

Use of specified wastes in relevant works: paragraph 19 of schedule 3 granted an

exemption for the storage of specific quantities of waste arising from demolition and
construction work, consisting of ash, slag, clinker and rock and road planings for a
limited period. Use of such waste (generated onsite or imported from elsewhere) in
relevant works involving the provision of recreational facilities, construction of a
building, highway or transport facilities. The exemption cannot be used where work
involves land reclamation.

Storage of waste: paragraph 17 of schedule 3 granted an exemption for the storage

of waste in a secure place on any premises. The type and quantities of wastes were
specified in a Table and the exemption was subject to conditions, one of which
required that it was stored on the premises for no longer than twelve months and was
to be used or reused for, among other matters, any recovery operation.

Beneficial use of waste : Paragraph 15 of schedule 3 to the WMLR exempted the

beneficial use of waste if it was put to that use without further treatment and that use
did not involve its disposal. This paragraph did not apply to the use (or related
storage) of waste already covered by the paragraph/exemption. Under this
paragraph, however, any waste applied to agricultural land with the intention of
fertilising or improving it could be considered exempt from licensing controls, bearing
in mind that spreading as fertiliser by the occupier of the land might not constitute
disposal of waste.

Incineration : Disposal of waste by incineration was exempted in defined

circumstances from licensing by paragraph 29 of schedule 3. The disposal had to be
at the place where waste was produced, by burning in an exempt incinerator, which
was plant designed to incinerate waste, including animal remains, at a rate of not
more than 50 kg per hour. This permitted the burning of animal carcasses on farms in
an incinerator of the appropriate size, but the exemption did not apply to burning in
the open, which was exempted by paragraph 30 but in terms which limited it to wood,
bark or other plant matter.

Crushing, grinding or other size reduction of waste : paragraph 24 of schedule 3

granted an exemption for the crushing, grinding and size reduction of waste
produced onsite for the purpose of recovery along with the limited storage of
specified quantities of waste.

Composting : paragraph 12 of schedule 3 concerns the composting of specified types

of biodegradable waste up to a maximum of 1,000m3 at any one time. Currently, the
exemption states that where waste is imported into a site then the composted waste
must be spread on the same land holding.

5.5.1 Activities exempt from waste management licensing (Cont.).

Question 9.
Under the Pollution Prevention and Control, industrial sites should be operated.....
Multiple Choice (HP)
Answer 1:

To conserve energy

Response 1:
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Answer 2:

To return the site to a satisfactory state after operation ceases.

Response 2:
Jump 2:

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Answer 3:

To prevent accidents and limit their environmental impacts

Response 3:
Jump 3:

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Answer 4:

All of the above

Response 4:
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6.0 Hazardous waste.

DIRECTIVE ON HAZARDOUS WASTE (91/689/EEC, AS AMENDED)
Some wastes are harmful to human health or to the environment, either immediately or over
an extended period of time. Hazardous waste is waste that has hazardous properties that
may make it harmful to human health or the environment. Examples of hazardous wastes

include:

asbestos;
lead-acid batteries;
electrical equipment containing hazardous components such as cathode ray tubes
(e.g. televisions) or containing refrigeration equipment (e.g. refrigeration equipment);
oily sludges;
solvents;
fluorescent light tubes;
chemical wastes;
pesticides.

The Directive on Hazardous waste is another example of framework legislation and

complements the Waste Framework Directive by providing a framework for the control of
hazardous waste.
It is particularly important to manage hazardous wastes properly due to the risks they may
pose to the environment and human health. The Hazardous Waste Directive lists fourteen
properties of waste which render it hazardous (such as explosive, flammable, carcinogenic,
or corrosive).
It is also important to mention that there are other Directives which also impact upon the
management of hazardous waste, for example the Waste Framework Directive, the Landfill
Directive and the Waste Oils Directive.
The Directive requires:

a record of every site where tipping of hazardous waste takes place;

the prevention of the mixing of non-hazardous and hazardous waste;
the separation of hazardous waste from other waste where technically and
economically feasible;
hazardous waste to be transported, packaged and labelled in accordance with
international and European Union standards;
waste to be transferred with an identification form;
producers and disposal sites to be inspected;
permitted sites to keep records for three years.

Hazardous wastes are listed in the amended European Waste Catalogue (EWC),
established by Commission Decision 2000/532/EC which was brought into effect in the UK
on 16th July 2002 through the Landfill ( England and Wales ) Regulations. Until this time, the
Hazardous Waste Directive was covered in the UK by the Special Waste Regulations 1996.
Amendments to the EWC have brought many wastes not previously categorised as
hazardous within the scope of the wider definitions, including computer monitors, fluorescent
tubes, fridges and end of life vehicles that have not been drained of liquid or other
hazardous components.
The European Waste Catalogue (EWC) lists all wastes, grouped according to generic
industry or process. Each waste type is given a six-digit code. Check the EWC to find out if
your waste is classified as hazardous. Hazardous wastes are identified in the EWC with an
asterisk (*).

Some wastes are always classed as hazardous. Other wastes require assessment to
determine whether they are hazardous or not, depending on whether the amounts of
dangerous substances present are above threshold concentrations.
HAZARDOUS WASTE (ENGLAND AND WALES) REGULATIONS 2005 AND THE LIST
OF WASTES (ENGLAND) REGULATIONS 2005
The Hazardous Waste (England and Wales) Regulations 2005 and the List of Wastes (
England ) Regulations 2005 which came into force on 16th July 2005 replace the Special
Waste Regulations 1996, as amended.
The Hazardous Waste Regulations set out procedures that must be followed when carrying,
receiving and treating/disposing of hazardous waste. In a similar way to the Duty of Care
requirements, the Hazardous Waste Regulations require that waste movements are tracked
from cradle to grave using the consignment note process. The List of Waste Regulations
2005 implement the EWC and specifies which materials are to be considered hazardous.
The Hazardous Waste Regulations also require most producers of hazardous waste to
register their premises with the Environmental Regulator, which in England and Wales is the
Environment Agency.
6.1 Scope of the Hazardous Waste Regulations.
Hazardous Waste is potentially produced by all sectors of business and industry. However,
the situation is more complex in the case of householders.
The Regulations do not apply to domestic waste other than as set out in Regulation 14 for
separately collected domestic fractions and Regulation 13 for asbestos that is also domestic
waste.
Normal mixed domestic refuse is regarded as non-hazardous, albeit there may be
quantities of hazardous wastes within it that are typically generated by domestic premises.
Such waste would typically be disposed of in the normal household dustbin waste.
Where a household generates hazardous waste that is collected separately from the normal
mixed domestic refuse, then it will fall under the definition of separately collected domestic
fraction. A separately collected domestic fraction is waste that is hazardous waste which is
domestic waste and collected from premises on which it is produced separately from the
collection of other wastes from those premises.
Other Waste Types
Prescription-Only Medicines
Any medicines that possesses one or more of the hazardous properties H6 Toxic, H7
Carcinogenic, H10 Toxic for reproduction or H11 Mutagenic is a cytotoxic and cytostatic
medicine, which are deemed to be hazardous wastes.
Clinical Waste
Healthcare wastes are classified as clinical waste where they may cause infection or prove
hazardous. With the exception of medicines that are classified as non-hazardous, clinical
waste is therefore normally classified as hazardous waste due to the presence of one or

more of infectious agents, hazardous chemicals, or cytotoxic or cytostatic medicines.

Group E, hygiene or SANPRO waste that is not infectious is not considered to be clinical
waste and is not hazardous waste.
Radioactive Wastes
Most radioactive waste is subject to the provisions of the Radioactive Substances Act 1993
and outside the scope of the Hazardous Waste Regulations 2005. However, where
radioactive waste is exempt from the requirements of Sections 13 or 14 of the Radioactive
Substances Act 1993 and has one or more hazardous properties arising other than from its
radioactive nature, it is subject to the requirements of the Hazardous Waste Regulations.
Items exempt from the Radioactive Substances Act, although not necessarily hazardous
waste, include some clocks and watches, illuminants, indicators and smoke detectors.
Agricultural, Mines and Quarries Wastes
The Hazardous Waste Regulations apply to agricultural and mines and quarries waste from
15th May 2007.
Question 10.
Hazardous waste includes......
Multiple Choice (HP)
Answer 1:

Pesticides

Response 1:
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Answer 2:

Fluorescent light tubes

Response 2:
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Answer 3:

Asbestos

Response 3:
Jump 3:

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Answer 4:

All of the above

Response 4:
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Next page

6.2 Hazardous Waste Producer Registrations.

Any businesses producing Hazardous Waste has a legal duty to register premises where
hazardous waste is produced with the Regulator.
Hazardous Waste producer registrations are valid for twelve months from the date of
registration. If premises continue to produce hazardous waste after the initial twelve month
period, then the registration must be renewed.
Premises that fail to register may be liable to enforcement action.
Each premises that is registered will be given a unique registration number or 'premises
code'.
Premises producing hazardous waste that are not exempt must be notified, irrespective of
the amount of hazardous waste they produce. Note that it is the responsibility of the occupier
of a premises to determine whether it is properly exempt under the Regulations.
Premises may be notified either by a waste producer or consignor. A third party may also
notify on the behalf of a producer or consignor. Such a third party should be authorised by
the producer or consignor to notify premises on their behalf.
A consignor (which in this case means a person who proposes to remove, or cause to be
removed any hazardous waste from premises) may notify provided that:
i) the premises being notified are the premises at which the waste was produced and the
producer is not known or cannot be located without unreasonable inconvenience or
expense; or
ii) the waste was not produced at those premises.
HAZARDOUS WASTE PRODUCER EXEMPTIONS
An exempt hazardous waste producer does not need to notify the Regulator. Only premises
that meet the requirements to be exempt stated in the Hazardous Waste Regulations 2005
are not required to register. It is only the hazardous waste producer who is able to confirm at
any particular time whether he is properly exempt.
Where less than 200kg of hazardous waste is being produced at a site over a twelve month
period, then registration is not required.
6.3 Hazardous Waste Consignment Notes.
Where a waste carrier is to collect waste from exempt premises, he must be satisfied that
the producer is properly exempt. In order to comply with their Duty of Care, a waste carrier
can require a written statement from the producer that the premises comply with the exempt
requirements and from the need to notify their premises stated in the Hazardous Waste
Regulations 2005. It is an offence for a carrier to remove or transport hazardous waste from
any premises that, at the time of removal, are not either notified premises or properly
exempt.
As with paper copies, before a waste is removed from a premises, the producer, holder or

consignor as appropriate must:

read the consignment note information;

sign part D;
retain his copy before the waste is removed.

A consignee is a person to whom waste is transferred for recovery or disposal. Of the two
copies of the consignment note the consignee receives when accepting a waste, a
consignee must keep one copy and give a copy to the carrier. Copies should normally be
provided before the carrier leaves the site. Where it is not possible to provide them in this
way, they should normally be provided to the consignee and carrier as soon as possible after
the waste has been received.
CONSIGNEE RETURNS
The Hazardous Waste Regulations state that a consignee must send a consignee return to
the Regulator on a quarterly basis. The return must provide a detailed summary of all the
hazardous waste that the consignee has received or deposited, as well as the consignments
the consignee has rejected.
KEEPING RECORDS OF HAZARDOUS WASTE
If hazardous waste is moved or received, then accurate records must be kept in accordance
with the requirements of the Hazardous Waste Regulations. There are specific information
requirements that must be considered, in addition to the information associated with the
consignment notes.
Hazardous waste producers and hazardous waste carriers should maintain a register with
the following details:

Details of any hazardous wastes stored at the site which should be available to the
emergency services if required.
Details about each wastes removal from a premises.
Details of the wastes transport.
Details of the intermediate storage of the waste.
The destination (i.e. site for disposal or recovery) for the different wastes produced.

In addition, consignee receiving hazardous waste should also record the following
information:

keep records showing the locations of where wastes are kept or deposited on the
site;
provide returns to producers, holders or consignors.

Question 11.
Any business, unless exempt, that produces hazardous waste has a legal duty to register
the premises, where the hazardous waste is produced, with the regulator.
True/False (HP)
Answer 1:

True

Response 1:
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Answer 2:

False

Response 2:
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Question 12.
Hazardous waste producer registrations are valid for how long from the date of registration?
Multiple Choice (HP)
Answer 1:

6 months

Response 1:
Jump 1:

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Answer 2:

12 months

Response 2:
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Answer 3:

2 years

Response 3:
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Answer 4:

5 years

Response 4:
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7.0 Landfill.
OVERVIEW OF LANDFILLING
Landfill (or land-raise) sites are still currently the primary disposal route for all wastes in the
UK, accounting for around 60% of the countrys waste stream. The term landfill relates to
waste disposal mainly below ground level whereas landraise, also generically referred to as

landfill, refers to waste disposal mainly above pre-existing ground levels.

Landfill sites can range in size from just a few hectares (Ha) to over 100 Ha and can receive
inert, non-hazardous (including municipal solid waste (MSW)) or hazardous wastes.
Similarly, waste throughputs can vary widely between sites with some receiving as little as
10,000 tons per annum whilst major strategic sites may receive over 1,000,000 tons per
annum.
A common misconception is that landfills are simply holes in the ground into which waste is
tipped. However, modern landfill practice requires a significant degree of engineering in
order to contain the waste, control emissions and minimise potential environmental effects.
The majority of landfills are operated on a phased cell system whereby, as one cell is being
filled, another is being prepared, and another is being completed/ restored (usually to an
agricultural, amenity or nature conservation after-use). Waste is tipped by incoming
transfer/collection vehicles at a designated working face on the cell where active disposal is
taking place. The waste is then spread out and compacted by a purpose-built compactor in a
series of layers, or lifts, such that void use is minimised. At the end of the working day, the
final lift is often covered by daily cover usually consisting of soil or another inert material to
reduce odour, litter spread and access to the waste by birds and vermin.
THE FUTURE OF LANDFILL IN THE UK
Most types of waste may be disposed of via landfill. However, the landfill route is currently
being discouraged both through the EU Landfill Directive and Landfill (England and Wales)
Regulations 2002 to encourage more sustainable waste management practices such as
minimisation, re-use, recycling and energy recovery. Nevertheless, in the foreseeable future,
landfill will still be required to dispose of the residues of other waste management operations
such as incinerator ashes and materials recovery facility (MRF) residues etc.
Timescales for landfill are directly linked to the void available and input rates. The predicted
closure dates for landfill may vary as input rates change. With diversion away from landfill,
the lifetime of sites is likely to extend on average and the total number of landfills will also
reduce.
7.1 Key requirements of the Landfill Directive.
The requirements of the Landfill Directive are implemented through the Landfill (England and
Wales) Regulations 2002. The Landfill Directive contains far-reaching legislation that
impacts both on the management of waste and on specific waste streams. The Landfill
Directive aims to improve standards of landfilling across Europe by setting specific
requirements for the design, operation and aftercare of landfills and for the types of waste
that can be accepted at landfill sites.
The Directive also requires a substantial reduction in the amount of biodegradable municipal
waste (BMW) being landfilled and requires a plan for the reduction of all biodegradable
wastes in landfill to be produced by 2003. Targets set in the Landfill Directive were:

by 2010 to reduce BMW landfilled to 75% (by weight) of that produced in 1995
by 2013 to reduce BMW landfilled to 50% (by weight) of that produced in 1995
by 2020 to reduce BMW landfilled to 35% (by weight) of that produced in 1995

The Directive bans the landfilling of a number of wastes across Europe, including the

following:

waste which is corrosive, oxidising, highly flammable, flammable or explosive;

liquid hazardous waste, infectious hospital and other clinical wastes;
whole used tyres (from 2003);
shredded tyres (from 2006).

The Directive classifies landfills as hazardous, non-hazardous, or inert landfills and

prevents the co-disposal of hazardous and non-hazardous waste after 16th July 2004. This
ban had serious implications for the landfill operations traditionally operated in the UK,
resulting in a drastic reduction in the number of landfill sites which could accept hazardous
wastes.
The Directive also requires that waste must be pre-treated before being landfilled and that
landfill gas must be collected, treated and used to produce energy. This means that if the
landfill gas produced cannot be utilised, then it must be actively flared.
7.2 Locational requirements of the Landfill Directive.
Landfill sites have to be sited where an existing void is available, such as in existing mineral
workings, or in areas where suitable material may be excavated either for commercial sale
or to provide engineering material for the landfill itself. The location of land-raise sites,
however, is less limited and may include derelict land, extensions to existing landfills and
even greenfield sites. Indeed, some of the largest landfills are land raise sites, such as those
in Essex which lie on marshland in the Thames estuary where Victorian dumps have been
extended and remained in use over decades. Given the requirement either for mineral void
or disused/marginal land, or issues relating to potential amenity concerns, landfill sites tend
to be located in rural areas.
Paragraph 1(1) of the Landfill (England and Wales) Regulations 2002 relates to the location
of a site with respect to various potential receptors including groundwater, waterways, water
bodies and coastal waters. This includes consideration of the geological and hydrogeological
conditions in an area, in addition to other requirements. Poorly located landfill sites can
result in an unacceptable impact upon the local environment, including pollution of
underlying groundwater resources in an area. There are many chases where problems have
been experienced. The Landfill Directive aims to steer new landfill site developments into
less sensitive locations.
Schedule 2 paragraph 1(2) of the Regulations states that a landfill permission should only be
granted if the locational requirements or the corrective measures indicate that the landfill
does not pose a serious environmental risk.
Following the implementation of the Landfill Directive through the Landfill (England and
Wales) Regulations 2002, the Environment Agency has adopted a revised policy on the
location of landfill sites. The policy can be summarised as follows:

The Agency will object to any proposed landfill site in groundwater Source Protection
Zone I.
For all other proposed landfill site locations, a risk assessment must be conducted
based on the nature and quantity of the wastes, and the natural setting and
properties of the location. Where this risk assessment demonstrates that active longterm site management is essential to prevent long-term groundwater pollution, the

Agency will object to sites:

o below the water table in any strata where the groundwater provides an
important contribution to river flow or other sensitive surface waters;
o on or in a Major Aquifer;
o within Source Protection Zones II or III.
The risk assessment must consider the long-term (i.e throughout the aftercare period and up
until completion and the surrender of the permit) degradation of the systems installed at the
landfill, in particular the leachate collection system and lining along with any active
groundwater management systems. The criterion against which a risk assessment should be
determined is that there should be no likelihood of an unacceptable discharge from the site.
7.3 Engineering requirements of the Landfill (England and Wales) Regulations 2002.
The primary by-products of landfilling, where biodegradable materials are disposed of, are:

landfill gas (a combination of methane - CH4, and carbon dioxide CO2, along
with trace organics);
leachate (a liquor resulting from water passing through the waste mass)

and much landfill engineering is geared towards dealing with these substances.
As such, landfills require containment lining systems and abstraction systems for both
leachate and landfill gas.
In assessing the landfill engineering proposals for all landfill sites, there are two basic rules
that must be applied in all cases:

there must be no likelihood of unacceptable discharge/emission over the entire

lifecycle of the landfill (i.e. Landfill Regulations and Groundwater Regulations
compliant);
there must be structural/physical stability over the entire lifecycle of the landfill.

Schedule 2 paragraph 2 relates to measures to control leachate. Paragraph 2(1)(c) requires

that appropriate arrangements are made to collect contaminated water and leachate. This
requirement may not apply if a site specific risk assessment, based on the location of the site
and the wastes to be taken, demonstrates that the landfill poses no potential hazard to the
environment (paragraph 2(2)). Schedule 2 paragraph 2 does not apply to inert landfills.
Schedule 2 paragraph 3 consists of eight sub-paragraphs relating to the engineering of the
site (for detailed interpretation of engineering aspects of Schedule 2 refer to Regulatory
Guidance Note 6). Paragraph 3(8) allows the reduction of the requirements in subparagraphs (3) to (7) if a site specific risk assessment demonstrates that the landfill poses
no potential hazard to soil, groundwater or surface water (with particular regard to the
Groundwater Directive).
For all containment systems it must be demonstrated, through the risk assessment process,
that there will be no likelihood of unacceptable discharges from the landfill over its entire
lifecycle.
i) Geological Barrier
Paragraph 3(1) to (5) inclusive of Schedule 2 of the Regulations deals with the requirements

for a geological barrier at the landfill site.

The geological barrier must extend along the base and all the way up the sides of the landfill
site. A geological barrier is the geological formation between the underside of the artificial
sealing liner (or waste for inert landfills) and the point at the point of intercepting groundwater
(point at which no unacceptable discharge should be detected in accordance with the
requirements of the Groundwater Regulations).
The geological barrier must provide sufficient attenuation to prevent a potential risk to soil
and groundwater. The site specific risk assessment must demonstrate the performance of
the proposed geological barrier for a site against the requirements of the Groundwater and
Landfill Directives. This risk assessment should also include, for example, stability
considerations, management of landfill gas and permeability requirements.
ii) Artificial Sealing Liner
The Landfill Regulations use the terms bottom liner (paragraph 3(2)(a)) and artificial sealing
liner (paragraph 3(6)). These should be interpreted as being the same element.
Therefore, the overall environmental protection required by the Regulations should be
provided by a combination of the underlying geological barrier and an artificial sealing liner.
In hazardous and non-hazardous landfills, an artificial sealing liner is required in addition to
the geological barrier. The purpose of the artificial sealing liner is to control leachate leakage
from the site and enable its collection, ensuring leachate accumulation at the base of the
landfill is kept to a minimum. The main property required of this element is therefore low
permeability. This requirement for an artificial sealing liner could potentially be met by an
engineered and quality assured liner system such as a geomembrane or dense asphaltic
concrete.
iii) Leachate Drainage Blanket
Paragraph 3(6) of the Landfill Regulations also requires the installation of a leachate
drainage layer,
The Regulations state that a leachate drainage layer at least 0.5m thick is required for all
landfills where leachate is to be collected (paragraph 3(6) of Schedule 2) so as to allow
leachate extraction and minimise the depth of leachate accumulated on the base of the
landfill (known as leachate head). A reduction in the thickness of the layer from 0.5m or an
alternative drainage system may be considered as part of the risk assessment, provided the
proposed design can meet the overall requirements of the drainage system over its entire
design life.
iv) Final Capping
A cap is required to minimise leachate generation (as required by paragraph 3(7) of
Schedule 2 of the Regulations).
All hazardous and non-hazardous landfills would normally require a cap. The Landfill
Regulations include recommendations for capping which can be changed based upon a site
specific assessment.
The need for and specification of a cap is also related to the gas management system and
also the potential need to physically separate the waste from the environment, even if there

is no leachate risk (e.g. for asbestos waste). However, as a minimum, the capping system
should contain a sealing layer, a surface water drainage system and restoration soils to an
appropriate depth.
Summary of the Engineering Requirements of the Landfill Regulations 2002, as
amended
The engineering requirements of the Landfill Regulations for the protection of soil and water,
and the management of leachate can be summarised as follows:

a geological barrier is required for all landfills to provide the necessary environmental
protection;
the geological barrier must extend over the base and sides of the landfill;
an artificial sealing liner is required for all landfills where there is a need to collect
leachate;
however, for landfills that do not pose a hazard to the local environment, a leachate
drainage blanket and an artificial sealing liner would not normally be required;
a low permeability cap will normally be required to minimise the formation of
leachate;
all landfills must meet the fundamental requirement of the Groundwater Regulations
- that there is no likelihood of unacceptable discharge from the site over the entire
lifecycle of the landfill;
where an existing discharge cannot be mitigated to an acceptable discharge (i.e. no
entry of List I substances to groundwater and no pollution of groundwater by List II
substances) then the PPC permit cannot be granted;
landfill engineering must retain their stability and integrity over the entire lifecycle of
the landfill.

7.4 Behaviour of wastes in landfills.

i) Inert Wastes
A strict definition of inert waste was introduced through the Landfill (England and Wales)
Regulations. Regulation 7(4)(c) provides that the total leachability and pollutant content of
the wastes - and the ecotoxicity of the leachate produced - must be insignificant and, in
particular, not endanger the quality of surface water or groundwater. Inert wastes are defined
as those waste which do not undergo any significant physical, chemical or biological
transformations when deposited in a landfill site. Examples of inert wastes include bricks,
concrete, clean hardcore, sand and certain soils.
At the majority of existing inert landfill sites across the UK, insignificant quantities of landfill
gas are produced and any leachate generated is generally weak with low concentrations of
contaminants.
ii) Biodegradable Waste
The processes of degradation of biodegradable wastes in landfill involves not only biological
processes but also physical and chemical processes. Waste Management Paper 26B
outlines some of the many processes which occur within the landfill environment.
The complete degradation of biodegradable wastes can take a number of decades to

complete.
The organic materials occurring in waste are classified into broad biological groups,
represented by proteins, carbohydrates and lipids or fats.

Carbohydrates major component of biodegradable waste, including cellulose,

starch and sugars.
Proteins large complex organic materials composed of hundreds or thousands of
amino acid groups.
Lipids or fats materials containing fatty acids.

Stages of Waste Degradation

i) Stage I Hydrolysis/ Aerobic Degradation
The degradation stage occurs in aerobic conditions (in the presence of oxygen) during the
emplacement of the waste and when oxygen is available within the waste. This stage can
last for a matter of days or weeks depending upon the availability of oxygen. Aerobic microorganisms metabolise the available oxygen and a proportion of the organic fraction of the
waste to produce simpler hydrocarbons, carbon dioxide, water and heat. The temperature of
the waste can reach 70 90oC, depending upon the availability of oxygen within the waste.
Released carbon dioxide is absorbed into water, derived from the waste and by water
infiltrating the waste, to form carbonic acid resulting in an acidic leachate.
ii) Stage II Hydrolysis and Fermentation
As anaerobic conditions begin to dominate, other micro-organisms begin to take hold.
Proteins, carbohydrates and lipids are hydrolysed to sugars which are then further
decomposed to produce carbon dioxide, hydrogen, ammonia and organic acids. Proteins
decompose via deaminisation to form ammonia and also carboxylic acids and carbon
dioxide.
Leachates tend to contain high concentrations of ammoniacal nitrogen. The organic acids
are mainly acetic acid, but also propionic acids, lactic and formic acids and acid derivative
products, and their formation depends upon the composition of the initial waste material.
Temperatures within the landfill tend to drop to 30 50oC. Gas concentrations may rise to
80% carbon dioxide and 20% hydrogen.
iii) Stage III - Acetogenesis
Organic acids produced in the Hydrolysis and Fermentation stage are converted by
acetogen micro-organisms to acetic acid, acetic acid derivatives, carbon dioxide and
hydrogen under anaerobic conditions. Other micro-organisms convert carbohydrates directly
to acetic acid in the presence of carbon dioxide and hydrogen. Hydrogen and carbon dioxide
levels begin to decrease during this phase which promote methane-generating microorganisms (methanogens) to generate methane and carbon dioxide from the organic acids
and their derivatives in earlier phases of degradation.
The resulting acidic conditions of this phase increase the solubility of metal ions which are
present at elevated levels in the site leachate. Organic acids, chloride ions, ammonium ions
and phosphate ions are all present at elevated concentrations in leachate and these readily
form complexes with metal ions to further increase solubility of metal ions. The presence of

the organic acids generates a very acidic leachate which can have a pH of 4 or less.
Hydrogen sulphide is often produced at this stage as sulphate compounds in the waste are
reduced to hydrogen sulphide by sulphate-reducing micro-organisms. Metal sulphides may
be a reaction product of the hydrogen sulphide and metal ions in solution.
iv) Stage IV Methanogenesis
At this stage, the conditions remain anaerobic and low levels of hydrogen promote the
generation of carbon dioxide and methane from organic acids and their derivatives such as
acetates and formates. Methane can also be produced through the direct micro-organism
conversion of hydrogen and carbon dioxide to form methane and water. The reactions during
this stage are relatively slow and take many years to complete. This is the main landfill gas
producing stage with gas compositions typically 60% methane and 40% carbon dioxide.
Hydrogen levels generated during the earlier phases drop significantly during this stage.
There are two classes of micro-organisms which are active during the methanogenesis
phase mesophilic bacteria (30 35oC active temperature range) and thermophilic bacteria
(45 65oC active temperature range). Therefore, landfill gas can be generated over a wide
temperature range (30 65oC) during this phase. During the methanogenesis stage,
biological degradation rates are reduced when temperatures fall outside of this range.
The organic acids created in the earlier stages are degraded by methanogenic microorganisms and as a result the leachate pH rises to a more neutral pH 7 8 which are ideal
for the methanogenic micro-organisms.
This is the longest stage of waste degradation but may not commence until six months after
the initial waste deposit. However, depending upon the characteristics of the site, water
content and waste degradation products this period may be extended to several years. In
general, landfill gas will continue to be generated for between 20 to 30 years after final
deposition of the waste; however, this will depend upon the specific site and waste
deposited. Modern landfill sites are expected to manage landfill gas at their sites for a period
of at least 60 years which reflects the low levels of landfill gas which will continue to be
generated well after site closure.
v) Stage V - Oxidation
Final stage of waste degradation. Reactions are completed as acids are used up in the
production of methane and carbon dioxide. New aerobic micro-organisms slowly replace the
anaerobic micro-organisms and re-establish aerobic conditions. Residual methane is
converted to carbon dioxide and water by the aerobic micro-organisms.

DIAGRAM LANDFILL GAS COMPOSITION & LEACHATE COMPOSITION.

7.5 Comparison of Early and Late Stages of Leachate Composition.
Comparison of Early and Late Stages of Leachate Composition
Stage II and III Leachate
High concentration of fatty acids

Stage IV Leachate
Low content of fatty acids

Acidic leachate

Neutral/ alkaline pH (7-8)

High Biological Oxygen Demand/

Low Biological Oxygen Demand/ Chemical

Oxygen Demand ratio

Chemical Oxygen Demand ratio

Lower levels of ammoniacal nitrogen
High ammoniacal nitrogen
High organic nitrogen
Heavy metals, such as Chromium, Iron and
Manganese in solution
Source: Waste Management Paper 26B Landfill Design, Construction and Operational
Practice (HMSO, 1995).
Site Specific Factors Influencing Waste Degradation in Landfills
i) Site characteristics depth of waste can influence degradation. Sites with a greater depth
of waste tend to develop and maintain anaerobic conditions and produce greater quantities
of landfill gas as opposed to shallow sites which allow greater ingress of oxygen.
ii) Capping a well-capped site will anaerobic conditions to be generated and maintained.
Water ingress will be substantially reduced by an effective cap which reduces the intial rate

of decomposition.
iii) Waste characteristics the proportion of biodegradable wastes deposited in a site effects
the level of biodegradation. In addition, the composition of organic components, such as the
proportion of cellulose, proteins and lipids will influence the rates and stages of degradation.
Pre-treatment of a waste, such as shredding, pulverising or compaction, changes the
surface area of the waste and rates of degradation.
iv) Moisture content of waste where dry conditions predominate, the degradation rates are
reduced impacting upon landfill gas and leachate production. Moisture content of the waste
(e.g. municipal solid waste typically contains between 15 40% moisture), rainfall,
percolation of surface water and groundwater into the landfill and effectiveness of the
engineering influence the moisture content of the waste.
Moisture can assist with the distribution of micro-organisms throughout the waste mass and
flush away degradation products into leachate.
v) Temperature this influences the rate of activity of micro-organism. Temperature is
related to the availability of oxygen with compacted waste achieving a lower temperature. A
cold site produces less landfill gas than a site with a higher ambient temperature.
vi) Acidity influences the activity of micro-organisms within the site and therefore the rate of
biodegradation. Specific micro-organisms thrive at different acidities, e.g. acetogenic microorganisms produce organic acids from waste degradation resulting in a low pH. The organic
acids are consumed by methanogenic bacteria which lead to a rise in the pH level (optimum
range for this bacteria is pH 6.8-7.5).
7.6 Landfill Leachate.
Landfill leachate is a potentially polluting liquid which - unless managed and/or treated, and
eventually returned to the environment in a carefully controlled manner - may cause harmful
effects on the groundwater and surface water that surround a landfill site. Leaching occurs
when soluble components are dissolved (leached) out of a solid material by percolating
water. Leachate may also carry insoluble liquids (such as oils) and small particles in the form
of suspended solids. Depending upon the nature of the waste types deposited at a site,
there may also be potential for the introduction of additional contaminants as a result of
biodegradation of wastes.
Hazardous and non-hazardous landfills may produce leachate that has elevated
concentrations of contaminants, such as ammoniacal nitrogen, heavy metals and organic
compounds. These could - if not contained and managed - affect both surface and
groundwater resources. However, some non-hazardous landfills accept waste with a
relatively low pollution potential, so a risk-based approach to all aspects of landfill design
and monitoring should be taken, including the monitoring of leachate, surface water and
groundwater. Even inert waste landfills can, if not managed correctly, generate uncontrolled
run-off, which could contain high loads of suspended solids that could affect surface water
quality and therefore such sites still require some monitoring of surface and groundwater
quality.
A waste management licence or Pollution Prevention and Control (PPC) Permit contains
conditions to provide assurance that the landfill operation does not cause harm to human
health or the environment. These conditions normally include requirements for

environmental monitoring.
Specific reasons for leachate, groundwater and surface water monitoring at landfills are:
to demonstrate that the landfill is performing as designed;
to provide reassurance that leachate controls are preventing pollution of the environment
(by reference to a pre-established baseline);
to meet the control and monitoring requirements of legislation and in particular Regulations
14 and 15, as well as Schedule III of the Landfill Regulations - this includes the requirement
for control monitoring;
to demonstrate compliance with the Groundwater Control and trigger level requirements of
Schedule 3 of the Landfill Regulations;
to indicate whether further investigation is required and, where the risks are unacceptable,
the need for measures to prevent, reduce or remove pollution by leachate;
to identify when a site no longer presents a significant risk of pollution or harm to human
health (to enable an application for a certificate of completion to be made, and thereby
formally end the licensing or permitting process and the legal duty to monitor).
Leachate may also be pumped out of the site using specially-constructed leachate extraction
points for treatment, disposal or recirculation back into the waste mass. An awareness of the
overall water balance is needed to design an effective leachate management system and
monitoring programme. The water balance can be summarised by the following simplified
equation:
L = total liquid inputs total liquid outputs
where L is the amount of liquid contained in storage within the waste.
The leachate stored in the waste is not fully available to drain to the base of the site. Some is
absorbed by the waste, and some may remain perched above low permeability layers at
higher levels in the waste body.
7.7 Monitoring of Leachate and Groundwater.
Landfill site monitoring programmes (including leachate, groundwater and surface water) are
designed to meet both the minimum requirements of the Landfill Regulations and sitespecific monitoring objectives which are based around the sites sensitivity with the more
sensitive sites generally requiring more monitoring points and a robust monitoring regime.
In order to comply with the requirements of the Landfill Directive (and Groundwater
Directive) a landfill must assess the downstream quality of groundwater to ensure there are
no unauthorised discharges from the site. In order to do this, it is also essential to accurately
establish the quality of groundwater upstream from the landfill. At low risk sites, this may be
achieved by locating a groundwater monitoring borehole upstream to establish the
background quality and two boreholes downstream to monitor for an discharges from the
landfill site. It is also important that any nearby receiving surface waters are monitored in a
similar way.

The Landfill Regulations state that quality must be addressed in the following ways:

For leachates the parameters to be measured and substances to be analysed vary

according to the composition of the waste deposited; they must be laid down in the
permit document and reflect the leaching characteristics of the wastes.
For groundwater, the parameters to be analysed in the samples taken must be
derived from the expected composition of the leachate and the groundwater quality in
the area. In selecting parameters for analysis, account should be taken of mobility in
the groundwater zone. Parameters could include indicator parameters in order to
ensure an early recognition of change in water quality. Typical example parameters
include pH, Total Organic Carbon, chloride, ammoniacal nitrogen, phenols, heavy
metals, fluoride, oil/ hydrocarbons and persistent substances present in the landfill
leachate but absent from surrounding groundwater.

In addition to monitoring quality, all landfill sites require groundwater trigger levels (or
compliance levels) to be set for one or more downstream groundwater wells to provide an
indication of when significant adverse environmental impacts have occurred. By identifying
such an adverse impact, further actions are required to establish the cause of the discharge
and what can be done to avoid the continued impact upon the environment.

Diagram showing the groundwater and surface water monitoring infrastructure at a low risk
landfill site (taken from the Guidance on Monitoring of Landfill Leachate, Groundwater and
Surface Water, Environment Agency).

7.8 Landfill Gas.

In order to minimise the potential impact of landfill gas on the environment (as required by
the Landfill Regulations), it is necessary to actively control landfill gas.
The Landfill (England and Wales) Regulations 2002 generally require the following gas
control measures:

appropriate measures must be taken in order to control the accumulation and

migration of landfill gas;
landfill gas must be collected from all landfills receiving biodegradable waste and the
landfill gas must be treated and, to the extent possible, used;
landfill gas which cannot be used to produce energy must be flared;
the collection, treatment and use of landfill gas must be carried on in a manner which
minimises damage to or deterioration of the environment and risk to human health.

LANDFILL GAS
The composition of emissions arising from predominantly inorganic (particularly hazardous
landfills) landfill sites may be very different from biodegradable landfills. Mature landfill gas is
a mixture predominantly made up of methane, carbon dioxide and small amounts of
hydrogen. It may also contain varying amounts of nitrogen and oxygen derived from air that
has been drawn into the landfill. These are typically referred to as bulk gases because they
are often present at percentage concentrations.
Landfill gas also contains a wide variety of trace components. Around 550 trace compounds
belonging to a variety of chemical groups have been identified in landfill gas
Carbon dioxide, methane and a variety of halocarbons found in landfill gas are all
greenhouse gases.
Gas can also be generated from non-biodegradable wastes by chemical processes within
the waste mass. For example, corrosion of metals or reactions between metals can lead to
the formation of hydrogen, the formation of free acidic gases can result from the reaction of
the waste with acidic material and redox reactions within the waste can lead to the emission
of sulphur oxides. Volatile substances may be released from the waste by the physical
processes in the waste, such as the generation of heat and reactions between organic
compounds.
7.9 Containment of Landfill Gas.
Site containment is provided by engineered barriers, which in combination with an active gas
collection and control system help to minimise the migration and emission of landfill gas.
Specifically, containment of landfill gas is provided by:

engineered lining of the sides and the base of the site to prevent uncontrolled
movement of landfill gas through the base and sides of the site;
engineered capping of the site surface to reduce the rate of direct emission of landfill
gas to the atmosphere and control the ingress of air (as well as controlling the
ingress of rainwater);
reduction of any in-situ gas pressure by gas extraction.

As detailed previously, the collection of landfill gas is a requirement of all landfill sites where
gas production takes place. The type and nature of the gas collection systems for such sites
depends on the types of wastes and their gas generating potential.
To control the potential risk associated with gas migration and emissions, landfill gas must
be removed from the waste, treated and, if possible, utilised. The gas collection system thus
forms a key element of the control and minimisation of the risks from landfill gas, which
would otherwise result in unacceptable impacts.
Landfill gas is collected using a system comprising landfill gas collection wells, gas collection
layers within the landfill capping system, gas collection pipework, an extraction plant and
condensate management system (condensate is water vapour created as landfill gas cools).
Where it has been demonstrated that the utilisation of the landfill gas (usually involving the
combustion of the gas to drive generators and produce electricity for the National Grid) is not
viable or cannot be sustained, flaring of the gas must be provided.
MONITORING OF LANDFILL GAS
The monitoring of landfill gas is an essential factor in the management of any landfill site and
must be carried out to demonstrate the site does not pose an unacceptable risk.
The Landfill Directive and Regulations set the following monitoring requirements.

The operator shall carry out, during the operational phase, the control and monitoring
procedures set out in Annex III and Schedule 3 (respectively).
Where the procedures reveal any significant environmental effects, the operator shall
notify the regulator as soon as reasonably possible.
When it receives a notification of significant adverse environmental effects, the
regulator shall determine the nature and timing of corrective measures that are
necessary and shall require the operator to carry them out.
The operator shall report at intervals specified by the regulator on the basis of
aggregated data, the results of the monitoring and on such matters which the
regulator requires to demonstrate compliance with conditions of the landfill permit or
to increase its knowledge of the behaviour of the waste in landfill.
The operator shall ensure that the quality of:

(a) analytical operations of control and monitoring procedures;

(b) analyses of representative samples taken are in accordance with regulatory
requirements.

Following definitive closure of a landfill, aftercare procedures shall ensure that:

(a) The operator remains responsible for the maintenance, monitoring and control for such
period as the regulator determines is reasonable, taking into account the time during which
the landfill could present hazards.
(b) The operator notifies the regulator of any significant adverse environmental effects
revealed by the control procedures and takes remedial steps as required or approved by the
regulator.
(c) The operator is responsible for monitoring and analysing landfill gas and leachate from
the landfill and groundwater regime in its vicinity in accordance with the requirements of the

Landfill Regulations as long as the regulator considers that the landfill is likely to cause a
hazard to the environment.

Gas monitoring must be carried out for each section of the landfill.
The efficiency of the gas extraction system must be checked regularly.
A monitoring and sampling plan must be prepared and included within the sites Gas
Management Plan.

Question 13.
Landfill is still the primary disposal route for all wastes in the UK.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

8.0 Groundwater Directive - Regulation 15.

THE GROUNDWATER DIRECTIVE (80/68/EEC)
The Groundwater Directive requires Member States to prevent the introduction of
substances in List I into groundwater and to limit the introduction of substances in List II into
groundwater so as to avoid pollution.
Under the Waste Management Licensing regime, these requirements were covered by
Regulation 15 of the Waste Management Licensing Regulations 1994. Under the PPC
regime, they are covered by the Groundwater Regulations (SI 1988/2746) which have similar
requirements.
Accordingly, when determining permissions for waste management facilities the Regulator
must

ensure that there is no unacceptable risk of direct discharges of List I substances to

groundwater unless that body of groundwater has been shown to be permanently
unsuitable and formally notified as such;
where direct discharge of List II substances is authorised then this must not result in
pollution of the underlying groundwater;
where indirect discharge of List II substances is authorised then this must not result
in the pollution of the underlying groundwater.

In order to satisfy the requirements of the Groundwater Regulations, prior investigation is

usually required including an assessment of the hydrogeology, quality of groundwater, the

"purifying properties of the soil and sub-soil" and the risks to groundwater quality.
Regulation 15 of the Waste Management Licensing Regulations 1994 remains in force for
sites licensed under the WML Regulations, and that four yearly reviews to demonstrate
compliance with the Groundwater Directive (as implemented by Regulation 15 of the WML
Regulations) must be carried out even if a PPC permit is not granted for the site.
8.1 Waste Treatment Technologies.
Common Physical Processes
Household Waste Recycling Centres
Household Waste Recycling Centres are generally small scale (0.5 ha) and may be ancillary
to an existing waste management operation, providing frontend recycling. Facilities need to
be located near to centres of population or on the edge of urban areas to maximise
accessibility and can often attract large numbers of people.
Household Waste Recycling Centres need hard standing areas to site recycling bins, skips
and possibly compactors which can be fully/partially enclosed or open. Surfacing needs to
be impermeable if the site is to cater for potentially polluting waste such as oil or car
batteries and surface water drainage is routed via an interceptor.
The key factor that will influence the success of a Household Waste Recycling Centres is the
ease of their use by the public. The range of considerations that waste management
contractors should incorporate when designing a site include, but should not be limited to:
logical and clearly-defined site layout;
clear and simple signs and road markings;
access control and advice at the site entrance;
traffic circulation to minimise the need to reverse;
helpful and proactive site supervision with sufficient staff;
public information notices that demonstrate the environmental and economic benefits of
recycling and waste management (including the percentage recycling rate and tonnage
collected in the previous month and year to date);
adequate parking and provision for queuing at peak periods;
segregation of public traffic from service and collection vehicles by means of a split level
site;
provision for use by pedestrians;
safe, clean and practicable environment with minimal distances required for lifting and
carrying materials to waste receptacles;

 efficient operating procedures;

innovative and attractive storage facilities;
colour co-ordination at deposit facilities; and
CCTV with vehicle recognition system.
Waste Transfer Stations
Waste transfer is the process by which waste is taken from waste producers, including
industry, commerce and the general public and taken for treatment, recycling and/or
disposal. To minimise the cost of transport and to reduce environmental impacts, transfer
stations are commonly used to transfer waste from smaller vehicles to larger vehicles, or
from road vehicles to trains or barges for onward transport.
Typically waste from waste collection vehicles, usually with a capacity of around 1012 tons,
is bulked up or compacted and loaded onto larger vehicles with a capacity of up to 22 tons.
Solid waste transfer stations usually consist of a large building where vehicles deliver waste
either onto the floor, into bays, or into compaction units. Inert wastes may be transferred in
the open. The waste is usually only present for a matter of hours before being transferred,
either directly or by front loading shovel, into larger vehicles for onward transport.
Waste is not usually stored within the waste transfer station overnight and can create
nuisance issues if the waste is stored for an extended period. Waste transfer stations are
often located in association with other waste management activities such as Materials
Recovery Facilities (MRFs) and Household Waste Recycling Centres sites where front-end
treatment commonly occurs before bulking.
Waste Transfer Stations help to reduce the amount of fuel and atmospheric emissions
associated with the transport of waste by reducing the number of vehicle miles travelled by
the waste, particularly where trains or barges are used for onward waste transfer. Waste
Transfer Station also help to reduce the number of waste-related HGV movements on the
road.
8.2 Material Recycling Facilities (MRF).
As part of the transition away from a landfill-dominated industry, there is a need for more
recycling facilities which combine mixed waste processing with the processing of
recyclables. All local authorities have been set targets for recycling and composting as part
of the best value initiative which seeks to measure the performance and quality of local
services.
A facility which is designed to process source separated/co-mingled dry recyclables is
sometimes referred to as a clean MRF (as distinct from a dirty MRF, which handles comingled wastes including putrescible materials). Mechanical processing typically starts with
a bag splitter to remove the recyclables from the collection bags. Materials can then be
sorted by a combination of techniques which typically include:

Hand picking.
Mechanical sorting/screening/separation.
Magnetic separation.

Light and density separators.

Air separators for paper.

The operations are generally housed in large warehouse type buildings, usually constructed
with a standard steel frame and profiled steel cladding.
8.3 Common biological processes.
Composting
Composting is a biological process in which micro-organisms convert biodegradable organic
matter into a stabilised residue known as compost. The process uses oxygen drawn from the
air and produces carbon dioxide and water vapour as by-products.
Composting plants are typically located in rural or urban fringe sites and receive between
1,000 and 40,000 tons of biodegradable municipal solid wastes (BMSW) and industrial
wastes per year to convert to composted products. The majority of BMSW composted in the
UK consists of green garden waste or garden waste co-collected with kitchen waste. More
recently, there have been increasing quantities of other biodegradable wastes, including
certain industrial wastes.
The biodegradable waste feedstock is delivered to a reception area, where it is shredded
into finer particle sizes to increase the waste surface area and speed up the composting
process. The shredded waste is then commonly formed into windrows of 1.5 to 3 metres in
height for composting or treated in an in-vessel system (this term is used to cover a wide
range of composting systems, all of which feature the enclosed composting of waste, such
as silos, tunnels and enclosed bays).
The windrows are turned on a regular basis or air forced through the piles using fans (known
as forced aeration) to ensure they remain aerobic until the oxygen demand of the process
can be met through natural diffusion of fresh air into the pile (known as the curing or
maturation stage). The windrow composting process typically lasts between 8 to 16 weeks
from reception of the waste to production of the final compost. In-vessel composting typically
takes between 7 to 21 days, with a maturation time commonly dependent upon the final use
of the compost.
Odour production at poorly-run or poorly-sited composting sites can lead to public
complaints and concerns, and is a major cause of site closures. The greatest potential for
odour production occurs when fresh and partially composted materials are allowed to sit for
excessive periods of time without aeration, or if materials become too wet. This can lead to
anaerobic decomposition, causing the most noxious odours. These gases are then released
as soon as the aerobic material is disturbed.
Anaerobic Digestion
Anaerobic Digestion is the biological treatment of biodegradable organic waste in the
absence of oxygen, utilising microbial activity to break down the waste in a controlled
environment.
Anaerobic digestion results in the generation of:

Biogas , which is rich in methane and can be used to generate heat and/or electricity;
Fibre , (or digestate) which is nutrient rich and can potentially be used as a soil

conditioner; and
Liquor , which can potentially be used as a liquid fertiliser.

Potential feedstocks for anaerobic digestion facilities include sewage sludge, agricultural
wastes, municipal solid wastes and certain industrial wastes. It is estimated that typically
between 40% and 70% of municipal solid waste is made up of readily biodegradable organic
waste which could be diverted to such a use.
The main process steps in the digestion of biodegradable solid wastes (MSW) are pretreatment, anaerobic digestion and post-treatment. Pre-treatment involves the separation of
biodegradable organic waste from other components of the waste stream such as plastics,
metals and stones. The particle size of the coarser organic waste is then reduced to aid
digestion.
The anaerobic digestion process takes place within the digester, a warmed, sealed, airless
container. Upon introduction of the feedstock, bacteria within the digester ferment the
organic feedstock and convert it into biogas, a mixture of carbon dioxide, methane and small
amounts of other gases. There are two main types of anaerobic digestion, which are
characterised by the digestion stage of the process:

Mesophilic digestion: The feedstock remains in the digester for 1530 days at a
temperature of approximately 3035C.
Thermophylic digestion: The feedstock stays in the digester for a shorter period of
time, around 1214 days, at a higher temperature of 55C.

During the anaerobic digestion process, between 30 and 60% of the feedstock is converted
into biogas. This gas must be burned, and can be used to generate heat and power via an
engine or turbine, a gas burner or boiler, or a vehicle engine. When generating electricity,
the use of a combined heat and power system enables heat to be removed in the first
instance to maintain the temperature of the digester, then surplus energy can be used for
other purposes or sold to the grid.
As more feedstock is introduced to the system, the digestate is pumped into a storage tank.
Biogas continues to be produced in this tank and collection and combustion of this may be
both an economic advantage and a safety requirement. This residual digestate can then be
separated to produce a fibre and a liquor.
Depending on the constituents of the feedstock, the digestate must usually be refined posttreatment for use in horticulture or agriculture. The material may be spread directly onto
farmland as a slurry or separated into a solid and a liquid fraction. The solid fraction can be
made into a fully stabilised compost by subjecting it to a maturation process, and the liquid
fraction may be recycled for the dilution of fresh waste, sent to a wastewater treatment plant,
or applied to farmland as liquid fertiliser.
8.4 Mechanical Biological Treatment (MBT).
The term mechanical and biological treatment (MBT) is commonly used to describe a hybrid
process which combines mechanical and biological techniques used to sort and separate
mixed household waste. This term is often applied to specific patented processes which are
available on the market as stand-alone facilities. Often, such processes have been
established on the Continent. Mixed waste processing can also be undertaken within an
integrated facility which may also include composting and thermal treatment.

Mixed waste processing is a general term used to describe those operations, primarily of a
mechanical and/or biological nature, which are designed to process the following waste
streams:

unsorted black bag wastes;

residual waste following separation of recyclables/green waste, eg following doorstep
segregation;
residual waste following centralised separation of recyclables/organics.

Mixed household waste has the potential to cause additional nuisance from litter, odour and
leachate.
The nature of mixed waste processing operations is dictated by the needs of downstream
waste management practices. For example, in the case of a system which includes thermal
treatment, refuse-derived fuel (RDF) can be produced from mixed waste either as a loose
flock or in pelletised form. Alternatively, organic fractions can be separated for biological
treatment.
Various physical separation and waste reduction techniques can be used either as standalone operations or in combination. Such processes include:

Trommel screen (available in various forms typically a tilting/rotating drum used to

screen waste according to size and density).
Shredders.
RDF plant and pelletisers.
Hand picking stations.
Biological stabilisation.
Ball mills.
Other mechanical reduction techniques (crushing, pulverising etc).

Through biological treatment a dry, odourless product is created making the waste more
manageable. This product can then be further processed either as a fuel or for further
recovery. The partially stabilised waste residue however is still currently classified as being
biodegradable for the purposes of the Landfill Directive diversion targets.
8.5 Common Thermal Processes.
Pyrolysis and Gasification
Pyrolysis and gasification technologies form part of a group of processes and techniques
collectively known as advanced thermal treatments. Pyrolysis and gasification involve a
chemical reaction which takes place at high temperature and generally, this generates
energy from organic or hydrocarbon containing materials. The application of these
techniques to the treatment of solid waste streams is a relatively recent development, as
they were previously confined to applications in the oil and chemical industries. It is only
since the implementation of the Landfill Directive and associated taxes leading to a relative
increase in costs that such practices have been considered economically viable for
application in the waste industry.
In addition to pyrolysis and gasification, there are a number of other high temperature
thermal processes that are available on the market but have yet to make an impact in the
UK. These include vitrification techniques, which have been applied to the treatment of
incinerator ash residues for example in Japan and certain high temperature smelting

technologies. At the current time, however, there has been a lack of market take-up of such
novel techniques.
Pyrolysis takes place either in the complete absence of oxygen or with limited oxygen. The
production of charcoal from wood is an example of pyrolysis/gasification, where the wood is
prevented from combusting in the usual way due to air starvation. Conventional incineration
technologies also involve phases of pyrolysis, gasification and normal combustion. The main
difference with the specialist pyrolysis and gasification techniques is the control of the
reaction to a single phase.
The three products of pyrolysis are gas, liquid and a solid known as char. The chemical
reaction takes place at temperatures of between 400C and 800C. At the higher end of this
temperature range, there is very little water produced with mostly gas (known as syngas)
and char as the main products.
Gasification, like pyrolysis, is a process that has had previous applications using feedstocks
other than waste. For example, so called town gas produced from coal using gasification
was a very common process prior to the widespread availability of natural gas. Gasification
is a thermal upgrading process, in which carbon is converted to a syngas leaving a solid
residue. This takes place in the presence of air or air enriched with oxygen. Temperatures
employed are generally higher than pyrolysis at 900C 1100C when in air and 1000C
1400C using oxygen.
Energy is generated from pyrolysis and gasification in one of two ways:

The syngas is combusted and the hot gases are fed through a heat exchanger where
steam is produced; this is used to generate energy in a steam turbine.
The syngas is refined to a high quality and used in a gas engine to produce
electricity.

Both methods of waste treatment processes are eligible for subsidy under the Governments
Renewables Obligation Order.
8.6 Incineration.
Large scale thermal treatment plants typically receive between 90,000 and 600,000 tons of
waste per year.
Large scale thermal treatment plants are designed to burn waste as efficiently as possible,
usually recovering energy. Waste is burnt under controlled conditions and at high
temperatures. Heat released from the combustion of this waste is recovered and used to
generate electricity and/or to provide steam or hot water. The volume of waste needing
disposal following large scale thermal treatment is reduced by approximately 90% thus
reducing the need for landfill. Proposals which seek to utilise sites which offer the potential
for combined heat and power (CHP) and export of energy to businesses which would
otherwise use fossil fuel sources are generally received more positively than other proposals
and this is also a requirement of the EU Waste Incineration Directive.
The resultant output of a thermal treatment plant is ash, which is generally far more stable
than the solid waste input, mainly due to the oxidation of the organic component of the waste
stream.

The majority of plants use an inclined moving (or reciprocating) grate design. Mixed waste is
delivered into a reception hall or tipping bunker, then fed into a furnace feed hopper, usually
by a mechanical grab to ensure an even input. The waste falls onto the moving grate
system, which keeps it traveling down a slope (incline) through the furnace as it burns.
All combustible material is burnt and the unburned residue (known as bottom ash) is
deposited into a quench tank. Primary air is pumped through from under the grate to aid
combustion, whilst secondary air is delivered over the fire to enable good combustion in the
gas phase.
The hot gases from the combustion chamber are directed to a boiler, where heat is
recovered as superheated steam through a series of heat exchangers. Approximately 2,000
kilowatt hours of heat per ton of waste can be recovered, of which 90% is available for
export once a certain fraction has been used for running the plant. In terms of electricity
generation, for every 100,000 tons of waste, approximately 7 megawatts (MW) of electricity
can be exported to the national grid, enough to meet the needs of about 11,000 homes.
Fluidised bed incinerators use a combustion chamber containing a fluidised bed in place of a
moving grate, which is created by air being forced up through a bed of inert material, for
example sand, into which the waste is introduced. As a result of this, turbulence is created in
the waste generally enabling a more complete combustion of the waste. Unlike mass burn
incineration facilities, fluidised bed plants generally require some form of pre-processing of
waste to produce a refuse derived fuel (RDF). The new facility at Allington , Kent is a
fluidised bed incinerator.
Most modern large scale plants are either fully or semi-automated using state of the art
computerised control systems. There is often a control room sited above the tipping hall to
monitor the loading of the feed hopper and from where the waste feed grabs can be
operated. Air emissions and plant performance parameters are continuously monitored with
real time outputs displayed on computer screens in the control room.
The economics of Energy from Waste facilities such as large scale thermal treatment plants
depend greatly on scale of operation. Historically, it has been assumed that plants with a
throughput of less than 200,000 tons of waste per year were uneconomic to operate under
prevailing gate fee conditions and electricity prices. The Landfill Directive has helped to
change this situation. However, there remain economies of scale which generally make
larger plants more cost effective to develop and operate than smaller plants.
In the past, there was little or no incentive for facilities to undertake any pre-processing of
waste prior to its incineration. However, the facilities now form part of the overall waste
management strategy.
9.0 Effluent discharges.
WHAT IS TRADE EFFLUENT?
All industrial waste waters are subject to a discharge consent system under either the Water
Resources Act 1991 or the Water Industry Act 1991.
Trade effluent is any effluent (liquid waste) that is discharged from any premises being used
for carrying on a trade or industry. Any liquid, with or without suspended particles, which is
wholly/partially produced in the course of any trade or industrial activity carried out at trade

premises will be classed as trade effluent. The only effluents which are not classed as Trade
Effluent are clean, uncontaminated surface water (i.e. clean rainwater run-off which has not
been contaminated when running over a site) and domestic sewage.
Trade effluent can include:

waste chemicals, including oils;

liquid process wastes;
detergents;
condensate water from compressed air installations;
cooling water;
biodegradable liquids;
wash water;
liquid wastes or wash waters, other than domestic sewage, discharged using sinks,
basins or toilets, and
contaminated mine or quarry water.

Trade effluents can be discharged either to foul sewers, or to surface waters or ground
waters.
9.1 Legislation affecting effulent discharges.
Water Industry Act 1991
The Water Industry Act came into force in 1991 and consolidates various enactments
relating to the appointment of water and sewerage undertakers, conditions of appointment,
supply of water and the provision of sewerage services.
The Sections of the Act which are of particular importance to discharging effluent into the
sewerage system are as follows:
i) Waste, Contamination and Misuse of Water
Under Sections 71-75, it is an offence for an owner or occupier of premises to intentionally or through negligence, unintentionally - allow water fittings to remain in disrepair, so as to
cause contamination, waste or misuse of water. Water authorities are entitled to cut off the
water supply or serve a notice on consumers for contamination or waste of water.
ii) Disposal of Effluents into Sewers
Sections 118-134 of the Water Industry Act contain the criteria for discharging trade effluent
in the sewers. Trade effluent is any liquid waste, in any quantity, that is produced from an
organisation's operations. Trade effluent can include liquid process wastes, wash water,
cooling water, condensate water from compressed air installations, and waste chemicals. No
effluent can be discharged into the sewer which may damage the sewer, injure the people
working in it or interfere with the working of the sewage treatment works.
Trade Effluents (Prescribed Processes and Substances) Regulations 1989
The Trade Effluents (Prescribed Processes and Substances) Regulations 1989 (SI 1156)
apply to companies which have, or are seeking, a consent to discharge specified trade
effluents under the Water Industry Act. These Regulations relate principally to the
procedures adopted by the sewerage undertaker and the Environment Agency. The

sewerage undertaker must refer all applications covering Special Category Waste to the
Environment Agency, who decide if the discharge should be prohibited or permitted, subject
to conditions.
Processes which are regulated under Part I of the Environmental Protection Act 1990 also
require a trade effluent consent from the sewerage undertaker.
Advice should be sought from the local sewerage undertaker for any trade effluent
discharges into the sewer system.
Failure to comply with the Water Industry Act is an offence subject to a fine not exceeding
20,000 and/or imprisonment not exceeding 3 months when tried in a Magistrates Court. An
unlimited fine or prison sentence of up to two years may be imposed if the case is tried in a
Crown Court. Prosecutions under the Act are brought by the sewerage undertaker.
9.2 Water Resources Act 1991.
The Water Resources Act 1991 (WRA) came into effect in 1991 and replaced the
corresponding sections of the Water Act 1989. In 2007, the Water Resources Management
Plan Regulations were published.
The WRA sets out the responsibilities of the Environment Agency in relation to water
pollution, resource management, flood defence, fisheries and - in some areas - navigation.
The WRA regulates discharges to controlled waters, namely rivers, estuaries, coastal
waters, lakes and groundwaters. This is distinct from the drainage of water or trade effluent
from trade premises into a sewer. Discharge to controlled waters is only permitted with the
consent of the Environment Agency. An aim of the Act is to ensure that the polluter pays the
cost of the consequences of their discharges.
DISPOSAL OF EFFLUENTS INTO CONTROLLED WATERS
Section 85 of the WRA states that 'no person shall cause or knowingly permit any
poisonous, noxious or toxic material or solid waste to enter a controlled water'. 'Causing'
means not only deliberately releasing any polluting matter but also causing the pollution
accidentally, by being the operator of a plant or process.
Companies may also be liable for prosecution under Section 85 if they fail to take adequate
precautions to prevent unauthorised personnel discharging pollutants from the premises into
controlled waters. In addition to unauthorised discharges direct into controlled waters,
companies are held liable for an unauthorised discharge to controlled waters occurring via
surface water drains, or by discharge onto the land.
Failure to comply with the WRA is an offence subject to a fine not exceeding 20,000 and/or
imprisonment not exceeding three months (if the case is heard in a Magistrates' Court). An
unlimited fine or prison sentence of up to two years may be imposed if the case is tried in a
Crown Court.
An offence is not committed where a discharge is made in accordance with a discharge
consent. The procedures for obtaining a consent from the Environment Agency are
contained in Schedule 10 of the Water Resources Act 1991 and the Control of Pollution
(Applications, Appeals, and Registers) Regulations 1996 - SI 1996/2971. Consents to
discharge effluent are subject to conditions such as biological oxygen demand, pH,

temperature, concentration of suspended solids and toxicity.

In England and Wales, the Environment Agency provides advice about discharges into
controlled waters, including discharges to controlled waters occurring via surface water
drains, or by discharge onto the land.
9.3 Anti-pollution works Regulations 1999.
The Anti-Pollution Works Regulations were enacted into Section 161A of the WRA to enable
the Environment Agency to serve works notices on polluters or prospective polluters. The
purpose of the regulations is to provide the Agency with additional powers to prevent water
pollution. Notices may be served on anyone who has 'caused or knowingly permitted' or
potentially may 'allow' polluting matter to enter controlled waters.
In the event of any investigations needed to determine the source of pollution, the Agency is
entitled to recover the costs from the person(s) on whom the notice was served. The Agency
conducts a risk assessment to determine whether a Works Notice should be served. The
storage and handling of chemicals should be undertaken in a manner in which the risk of
spillages and leakages are reduced as far as practicable.
METHODS OF REGULATING EFFLUENT DISCHARGES
Trade effluent discharged
to.
Surface waters or ground
waters, rivers, streams,
canals, lakes, reservoirs,
ponds, ditches, coastal
waters and estuaries
Sewerage system

Consent
required
Discharge
consent

Trade effluent
consent or a
trade effluent
agreement

Body giving consent

Environmental regulator - Environment
Agency in England and Wales; Scottish
Environment Protection Agency in
Scotland; Environment and Heritage
Service in Northern Ireland.
Local water and sewerage company in
England and Wales; Scottish Water in
Scotland; Water Service in Northern
Ireland.

Discharges to water and water pollution

Three categories of waste waters can be discharged from commercial premises with one
other category of effluent managed differently due to its characteristics:
i) Domestic Sewage - effluent from staff toilets, wash hand basins, showers, and kitchen
areas. This is also sometimes known as foul drainage and will usually be kept separate from
the trade effluent whilst on the company site, although it is mixed once it reaches the main
sewerage system. The charge for this is usually included as part of a water bill from the local
water company.
ii) Trade Effluent - effluent from all processes on the site, including all rinse water, washing
water and any other discharge related to the process (even if it is clean water). The local
water company charge for this if it goes to sewer according to a standard formula (see
below). Occasionally, effluent is discharged directly into a river or other water course: in this
instance, the Environment Agency make a charge.
Trade effluent is legally defined as "any liquid, either with or without suspended particles,
which is wholly or partly produced in the course of any trade or industry carried on at trade

premises". It does not include domestic sewage.

iii) Rainwater - rainwater from roofs, carparks and other outside areas discharges into a
surface drainage system. This is separate from the foul drainage system and is regulated by
the Environment Agency rather than the water company. Rainwater is either channelled to
surface drains located in roads adjacent to the property or is sometimes discharged directly
to a river or stream. There is not normally a charge for discharge of rainwater, although
companies do have a duty to ensure it is not contaminated by oils or any other substance.
iv) Non-Consented Effluents/ Liquid Wastes - any effluents that the Sewerage Undertaker
will not permit to be discharged to the foul sewer are classified as Controlled Waste which in
some cases may also be classed as a Hazardous Waste, depending upon whether it has
any specific hazardous properties.
All Controlled Wastes must be handled and disposed of according to the Environmental
Protection (Duty of Care) Regulations. This requires that the producer of the waste ensure it
is handled, recovered or disposed of responsibly, that it is only handled, recovered or
disposed of by individuals or companies that are authorised to deal with it and that a record
is kept of all wastes received or transferred through a system of signed Waste Transfer
Notes.
9.4 Trade Effluent Consents.
The majority of foul sewers carry sewage to sewage treatment works. The sewage treatment
works treat the sewage to improve its quality so that it can then be discharged to rivers, land
or the sea. The sewage is usually treated biologically, with sewage broken down by microorganisms.
If unconsented discharges of trade effluent are made to a foul sewer, the effluents
discharged may damage the sewers, generate a health hazard for sewerage workers or the
general public, or inhibit or kill the micro-organisms which carry out the sewage treatment
process. This can result in the sewage not being treated properly, which may lead to poor
quality or even raw sewage being discharged to rivers, land or the sea. For example, high
concentrations of certain chemicals can damage a treatment works.
In order to discharge any quantity of trade effluent, it is necessary to obtain permission
from a Statutory Sewerage Undertaker in the form of a Trade Effluent Consent or Trade
Effluent Agreement.
A further revised consent or agreement is required if the discharge changes or discontinued
for a period of two years or greater.
Some typical discharges requiring trade effluent consent include:

Discharge any surface water run-off from hard surfaces contaminated with oil, such
as car parks or maintenance bays, to foul sewer.
Wash substances such as oils, solvents, chemicals, adhesives, inks or powders into
a foul sewer.
Use a sink, basin, toilet or gully for disposing of any liquid wastes, apart from
domestic sewage, or discharging wash waters.

Some effluents will also be subject to prior authorisation by the Environmental Regulator e.g.
effluents from installations subject to control under the PPC regime and certain effluents

containing dangerous substances. The Environmental Regulators requirements may differ

from those of the sewerage undertaker. The most stringent limits of either Regulator will
always apply.
9.5 Charges for Trade Effluent.
The Water Industry Act 1991 gives companies the right to discharge to a public sewer but
only with the prior consent or agreement of the water company.
Water companies maintain the sewerage system, provide treatment for the waste and
dispose of the final treated effluent. To allow them to do this effectively, they can impose
special restrictions on an effluent before allowing the discharge.
These restrictions depend upon the type of treatment provided by the water company, the
size of connecting sewers and the capacity of the waste water treatment works.
They can also include:

the nature or composition of the effluent;

the maximum daily volume allowed;
the maximum rate of flow;
the sewer into which the effluent is discharged.

A number of other factors may also be included in a consent to discharge, eg the

temperature or pH of the effluent. Certain substances are prohibited from being disposed of
in this way.
In addition to the type and quality of the effluent, the Water Industry Act also gives the water
companies the right to charge for carrying, treating and disposing of the waste.
The charge levied by the water company for discharging trade effluent is calculated using a
formula which takes account of the volume and "strength" of the waste and the type of
treatment given at the Treatment Works. The formula is commonly known as the "Mogden
formula" or "modified Mogden formula" (after the name of the sewage treatment works
where it was first used).
Most water companies use a version of the formula developed through liaison between the
CBI and the water authorities in 1974. A common form is shown below, but the actual
formula used by individual water companies can vary.
C=R+[V+Bu] OR VM OR M+B

Ot +S
Os

St
Ss

where:
C
R
V
Bu
VM
M
BS

= Total charge in pence per cubic metre of trade effluent

= Reception and conveyance cost per cubic metre of sewage
= Volumetric and primary treatment cost per cubic metre of sewage treated
= Additional cost per cubic metre where there is biological treatment
= Treatment and disposal charge for sea outfalls
= Cost, per m3 of sewage, of providing and operating effective marine outfalls
= Biological oxidation cost per cubic metre of settled sewage (including the
cost of secondary sludge disposal)

Ot

= The Chemical Oxygen Demand (COD) in mg/l of the trade effluent after
settlement for a specified period (usually one hour)
Os = The COD (mg/l) of average strength settled sewage
St = The total weight of suspended solids (mg/l) of the trade effluent
Ss = The total weight of suspended solids (mg/l) of average strength crude
sewage.
The R,V,B and S factors in the above equation are the regional average unit costs of
reception, transport, treatment and disposal of sewage.
The B and S factors being multiplied by a factor which relates the strength and solids content
of the trade waste to that of domestic sewage.
The volume flow of effluent is the most important factor in determining the annual charge.
However, it is very common for effluent flows not to be measured. In such circumstances the
volume of effluent is assumed to be the same as the volume of water purchased, as
recorded on the site's incoming water meter. This figure may be used as it stands, or after
some modification for losses as steam or in product.
Where suspended solids or COD concentrations are high, on-site separation stage or
biological treatment process is commonly installed at a site to reduce th concentrations in
the final effluent flow. The cost-effectiveness of such a development is determined by
comparing its capital and operating costs with the annual saving in trade effluent charges.
9.6 Consent to discharge effluents to rivers or other watercourses.
The Environment Agency has introduced a system of charges for the recovery of its costs
from companies who discharge effluent in this manner. Charges are calculated according to
the composition of the effluent, the quantity discharged and the quality of the receiving
water. A banding system is used to classify types of effluent. The bands progress from A to
G, where A is the most polluting.
PARAMETERS INCLUDED IN A TYPICAL TRADE EFFLUENT CONSENT
The trade effluent discharge consent that covers the flow from a premises will usually state
some of the following conditions:

the maximum permitted daily flow (m3/day);

the maximum hourly flow (m3/hour);
the permitted pH range, typically pH 5-9;
the maximum biochemical oxygen demand (BOD) or chemical oxygen demand
(COD) value, expressed in milligrammes of oxygen requirement per litre (mg/l);
the maximum concentration of suspended solids (SS) in mg/l;

The BOD or COD limit will depend upon the scale of the discharge relative to the size of the
local sewage works and the amount of spare treatment capacity that is available there.
OTHER PARAMETERS INCLUDED IN A TYPICAL TRADE EFFLUENT CONSENT
In addition, and according to the nature of the process producing the effluent, or the
operators discharge history, there may be stated limits on the amounts of:

oil (mg/l);

dissolved metals such as copper, zinc, lead etc (mg/l);

organic chemicals such as phenols (ug/l or mg/l).

As outlined previously, such substances could affect the operation of the sewage works. The
absence of stated limits does not imply any right to discharge such pollutants.
In addition, the consent conditions may reflect the concerns of the regulator regarding the
composition of the final discharge from the sewage works itself and its effect on the
environment. A specific consent may expressly contain limits on List I substances such as
certain pesticides, herbicides, cadmium, mercury, or permethrin (ug/l or mg/l).
9.7 Effluent Treatment Overview.
Effluents are produced from a range of different sources including various industries. The
characteristics of effluents depend upon the process producing them and the levels of
treatment varies according to a rnage of factors, e.g. levels of pollutants and sensitivity of the
receiving environment.
The largest single source of polluting loads entering the UKs rivers are derived from sewage
treatment works which accept large quantities from households and other sources.
Effluent treatment plants are also commonly located on the following sites:
Food and drink processing plants - such as creameries, meat processing plants, sugar beet
processing plants and vegetable processing plants. Discharges can include high levels of
organic loading, levels of suspended solids and low levels of certain persistent substances.
Power generation plants including thermal discharges and potentially levels of biocides
used to prevent pipework fouling.
Waste treatment/disposal range of potential discharges resulting from contamination of
discharge by leachate from stored waste materials, including organic and inorganic
chemical, persistent substances and suspended solids.
Paper industry historically, the industry has been known for organic contamination by
paper fibres, along with biocides, fungicides, coating and whitening agents.
Chemicals industry chemical, pharmaceutical and dye manufacture industries are
associated with effluent containing organic substances and persistent chemicals.
Textile industry discharges commonly contain levels of persistent substances used as
preservatives and pesticides particularly from imported hides.
BROAD TYPES OF EFFLUENT TREATMENT
Primary treatment - the removal of insoluble material, i.e. suspended solids, from the
effluent prior to any downstream process. Primary treatment includes fibre removal (with or
without subsequent recovery) and the removal of inorganic fines, such as grit, along with any
plastics, metals or other inert materials commonly found when waste paper is used as a
source of fibre. Primary treatment of effluents often also involves the separation of finer
organic material which is allowed to settle out in sedimentation tanks and is removed for

disposal as sludge or transferred to sludge digesters.

Secondary biological treatment - achieves a reduction in the biological loading (Chemical
Oxygen Demand/ Biological Oxygen Demand) of the final effluent discharged into the
receiving water or sewer. This stage is particularly important for optimising a plants
operation and thus achieving cost savings.
Biological oxidation commonly takes place in two types of plants. Firstly, the effluent is
percolated through filters and onto a two metre deep stone bed with a large surface area.
The sewage trickles through the stone bed and is broken down by aerobic bacteria. There is
a need to replace the stone bed periodically or reseed it with fresh bacteria to ensure the
process continues to operate effectively.
An alternative process known as activated sludge is also widely practiced. Effluent from the
primary treatment is fed into large tanks seeded with populations of aerobic bacteria and
vigorously aerated and agitated. This promotes the rapid growth of bacteria which
breakdown the incoming organic matter. Following treatment, the effluent is taken to lagoons
where it is left to settle and sediment removed.
Tertiary treatment - the final polishing treatment of an effluent which is generally required
where the effluent must comply with tight discharge consent limits that cannot be met by
primary and secondary treatment alone. It is generally performed if required as a precursor
to water re-use and/or to remove residual suspended solids, ammonia, colour or other
substances from the final effluent and involves the effluent being passed through special
filters.
10.0 Sampling Techniques.
Water Quality Samples (including Effluents)
The sampling of effluent (including liquid wastes) is generally performed by one of two
methods, grab sampling or composite sampling.
Grab Samples
Not surprisingly, grab sampling involves collecting a sample at one time and consequently
reflects the quality at the time of collecting the sample. If the sample were collected
incorrectly, then this cannot be detected with a grab sample.
Composite Samples
Composite sampling consists of a collection of numerous individual discrete samples taken
at regular intervals over a period of time, usually 24 hours. The material being sampled is
collected in the same container using the same method over the stated sampling period. The
analysis of this material, collected over a period of time, will therefore represent the average
quality over the collection period. For example, by adopting this method the performance of
an effluent treatment plant can be established during the collection period.
Due to the widely varying flow patterns of sewage treatment works, their performance is
usually evaluated by analysing using the composite sample method. Sewage treatment
plants receive a frequent number of short hydraulic surges throughout the day followed by
intermittent periods of no flow whatsoever and consequently it would be meaningless to
evaluate the quality of the plants output using a grab sample during periods of low flow. By

definition, a single grab sample can never be used to evaluate the long-term performance of
any effluent treatment plant.
Composite samples of effluent collected, stored, analysed, tabulated and averaged over an
extended period of time provide the only verifiable indication of a treatment plants
performance.

10.1 Groundwater Sampling Methods.

The objectives of a good groundwater sampling programme should be the collection of a
representative sample of the current groundwater conditions over a known or specified
volume of aquifer. Therefore, it is important that the sampling equipment, sampling method,
monitoring well construction, monitoring well operation and maintenance and sample
handling procedures should not alter the chemistry of the sample. The method used to
gather accurate groundwater samples depends on a range of site-specific conditions.
Factors to Consider Before Sampling
Parameters that may impact the design of a groundwater sampling program include:

the thickness, lateral extent, vertical and horizontal flow direction, and hydraulic
conductivity contrasts of the geologic materials;
the types of contaminants present (volatile organic compounds, semi-volatile organic
compounds, metals, etc.);
lateral and vertical distribution of contamination;
direction of groundwater flow, ground-water velocity (horizontal and vertical
variability);
water level information.

Methods of Groundwater Sampling

The types of equipment available for ground-water sampling include hand-operated or
motor-driven suction pumps, peristaltic pumps, positive displacement pumps, submersible
pumps, various in-situ devices and bailers made of various materials. The same device used
for purging the monitoring well should be used for sampling to minimise agitation of the
water column.
Low-flow submersible or positive displacement pumps that can control flow rates are
generally used for purging wells. Dedicated sampling systems are greatly preferred since
they avoid the need for decontamination of equipment and minimise turbulence in the well.
Purging of the groundwater monitoring wells ensures that any water sampled is fresh
groundwater rather than water which has stood for a period of time within the well. The most
common ground-water purging and sampling methodology would be to purge a well using
bailers or high speed pumps to remove 3 to 5 casing volumes followed by sample collection.
Sampling devices (bladders, pumps, bailers, and tubing) tend to be constructed of stainless
steel, Teflon, glass or other inert materials thus ensuring that they do not contaminate the
sample.
The following table lists the most common methods of sampling groundwater along with the
advantages and disadvantages of each approach.

10.2 Sampling of Solid Waste.

All waste producers must obtain waste characterisation data as required under The
Environmental Protection (Duty of Care) Regulations 1991 (as amended) that, among other
uses, will determine the how each of their waste streams should be handled.
First, there may be a need to determine whether the waste is hazardous, non-hazardous or
inert. Then, having explored the various recycling and recovery options, the class of landfill
at which it can be accepted should be determined. The Landfill ( England and Wales )
Regulations require that, with the exception of certain listed and one-off wastes, each waste
will be tested periodically by the landfill operator to ensure that the waste complies with the
waste acceptance criteria for that class of landfill.
Full characterisation of certain waste streams can be time-consuming and expensive. It is
important that every opportunity is taken to obtain full value from the sampling exercises by
including samples collected under average and worst-case operational conditions. This
information on variability of a waste can assist decisions about alternative treatment or
disposal options and should ensure that reliable information is collected about the sources of
variability in any waste stream before the sampling plan for a longer term testing programme
is devised.
Testing is not always required if there is considerable relevant knowledge about the
production process and the technical expertise of the waste producer can be harnessed
effectively to determine the characteristics of the waste. For many industries, there is an
opportunity for the trade association to co-ordinate a well-designed, stratified sampling
programme so that information on plant-to-plant and within-plant variability in the
composition and leaching behaviour of wastes can be obtained. In such cases, the waste
produced is a consistent waste with similar characteristics.
Methods of Characterising Wastes
There are many complicated methods of characterising wastes.

Leaching behaviour.
Soil solid sampling.
Loss on Ignition etc.

11.0 WASTE OFFENCES.

It was an offence under section 33(1) to deposit controlled waste or cause or permit it to be
deposited, unless a waste management licence (or exemption registration) authorising the
deposit is in force, and the deposit was in accordance with that authorisation. It was also an
offence to keep, treat or dispose of controlled waste in or on land, or by means of mobile
plant, except in accordance with a waste management licence. Thirdly, it was an offence to
treat, keep or dispose of controlled waste in a manner likely to cause pollution of the
environment or harm to human health. The maximum penalties for conviction were
substantially increased, to six months' imprisonment, a fine of 20,000, or both, on summary
conviction, and two years' imprisonment or an unlimited fine or both on indictment. Where
the offence involves hazardous waste, the maximum term of imprisonment on indictment has
been increased to five years.
Relevant offences and associated penalties under the main waste management statutes are

summarised as follows:
Act

Offence

Environmental Protection Act Deposit or treatment of

1990, Section 33.
controlled waste on land
unless in accordance with a
waste management licence

Penalty
Summary conviction:
Fine not exceeding 20,000
and/or imprisonment for term
not exceeding 6 months
Conviction on indictment:
Unlimited fine and/or
imprisonment for term not
exceeding 2 years (5 years if
Hazardous Waste)

Treating, keeping or
disposing of controlled waste
in a manner likely to cause
pollution of the environment
or harm to human health

Summary conviction:
Fine not exceeding 20,000
and/or imprisonment for term
not exceeding 6 months
Conviction on indictment:
Unlimited fine and/or
imprisonment for term not
exceeding 2 years (5 years if
Hazardous Waste)

Environmental Protection Act Breach of the Duty of Care

1990 Section 34
for waste

Summary conviction:
Fine not exceeding 5,000

Including
Conviction on indictment:
Duty of Care: Code of
Practice 2nd Edition 1996

Unlimited fine

Environmental Protection Act Land unreasonably left

1990 Sections 89 (1) and 87 littered with refuse

Maximum penalty is a fine of

2,500

Dropping of litter in any

public open space, road and
other designated land
Environmental Protection Act
1990 Sections 6 and 23
[Replaced by the Pollution
Prevention and Control Act
1999 and associated
Regulations from 1st August
2000 (England & Wales) and

Operating a prescribed
process without IPC
authorisation or in breach of
conditions

Summary conviction:
Fine not exceeding 20,000
and/or imprisonment for term
not exceeding 3 months
Conviction on indictment:
Unlimited fine and/or
imprisonment for term not

28th September 2000

(Scotland) for new processes
(now installations) will be
progressively replaced for
existing installations up to
2007].

exceeding 2 years

Pollution Prevention and

Operating an installation
Control Act 1999; Pollution without a permit or in breach
Prevention and Control (
of permit conditions
England and Wales )
Regulations 2000; Pollution
Prevention and Control (
Scotland ) Regulations 2000

Summary Conviction
Fine not exceeding 20,000
and/or imprisonment for term
not exceeding 6 months
Conviction on indictment
Unlimited fine and/or
imprisonment for term not
exceeding 5 years

Radioactive Substances Act Accumulation of disposal of

1993, Sections 13, 14
radioactive waste without an
authorisation or in breach of
authorisation conditions.

Summary Conviction
Fine not exceeding 20,000
and/or imprisonment for term
not exceeding 6 months
Conviction on indictment
Unlimited fine and/or
imprisonment for term not
exceeding 5 years
Summary Conviction
Fine not exceeding 20,000
and/or imprisonment for term
not exceeding 6 months
Conviction on indictment
Unlimited fine and/or
imprisonment for term not
exceeding 5 years

Section 85 of the Water

Resources Act.

Section 85 of the Water

Resources Act.

Cause or knowingly permit

any poisonous, noxious or
toxic material or solid waste
to enter a controlled water.
['Causing' means not only
deliberately releasing any
polluting matter but also
causing the pollution
accidentally, by being the
operator of a plant or
process.]
Failure to take adequate
precautions to prevent
unauthorised personnel
discharging pollutants from
the premises into controlled
waters

Summary Conviction
Fine not exceeding 20,000
and/or imprisonment for term
not exceeding 6 months
Conviction on indictment
Unlimited fine and/or
imprisonment for term not
exceeding 5 years

Please be advised that the course material is regularly reviewed and updated on the
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Version 1.1c

Element 10 - Gaseous and Particulate Releases to Atmosphere.

Overall aims
On completion of this unit, candidates will have knowledge and understanding of:

the main types of gaseous and particulate emission;

specific legislative requirements applying to release of gaseous or particulate matter
to the atmosphere;
principles of monitoring techniques applying to atmospheric emissions;
control strategies and measures.

Specific intended learning outcomes

The intended learning outcomes are that candidates will be able to:
1. describe the characteristics of emissions to the atmosphere and assess whether
emissions are likely to be subject to specific legal requirements;
2. advise on the management of emissions to atmosphere with reference to relevant legal
requirements;
3. devise strategies for monitoring atmospheric emissions;
4. advise management on appropriate control strategies and measures for releases to
atmosphere.

Hours of tuition and private study

14 hours of tuition
5 hours of private study.

Relevant statutory provisions:

Air Quality (England) Regulations 2000.

Pollution Prevention and Control Act 1999.
Clean Air Act 1993.
Radioactive Substances Act 1993.
Environment Act 1995.
Environmental Protection (Controls on Ozone-depleting Substances) Regulations
2002.
Air Quality Standards Regulations 2007.
The Environmental Permitting (England and Wales) Regulations 2010 (and regional
equivalents).

1.1 The Development of Air Pollution Legislation in the UK.

The early years
In 1273, what must be one of the earliest pieces of legislation to prevent air pollution
prohibited the use of coal in London as being 'prejudicial to health'.
A Royal Proclamation was then issued early in the 14th century prohibiting the use of seacoal in the furnaces of craftsmen.
The earlier legislation must have been unsuccessful because in 1648 the people of London
petitioned parliament to prohibit the importation of coal from Newcastle because of the injury
it caused.
In 1661 a paper was published by John Evelyn called Fumifugium or The Smoake of London
Dissipated in which he suggested measures to improve Londons air. These were not
followed and it was not until 1819 that Parliament assigned a committee to look into how
steam engines and furnaces could be erected in a manner less prejudicial to public health
and comfort. Unfortunately there was very little outcome from the committees consultations.
The Industrial Revolution
As the Industrial Revolution progressed, the pollution of the air continued to worsen but it
was not until discharges from the early alkali works caused large-scale corrosion of
materials, tools, and damage to crops that action was taken. Alkali works were factories that
produced sodium carbonate from sodium chloride using the Leblanc process which
produced gaseous hydrochloric acid as a by-product. When mixed with water in the
atmosphere, the gas formed acidic rain which caused widespread damage. The first Alkali
(etc) Works Act was passed in 1863 and required that 95% of the emissions should be
stopped, even though it did not attempt to control smoke. The Act also set up a national
inspectorate to enforce the legislation and the effects were dramatic with acid emissions
falling from almost 14,000 tons per year to around 45 tons.
The second Alkali Act 1874 required the application of Best Practicable Means to prevent
the escape of noxious gases, whether they arose directly or indirectly. The Act also
introduced the first statutory emission limit and was subsequently extended to all major
industries that pollute the air.
Twentieth century
In 1906, a series of Acts were consolidated into the Alkali etc Works Regulation Act which
linked a list of processes (works) with a list of noxious and offensive gases. The works
included those most likely to cause pollution problems and included the chemical industry, oil
refineries, petrochemicals, electricity generators, coal carbonisation, iron and steel works,
non-ferrous metals and mineral processing works.
Ministers were empowered by the Public Health (Smoke Abatement) Act 1926 to add to the
list of scheduled works and noxious gases. As industrial technology advanced, seven such
orders extended controls over various other processes until they were consolidated in 1966
into the Alkali etc Works Order.
In London in December 1952, a smog descended which did not clear for five days (5th
December to 9th December). Smogs were not to unusual at that time and it was only when

prize cattle at the Smithfield Show began to suffer respiratory problems and a performance
inside the Sadlers Wells theatre had to be stopped because people had difficulty seeing the
stage that the severity of the problem became apparent.
After the smog lifted, it was estimated that at least 4000 people had died due to the
consequence of the smoke and other emissions. The Beaver Committee was set up to
report on smoke pollution and the Clean Air Act was introduced in 1956 and later
supplemented in 1968. This restricted the production of smoke, grit and dust from all
commercial and industrial activities not covered by the Alkali Acts, but also domestic fires as
well. The acts introduced concepts such as smoke control areas and the complete
prohibition of dark smoke from chimneys. The 1956 and 1968 Acts were consolidated and
their provisions re-enacted in the Clean Air Act 1993 which applies in England, Scotland and
Wales. In Northern Ireland, the Act was replaced by the Clean Air (Northern Ireland) Order
1981.
The Health and Safety at Work etc Act 1974 was intended to repeal the Alkali etc Works
Regulation Act 1906 by replacing it with regulations such as the Health and Safety
(Emissions into the Atmosphere) Regulations 1983. However, the 1906 Act was only finally
repealed in England and Wales in 1996 when all prescribed processes came under Part 1 of
the Environmental Protection Act 1990.
The legislation was administered in England and Wales by HM Inspectorate of Pollution and
in Scotland by HM Industrial Pollution Inspectorate. The control had three aspects:
Registration scheduled works had to be registered with the pollution inspectorate and to
become registered the works had to be provided with the Best Practicable Means (BPM) for
preventing the escape of noxious or offensive substances and for rendering all such
emissions harmless and inoffensive.
Inspection a requirement of registration, to show that the BPM was always in use and that
pollution control equipment was maintained in good working order. The emphasis was on
prevention rather than cure and inspectors were authorised to enter premises without prior
announcement.
Presumptive limits the notes on BPM specified the amount of pollutant per cubic metre of
gas that could be emitted from a chimney stack. It was presumed that if the limits were being
met then the legislation was being complied with and the BPM being used. Since the BPM
notes were not statutory documents, the inspectorate could tighten the emission limits in-line
with new abatement technology or knowledge about the effects of pollutants.
The role of the Environmental Protection Act 1990 in controlling and regulating industrial air
pollution is now being taken over by the Pollution Prevention and Control Regulations 2000
which, along with the Environmental Permitting Regulations 2010 have repealed Part 1 of
the EPA.
1.2 Types of Gaseous and Particulate Emission.
Terminology
The World Health Organisation has defined air pollution as:
"the presence in the outdoor atmosphere of one or more contaminants, such as dust, fumes,
gas, mist, odour, smoke or vapour in quantities or characteristics and of duration such as to

be injurious to human, plant or animal life or to property, or which unreasonably interfere with
the comfortable enjoyment of life and property."

Clearly some definitions of the various types of emissions would be helpful.

Gaseous
Strictly speaking, a gas is a substance in the gaseous phase, distinct from a vapour (see
below). However, in the Environmental Protection Act 1990 gas" is taken to include vapour
and moisture precipitated from vapour.
Vapour
Airborne liquid droplets given off from the surface of volatile liquids such as solvents.
Mist
Airborne liquid droplets, e.g. an oil mist. The droplets are usually less than 2 m in diameter.
Fume
Fumes are minute sold particulates suspended in air or flue gases, often formed by the
vaporisation or oxidation of metals. Typical metallic fumes encountered in industry are lead

fume and welding fume, each of which has health implications on inhalation.
The Environmental Protection Act 1990 and the Clean Air Act 1993 define fumes as any
airborne solid matter smaller than dust (i.e. less than 1 m in diameter).
Dust
British Standard BS 3405 defines dust as small solid particles between 1-75 m (micrometres) in diameter. Another definition describes dust as an aerosol composed of solid
inanimate particles.
Grit
Grit is defined in the Clean Air (Emission of Grit and Dust from Furnaces) Regulations 1971
as particles exceeding 76 m (micrometres) in diameter.
Smoke
Smoke is gas-borne solids, usually resulting from incomplete combustion. The particles are
usually less than 2 m in diameter and may be composed of silica, fluoride, aluminium, lead,
acid, bases or organic compounds. The Environmental Protection Act 1990 and the Clean
Air Act 1993 define smoke as including soot, ash, grit and gritty particles emitted in smoke.
Fibre
A fibre is a material composed of continuous filaments or discrete elongated pieces. Fibres
can arise from vegetable cellulose (e.g. cotton, hemp), animal proteins (e.g. hair, spider silk)
and mineral sources (e.g. asbestos).
Particulates
Particulate matter is released from a wide variety of sources - industrial, domestic and
transport. Particles with a diameter of 10 m or less, termed PM10, are the most hazardous
to human health.There is evidence that these particles can exacerbate asthma in people
who already suffer from it. Nationally, it is estimated that heavy industry contributes only
12% of all PM10 emissions, meaning that 88% of emissions arise from largely unregulated
sources such as diesel transport.
Acidifying emissions
Acid deposition (acid rain) is mainly caused by sulphur dioxide (SO2), nitrogen oxides ( NOx )
and ammonia (NH3) reacting with moisture in the air. Acid rain damages trees and other
plants, and it can also affect the soil. Sulphurdioxide is released from burning fossil fuels like
coal and oil so the largest emissions arise from power stations and oil refineries. Nitrogen
oxide emissions are mostly from traffic and over 70% of NH3 emissions come from
agricultural sources. These substances will be described in greater depth when we discuss
the prescribed substances whose releases are controlled by the regulatory authorities.
1.3 The Greenhouse Effect & Greenhouse Gases.
Greenhouse gases are gases in the atmosphere that trap the suns heat reflected from the
earth and cause the planet to warm up. This is known as the greenhouse effect. The
greenhouse effect is a natural phenomenon which was first described in the mid-nineteenth

century and it is desirable in that it keeps the earth at a habitable temperature. Most of the
greenhouse gases are found naturally in the environment. However, their levels have been
raised artificially by emissions from vehicles, electricity generation and industry and it is this
which is believed responsible for global warming or climate change.
The main greenhouse gases are carbon dioxide, methane, dinitrogen (nitrous) oxide (N2O)
and water vapour, which are all naturally occurring. Chlorofluorocarbons (CFCs),
hydrofluorocarbons (HFCs) and perfluorocarbons (PFCs) are man-made and are present in
the atmosphere in much lower levels than the other greenhouse gases. Despite this, their
contribution to climate change remains significant because their relative global warming
potential is greater and they take longer to break down in the atmosphere.
Between 1990 and 2001, UK greenhouse gas emissions fell by about 12%. This was mainly
because industry used less coal and oil for generating electricity and more natural gas and
nuclear, which produce lower greenhouse gas emissions. However, in the past few years
increases in gas prices and maintenance costs at nuclear power stations has led to more
coal being used. As a result, carbon dioxide emissions have been rising. However, figures
for 2009 show that emissions dropped by 8.9% that year; the figure now stands at 574.6
million tons of carbon dioxide
The drop in emissions also fits into a wider trend that has seen the carbon intensity of the
UK's energy supplies fall significantly over the last two decades, primarily as a result of a
switch from coal to gas-fired power stations. Since 1990, emissions from energy supply have
reduced by 23 per cent and business emissions have reduced by 33 per cent, despite the
fact overall energy consumption has fallen by just one per cent over the same period.
Question 1.
The different types of emissions include....
Multiple Choice (HP)
Answer 1:

Fumes

Response 1:
Jump 1:

This page

Answer 2:

Dusts

Response 2:
Jump 2:

This page

Answer 3:

Fibres

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

1.4 Types of Processes Which Release Prescribed Substances to the Atmosphere.

The processes which give rise to substances which need to be controlled are referred to as
prescribed processes and the substances themselves are referred to as prescribed
substances.
Releases to the atmosphere from large industrial sites tend to be controlled by Integrated
Pollution Control (IPC) or Integrated Pollution Prevention and Control (IPPC) legislation
which is regulated by the Environment Agency (EA). Smaller industrial sites are controlled by
Local Air Pollution Control (LAPC) or Local Air Pollution Prevention and Control (LAPPC)
which is regulated by local authorities.
Environmental Protection Act
Part I of the Environmental Protection Act 1990 made provision for integrated pollution
control and for the control of air pollution by local authorities. It has since been repealed by
the Pollution Prevention and Control Act 1999 and the Environmental Permitting Regulations
2010.
Following the above, the Environmental Protection (Prescribed Processes and Substances)
Regulations 1991 perform two main functions:
(i) they prescribe the substances the release of which into a particular medium is controlled;
(ii) they designate the prescribed processes either for central integrated pollution control by
Her Majesty's Inspectorate of Pollution in England and Wales or by Her Majesty's Industrial
Pollution Inspectorate or river purification authorities in Scotland or for local authority air
pollution control.
The regulations provide a framework for the implementation of a substantial number of EU
Directives relating to the control of pollution such as directive 84/360/EEC on combating air
pollution from industrial plants.
1.5 Environmental Protection (Prescribed Processes and Substances) Regulations.
Schedule 1 to the Environmental Protection (Prescribed Processes and Substances)
Regulations 1991 (as amended in 1992, 1993, 1994 and 1995) details the processes subject
to integrated pollution control (Part A processes) and those subject to local air pollution

control (Part B processes).

The main exceptions (set out in regulation 4) are for Part A processes which have no (or a
minimal) capacity to result in the release into the air, or on or into land or into water of
substances prescribed for those media and for Part B processes which have no (or minimal)
capacity to result in the release into the air of substances prescribed for air. There are also
exceptions for domestic activities, vehicle engines and processes carried on for educational
purposes. Schedule 2 deals with processes which fall within 2 or more descriptions and
processes which form part of a larger process.
The prescribed processes as listed in schedule 1 are:
1. Fuel production processes, combustion processes (including power
generation)
Gasification and associated processes.
Carbonisation and associated processes.
Combustion processes.
Petroleum processes.
2. Metal production and processing
Iron and steel.
Non-ferrous metals.
Smelting processes.
3. Mineral industries
Cement and lime manufacture and associated processes.
Processes involving asbestos.
Other mineral fibres.

Other mineral processes.

Glass manufacture and production.
Ceramic production.
4. The chemical industry
Petrochemical processes.
The manufacture and use of organic chemicals.
Acid processes.
Processes involving halogens.
Inorganic chemical processes.
Chemical fertilizer production.
Pesticide production.
Pharmaceutical production.
The storage of chemicals in bulk.
5. Waste disposal and recycling
Incineration.
Recovery processes.
The production of fuel from waste.
6. Other industries
Paper and pulp manufacturing processes.
Di-Isocyanate processes.

Tar and bitumen processes.

Processes involving uranium.
Coating processes and printing.
The manufacture of dyestuffs, printing ink and coating materials.
Timber processes.
Processes involving rubber.
The treatment and processing of animal or vegetable matter.
Within each of the processes listed above, further definitions and descriptions to distinguish
between what are part A and part B processes can be found within the regulations
themselves.
The regulations and schedule will be revoked following full implementation of Integrated
Pollution Prevention and Control.
Question 2.
The Environment Agency regulate the Integrated Pollution Control (IPC) or Integrated
Pollution Prevention & Control (IPPC) legislation which controls the releases to atmosphere
from large industrial sites.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

1.6 Types of Substances that are Prescribed for Release to the Atmosphere.
The prescribed substances, the release of which must be prevented or restricted, are listed

in Schedules 4 to 6 of the Environmental Protection (Prescribed Processes and Substances)

Regulations 1991. Schedule 4 relates to releases into the air, schedule 5 to releases into
water and schedule 6 to releases onto land.
The releases to air listed in the above regulation are the same as those listed in schedule 1,
part 2 of the Pollution Prevention and Control Regulations 2000 in both Englandand Wales
(SI 2000/1973), in Scotland (SI 2000/323) and in Northern Ireland(SR 2003/46). The
prescribed substances are:

Oxides of sulphur & other sulphur compounds.

Oxides of nitrogen & other nitrogen compounds.
Oxides of carbon.
Organic compounds & partial oxidation products.
Metals, mettaloids & their compounds.
Asbestos (suspended particulate matter & fibres), glass fibres & mineral fibres.
Halogens and their compounds.
Phosphorous & its compounds.
Particulate matter.

The eight main substances whose release to air is prescribed have air quality standards
assigned to them by the Government as part of its national Air Quality Strategy. They are the
volatile organic chemicals benzene and 1,3-butadiene; carbon monoxide; lead; nitrogen
oxides; ground level ozone; fine particulates (PM10s) and sulphur dioxide.
1.6.1 Benzene and 1,3-Butadiene (Volatile Organic Chemicals).
Levels of both chemicals in the air tend to be higher where there is more traffic, or where
there are oil refineries, steel works or coke ovens. Traffic used to be the main source of
benzene but catalytic convertors and reducing the amount of benzene in petrol has caused
emissions from traffic to fall to around 8% of 1990 levels. Now the main source of benzene is
emissions from domestic appliances like fireplaces, stoves, boilers and combined heat and
power generators.
Benzene and 1-3 butadiene do not just affect the environment. They can harm peoples
health. They are volatile organic compounds (VOC), and so can contribute to the formation
of ground-level ozone in the atmosphere. High levels of ground level ozone can badly affect
people with asthma or breathing difficulties. Health can become affected by breathing air
with benzene in, where it can cause tiredness and nausea, or even unconsciousness. Long
term exposure to benzene can result in blood disorders like anaemia and leukaemia. 1 ,3 Butadiene may cause cancer and genetic damage.
VOC emissions in general increased until the late 1980s, but are now declining due to tighter
controls on vehicle emissions and improved vehicle technologies. Average benzene and 1-3
butadiene concentrations have also generally fallen over the last ten years. The highest
concentrations were recorded in 1997 when kerbside monitoring was introduced. Kerbside

sites have high levels of benzene and 1-3 butadiene because they are close to vehicle
exhausts, the main source of these compounds.
Benzene and 1-3 butadiene emissions are highest in towns and cities where the most
vehicles are found. The greatest concentrations are found in large urban areas like London,
Birmingham and Manchester. However, concentrations have generally fallen throughout
England and Wales since 1996. Of the industries regulated by the EA, the chemicals, fuel
and power stations released the most VOCs .
1.6.2 Carbon Monoxide.
Carbon monoxide (CO) is a gas made of one part carbon and one part oxygen. It is a
colourless, odourless gas, about 3% lighter than air, and is extremely poisonous to humans
and many other forms of life. Breathing air that contains as little as 0.1% carbon monoxide
by volume can be fatal; a concentration of about 1% can cause death within a few minutes.
Carbon monoxide forms when carbon or substances containing carbon are burned without a
sufficient air supply. Faulty appliances that burn fossil fuels such as coal, wood, gas and oil
can produce carbon monoxide if they are not properly ventilated. Carbon monoxide is also
present in vehicle exhaust gases. Traffic is the main source of carbon monoxide in England
and Wales. Most of the carbon monoxide released by the industries regulated by the
Environment Agency comes from the metals sector (70% in 2005). The fuel and power
sector (14% in 2005) and the chemicals sector (7%) also contributed significantly.
Carbon monoxide contributes to the formation of ground level ozone, which can cause
breathing difficulties for humans and can damage plants and crops. Carbon monoxide also
contributes to the greenhouse effect and global warming through reactions with other gases
in the lower atmosphere.
Generally, carbon monoxide concentrations have been falling, but problems with the
measuring techniques used in the 1970s and 1980s mean that it is uncertain whether this is
due to falling emissions (it is likely that past concentrations were lower than those recorded).
However, emissions have fallen because of cleaner fuels and new engine technologies and
this has counteracted the increased road traffic volume. From 1996 onwards, peak
concentrations in the most polluted areas have decreased; however, background
concentrations are now slightly higher over a larger area of England and Wales than in 1996.
Local authorities review air quality in their local area. If an authority finds that carbon
monoxide levels are higher than those allowed by regulations then it must develop an action
plan to tackle the problem. The Environment Agency ensures that carbon monoxide
released by the activities that they regulate does not lead to breaches of air quality
objectives. If this happens, they set conditions on the source of the emission that allows it to
meet its limits.
1.6.3 Lead.
Lead is a metal which exists in the earths crust and is released naturally through volcanic

activity, rock weathering and when plants extract it from rocks and soil with other minerals.
However, human activities such as mining, ore smelting, lead production and burning fossil
fuels also release lead into the environment. Lead production and industrial processes are
now the main source of lead emissions. Most of the lead released by the industries regulated
by the Environment Agency comes from the metals sector (67% in 2005). The chemicals
sector (18%) and the fuel and power sectors (10%) also release large amounts.
Lead is one of the most widely-used metals. It is used in some batteries, alloys, plastics,
ammunition, radiation shielding and it was added to petrol to enhance its performance. As a
result, vehicles emitted harmful lead compounds in their exhaust gases. Lead emissions
from cars have fallen since fuel companies introduced unleaded petrol. Up until the mid1960s, lead was used to make some kinds of paint for windows, doors and other
woodwork as well as for some metal items, like radiators. Some older houses still have lead
paint in them, which can be a health hazard.
Over time, lead can build up in the human central nervous system. At high levels, it is
particularly harmful to children and affects their mental development. Lead in the air can be
breathed into the body. It binds with red blood cells and gets distributed throughout the body
and can damage the brain. Lead can affect peoples health in other ways, such as causing
abdominal pain, kidney damage and high blood pressure. It can also affect fertility.
Since low-lead petrol was introduced in 1985, the amount of lead emitted into the air has
decreased significantly. Annual average lead concentrations in the air have also decreased,
from 0.59g/m3 in the late 1980s to around 0.05g/m3. This is mainly due to legislation
against leaded petrol that halved the lead content of petrol in 1986 and phased out the
general use of leaded petrol in 1999.
Since leaded petrol was phased out, lead pollution now tends to be a localised rather than a
national problem. Before leaded petrol was banned in the UK, the highest concentrations
were over London as lead pollution was worst in urban areas and along busy motorways.
The only sites currently exceeding desired levels are located near a small number of
secondary non-ferrous metal smelters. Over the last 20 years or so, the main progress in
reducing lead pollution has been due to banning leaded petrol and introducing catalytic
converters to cars. Cases of lead poisoning are now rare but old paint is one particular
source of lead that may still be encountered in the home.
1.6.4 Nitrogen Oxides (NOx).
The term 'nitrogen oxides' (NOx) is usually used to refer to two gases - nitric oxide (NO),
which is a colourless, odourless gas and nitrogen dioxide (NO2), which is a reddish-brown
gas with a pungent odour. Nitrogen oxides contribute to acid rain, depletion of the ozone
layer and have detrimental effects on health. They are also greenhouse gases.
Nitrogen oxides come mostly from vehicle exhausts and also power station emissions.
Burning fossil fuels such as coal and oil leads to nitrogen combining with oxygen in the
atmosphere to produce NOx gases. Eighty-four per cent of the NOx released by industries
came from the fuel and power sector in 2005.

Nitrogen dioxide emitted into the air reacts with moisture that is also in the air. This returns to
earth in the form of acid rain. Acid rain damages trees and other plants and it can also affect
the soil it falls on. It causes the soil to release aluminium that can be harmful to the plants,
fish and insects that come into contact with the acidified water draining out of the soil.
Chemical reactions between nitrogen oxides, volatile organic compounds (VOCs) and
sunlight at ground level produce ozone. Ozone occurs naturally in the atmosphere but
unnaturally high ground level ozone levels, produced by the chemical reaction between
nitrogen oxides, volatile organic compounds (VOCs) and sunlight can damage crops and
give people breathing problems.
National emissions of nitrogen oxides increased up to the late 1980s, after which they
steadily declined. Nitrogen levels have fallen despite increasing traffic levels, reflecting
stricter regulations on emissions and catalytic converters being more widely used. There
have also been large reductions in power station emissions. Nitrogen dioxide concentrations
in the air have remained around 45g/m3 in recent years. This is because even though
industrial emissions of NO2 have fallen, road transport emissions have risen. Nitrogen
dioxide levels are highest in urban areas and along major road networks, reflecting the fact
that vehicle emissions are the greatest source of NOx gases.
Although measures are being taken to reduce NOx, levels are likely to remain above air
quality targets in some places. In England and Wales, the Environmet Agency is responsible
for regulating emissions from large industrial processes and the local authorities have
responsibility for smaller industries. There are also EU targets for reduction in NOx
emissions from large combustion plants.
1.6.5 Ground Level Ozone.
Ozone occurs naturally in the atmosphere and unlike other pollutants, it is not emitted from
man-made sources in large quantities. About 90% of the atmospheres natural ozone is
found high up in the stratosphere (known as the ozone layer) where it helps to shield us
from the suns harmful ultra-violet radiation. Ozone is also found naturally in smaller,
harmless concentrations at ground level.
At ground level, although its molecular structure is identical to that found high in the
stratosphere, ozone can harm our health and damage plants and building materials.
Chemical reactions between VOCs (volatile organic compounds), nitrogen oxides and
sunlight can produce enough ozone at ground level to affect crops and people. The main
sources of VOCs and nitrogen dioxides are road transport, solvent release (e.g. as paints,
glues or inks dry) and petrol handling and distribution. Most of the VOCs released by
industries comes from the fuel and power sector (52% in 2005) and the chemicals sector

(38%). The reactions can take hours, or days to produce ozone.

Large ozone concentrations tend to be downwind of sources of VOCs and nitrogen oxides.
This means that ozone found at a particular location may have arisen from VOC and
nitrogen oxide emissions many hundreds or even thousands of kilometres away. Ground
level ozone levels tend to be higher in the countryside than in towns and cities. The reason
for this is quite complicated - because the chemicals in traffic exhausts that produce ozone
also breaks ozone down. For example, ozone breaks down when it comes into contact with
nitrogen oxide (NO) and forms nitrogen dixoide (NO2). The mix of urban gases is often blown
out into the countryside, where there are far fewer chemicals to break down the ozone.
Ozone levels then start to build up, which is why background concentrations of ozone are
highest in the rural areas of Great Britain.
As well as causing breathing difficulties, ground-level ozone affects how plants
photosynthesise (turn sunlight into food) and how they grow which could reduce the amount
of crops that we can produce. More crops are exposed to ozone levels above 40ppb (used
by the United Nations Economic Commission for Europeas a threshold to measure crop
damage) in the southern UK.
Due to the health threats from ground-level ozone, the Government recommends that
concentrations should not be higher than 100g/m3 measured over an 8-hour running mean
more than ten times per year. Local authorities have recorded much higher concentrations
over the last 20 years. Annual average concentrations have fluctuated between 25 and
66g/m3. VOC emissions increased until the late 1980s, but are now declining due to tighter
controls on vehicle emissions and improved vehicle technologies.
The UKcommitted itself under a United Nations protocol to cut its VOC emissions to 56% of
1988 levels by 2010. Industry aimed to reduce its VOC emissions by about 40% between
1990 and 2007. Industries affected by the Solvents Directive attempted to reduce emissions
by about 57% over the same period. The Auto Oil Directive will cut vehicle emissions of
VOCs and nitrogen oxides by about 70%. However, Europe needs to reduce emissions of
these chemicals a lot more to bring ground level ozone concentrations down to safer levels.
1.6.6 Fine Particulates (PM10).
Fine particles (PM10) are particles with a diameter of less than 10g a hundredth of a
millimetre. The main source of airborne fine particles in the UK is road traffic emissions,
particularly from diesel vehicles. Most of the PM10 released by industries comes from the
fuel and power sector (55% in 2005) and the metals sector (30%). Fine particles are also

formed by chemical reactions in the atmosphere, dust from construction work and industrial
processes, and from dust in the air naturally such as soil and silt. Fine particles can harm
health, especially if people already have breathing difficulties or lung disease. As they are so
small, fine particles can penetrate deep into the lungs. Fine particles have been linked to
respiratory disease and premature death.
Fine particle concentrations have fallen from 35 g/m3 to 20 g/m3 since they were first
monitored in 1992 and emissions have steadily decreased since the mid-1980s. This is due
to catalytic converters becoming more widely used in vehicles and more stringent emission
standards from vehicles and industry. However, though average fine particle concentrations
have fallen, maximum levels have remained more or less the same. Total emissions of fine
particles from the UK have declined since 1970 due mainly to the reduction in coal-fired
power stations. The Clean Air Act that introduced smokeless zones in many towns and cities
has restricted domestic coal combustion traditionally another major source of particle
emissions.
Though fine particle levels have fallen, they still tend to be higher towards the east of the
country. This is because much of the fine particles in the air over England and Wales are
blown in from mainland Europe. The highest concentrations are found in London due to the
heavy traffic. In 2003, the Government set lower limits for fine particle concentrations in the
UK (including separate levels for London).
The Auto-Oil Directives are intended to cut particle emissions from diesel cars by 50% and
from heavy-duty vehicles by 80% from 2006. Reductions in industrial sulphur and nitrogen
emissions over the next decade should also significantly reduce the formation of secondary
fine particles.
In 2010, the European Commission started legal action against the UK for failing to comply
with EU air quality standards for PM10 particles. A second and final written warning was
been sent to the UK for still exceeding the limit values for PM10 in a number of zones.
The Commission started the legal action because a number of zones in the UK were
exceeding the PM10 limit values in 2005, 2006 and 2007. According to the latest data
provided, two areas, namely the Greater London Urban Area and Gibraltar, exceeded the
limits for PM10.
This was the latest in a series of legal actions taken by the Commission against Member
States following the entry into force in June 2008 of the new EU Air Quality Directive. The
Directive allows Member States to request, under certain conditions and for specific parts of
the country, limited extra time to meet the PM10 standards which have been in force since
2005.
First warning letters were sent at the beginning of 2009 to Member States that had not by
then submitted notifications for time extensions or had not notified the Commission about all
air quality zones exceeding the limit values for PM10. As a result, most Member States
involved submitted notifications for a time extension.

The UK submitted an exemption request for eight zones including the Greater London Urban
Area. However, the Commission did not consider the exemption justified, as seven out of the
eight zones already complied with the limit values. For the Greater London Urban Area, the
Commission considered that the UK had not shown that compliance with the daily PM10 limit
value would be achieved by the time the exemption period expired in 2011. The UK sent a
further exemption request for Greater London. However, given that zones still exceeded the
PM10 limit values, the Commission sent the UK a final warning. If the UK failed to take the
necessary measures to comply with the legislation, the Commission could refer the case to
the European Court of Justice.
1.6.7 Sulphur Dioxide.
Sulphur dioxide (SO2) is a colourless gas, released from burning fossil fuels like coal and oil.
Large combustion plants such as power stations and oil refineries are the main sources of
sulphur dioxide in the UK, but emissions are decreasing. Releases from other industries are
relatively small.
Sulphur dioxide is also found naturally in the air at low concentrations from natural releases
such as volcanoes and forest fires. As well as contributing to acid deposition, sulphur dioxide
can also cause breathing difficulties and is toxic to plants. Sulphur dioxide emissions are
falling. This is due to controls on coal burning, introducing cleaner solid fuels and building
taller power station stacks. In recent years filtering equipment at power stations, burning low
sulphur coal and using more nuclear power for energy instead of fossil fuels have reduced
sulphur dioxide levels further. People also use more low sulphur gas and oil in their homes,
which has also helped to reduce sulphur dioxide emissions.
In England and Wales, the Environment Agency regulates most of the large emissions of
sulphur dioxide. There are smaller sources that are not regulated and if these smaller
sources are located near each other, they can produce hot spots of high sulphur dioxide
concentrations. However, due to the controls on sulphur dioxide levels mentioned above, the
number and size of these hotspots has reduced over time.
Since 1990, the decline has been accelerated by an increase in the proportion of electricity
generated in nuclear plants and the use of Combined Cycle Gas Turbine (CCGT) power
stations and other gas-fired plants that have negligible sulphur dioxide emissions. Most
recently, the flue gas desulphurisation plants constructed at Drax and Ratcliffe coal-fired
power stations have had a significant effect on emissions. The United Nations Economic
Commission for Europe (UNECE) Second Sulphur Protocol required the UK to reduce its
emissions by 80% between 1980 and 2010 and the Acidification, Eutrophication and
Ground-level Ozone Protocol has increased this requirement to 87%.
Question 3.
How many main substances who have air quality standards, assigned to them as part of the
Air Quality Strategy, and whose release must be prevented or restricted?
Multiple Choice (HP)

Answer 1:

Response 1:
Jump 1:

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Answer 2:

10

Response 2:
Jump 2:

This page

Answer 3:

12

Response 3:
Jump 3:

This page

Question 4.
Three of the main prescribed substances with air quality standards are.....
Multiple Choice (HP)
Answer 1:

Asbestos, halogen & carbon monoxide

Response 1:
Jump 1:

This page

Answer 2:

Carbon monoxide, nitrogen oxides & asbestos

Response 2:
Jump 2:

This page

Answer 3:

Carbon monoxide, nitrogen oxides & lead

Response 3:
Jump 3:

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1.7 Classification of Smoke.

The Clean Air Act 1993 consolidated and repealed the 1956 and 1968 Clean Air Acts as
already mentioned, but also incorporates clean air legislation contained in other Acts such as
the Control of Pollution Act 1974, the Control of Smoke Pollution Act 1989 and the

Environmental Protection Act 1990. It should be noted that Parts I (Dark smoke), II (Smoke,
grit, dust and fumes) and III (Smoke control) of the Act do not apply to the prescribed
processes listed in the Environmental Protection Act 1990, or to the installations to be
regulated by the Pollution, Prevention and Control Regulations 2000 (i.e. the latter pieces of
legislation take precedence for those installations and processes).
Part I of the act prohibits the emission of dark smoke from a chimney of any building. It also
applies to chimneys not attached to a building serving furnaces or fixed boilers or industrial
plant and could include incinerators and crematoria. Dark smoke emission from railway
engines is within scope of the Act.
So long as every practical effort is made to avoid or minimise emissions then there are four
possible defences in any proceedings for dark or black smoke emissions:
1.The emission was solely due to lighting a furnace from cold.
2.The emission was solely due to unavoidable mechanical failure.
3.The emission was solely due to the unavoidable use of unsuitable fuel when suitable fuel
was not available.
4.The emission was due to a combination of the above.
It is also an offence to cause the emission of dark smoke from industrial or trade premises
(as opposed to chimneys). An emission of dark smoke is deemed to have taken place if
material is burned on the premises in circumstances where the burning would likely give rise
to dark smoke. This therefore covers the burning of cables or vehicles on open ground at
night when it would be impossible for the local authority to prove by direct observation that
dark smoke had been emitted. Similarly industrial and trade premises means premises
normally used for industry or trade, or premises not normally used as such but which were
being used for industrial or trade burning. This therefore covers demolition sites and land
used for agriculture or horticulture.
Dark smoke tends to be released whenever fossil fuels are burnt inefficiently, often due to
the combustion temperature being too low or the supply of air inadequate.
Dark smoke is defined in law by reference to the British Standard Ringelmann chart which is
used to assess the visual aspects of smoke emissions by comparison against shades of
grey formed by cross-hatched squares. Dark smoke is defined as being as dark or darker

than Ringelmann shade 2.

Black smoke is as dark, or darker than Ringelmann shade 4 and is defined in the Dark
Smoke (Permitted Periods) Regulations 1958 and the Dark Smoke (Permitted Periods)
(Vessels) Regulations 1958.
Although the legislation defines dark and black smoke by reference to the Ringelmann chart,
the use of the chart is not compulsory. The Clean Air Act 1993 says:
for the avoidance of doubt, it is hereby declared that the court may be satisfied that
smoke is or is not dark smoke[even if] there has been no actual comparison of the smoke
with a chart of the type mentioned.

The Ringelmann chart was devised by Professor Ringelmann of Paris in the

19th Century. It consists of a cardboard sheet on which are printed five
squares, four of which are cross-hatched by 20 horizontal and 20 vertical
lines. On each of the four shaded squares, the hatching lines get thicker, so
obscuring more of the white background. In use, the cross-hatched black
lines merge into the white background and produce for each shade an
apparent uniform grey. The number of shades range from 0 to 4, with 0 being
unhatched, 1 = 20% obscured, 2 = 40% obscured, 3 = 60% obscured and 4
= 80% obscured.

Its use is described in BS 2742:1969

Question 5.
Part I of the Clean Air Act 1993 prohibits the emission of dark smoke from a chimney of a
building, but there are possible defences in any proceedings for the production of such
smoke.......
Multiple Choice (HP)
Answer 1:

Emissions solely due to unavoidable mechanical failure

Response 1:
Jump 1:

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Answer 2:

Emissions solely due to unavoidable use of unsuitable fuel

Response 2:
Jump 2:

This page

Answer 3:

Emissions solely due to lighting of a furnace from cold

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

2.0 Air Quality Objectives and Air Quality Standards.

EU Framework Directive
The EUs Framework Directive on ambient air quality assessment and management
(96/62/EC) came into force in November 1996 and had to be implemented by Member
States by May 1998. The Directive aims to protect human health and the environment by
avoiding, reducing or preventing harmful concentrations of air pollutants by:

defining and fixing objectives for air quality and setting limit values and/or alert
thresholds (target values for ozone);
assessing air quality in a uniform manner;
making information available to the public;
maintaining or improving ambient air quality.

The Framework Directive requires the Commission to propose Daughter Directives setting
air quality objectives, limit values, alert thresholds, guidance on monitoring, siting and

measurement methods for individual pollutants.

This has now been done for

sulphur dioxide;
nitrogen dioxide;
fine particulates PM10;
suspended particulate matter & lead;
benzene & carbon monoxide;
ozone; and
heavy metals.

Pollutants still to be considered are dioxins, VOCs (volatile organic chemicals), methane,
ammonia, nitric acid and PAHs (poly-aromatic hydrocarbons).
UK Implementation
The above Framework Directive and Daughter Directives were implemented in the UK by the
Air Quality Limit Value Regulations 2001. These were revoked in favour of the 2003
regulations (SI 2003/2121 in England and SI 2003/428 in Scotland) and 2002 regulations in
Wales (SI 2002/3183, W.299) and Northern Ireland (SR 2002/94).
The regulations place the authorities under a duty to take the measures necessary to ensure
that in each zone (or agglomeration) limit values are not exceeded by the relevant dates. An
agglomeration is defined as an area with more than 250,000 inhabitants, or one with less but
with a population density which justifies the need for separate management. Each zone must
be classified on the basis of an assessment of air quality for each of the relevant pollutants
sulphur dioxide, particulates, nitrogen dioxide and lead. Classifications must be reviewed
every five years or if there is significant change in the zone affecting levels of one of the
pollutants.
Where there is a risk of one of the limit values being exceeded, an action plan is required to
be drawn up describing measures to be taken in the short term to reduce the risk and limit
the duration of the period the limit is exceeded. Where alert values are exceeded,
information must be made available to the public in the UK this is done via the Air Pollution
Information Service. The authorities (the Secretary of State in England) are also required to
compile a list of all zones in which for one or more pollutants limit values are exceeded and
draw up and implement an action plan to ensure limit values will be met. All proposed plans
are to be made available for public consultation.
Amendments to the regulations in England (SI 2004/2888) require the public to be given an
opportunity to participate in the review of plans.
2.1 Air Quality Standards.
The Governments Air Quality Strategy for England, Scotland, Wales and Northern Ireland
2007 sets national air quality standards to protect human health and is the main policy

instrument for improving air quality. Policies set out in the Strategy support the achievement
of national air quality objectives and EU air quality limit values.
The Air Quality Strategy identifies air quality standards for nine pollutants and a timescale for
their achievement.
Objectives for seven of the pollutants have been set in regulations for the purposes of the
Local Air Quality Management Regime. Local authorities are required to work toward
achieving these objectives. The Government runs the national monitoring network for air
quality and publishes information on national and local air quality.
Local Authorities must regularly review and assess air quality in their area. If air quality
objectives are being breached or at risk, they must declare an air quality management area
and draw up an action plan to work towards achieving the objectives. Local authorities may
also apply for powers to undertake roadside emissions testing of vehicles. They are
responsible for the regulation of emissions from around 500 installations under the Pollution
Prevention and Control Regime, 17,000 small industrial processes under the Local Authority
Pollution Prevention and Control (LAPPC) regime and many other sources under the Clean
Air Act.
Details of the air quality objectives and standards can be found here.
2.2 Air Quality Standards.
Objectives based on the above national standards have been set for certain pollutants (see
table below). Local authorities must assess whether the air quality standards will be met in
their area by the specified target date. If the objectives are not met, local authorities must
establish Air Quality Management Areas and ensure that the standards will be met. The
decision as to where exactly the air quality objective applies in any given case rests with the
local authority.
Pollutant
Benzene
1,3-Butadiene
Carbon monoxide
Lead
Nitrogen dioxideb
Particles (PM10)

Sulphurdioxide

Local Air Quality Management Objective

Concentrationa
Measured as
3
16.25g/m (5ppb)
running annual mean
5 g/m3 (1.5ppb)
annual mean
3
2.25g/m (1ppb)
running annual mean
10mg/m3 (8.6ppm)
running 8 hour mean
3
0.5g/m
annual mean
0.25g/m3
annual mean
3
16.25g/m (5ppb)
1 hour mean
16.25g/m3 (5ppb)
annual mean
3
50g/m not to be
24 hour mean
exceeded more than
35 times a year
40 g/m3
annual mean
350g/m3 (132ppb)
1 hour mean
not to be exceeded
more than 24 times a
year
125g/m3 (47ppb) not 24 hour mean
to be exceeded more
than 3 times a year

Date to be
achieved by
31 Dec 2003
31 Dec 2010
31 Dec 2003
31 Dec 2003
31 Dec 2004
31 Dec 2008
31 Dec 2005
31 Dec 2005
31 Dec 2004

31 Dec 2004
31 Dec 2004

31 Dec 2004

266g/m3 (100ppb)
15 minute mean
not to be exceeded
more than 35 times a
year
a

31 Dec 2010

Conversions of ppb and ppm to g/m3 and mg/m3 at 20C and 1013mb.

The objectives for nitrogen dioxide are provisional. ppb = parts per billion; ppm = parts per
million; g/m3 = microgrammes per cubic metre ; mg/m3 = milligrammes per cubic metre.
Around 180 Air Quality Management Areas ( AQMAs ) have been designated so far by local
authorities. The majority of these are in respect of the objectives for nitrogen dioxide and
PM10 and are mainly as a result of emissions from road transport. Fewer than 10 AQMAs
have been designated as a result of emissions of sulphur dioxide from industrial sources
regulated by local authorities, the Environment Agency or the Scottish Environment
Protection Agency [Environment Agency 2006.]
Drill Down: Cleaner Air for Everyone. Open Board Paper, 20th September 2006. Available at
http://www.environmentagency.gov.uk/commondata/acrobat/item_08c_drill_down_1470692.pdf].
In addition to pollutants that must be regulated, national objectives which are outside the
direct responsibility of local authorities for local air quality management exist. Some of these
objectives are for the protection of wildlife and habitats (see table below):
Pollutant

Objective
Concentrationa
Measured as
Objectives for the protection of human health
Particlesb (PM10,
50mg/m3 not to be
24 hour mean
gravimetric)
exceeded more than
10 times a year
London
23mg/m3
annual mean
3
20mg/m
annual mean
Particlesb (PM10,
50mg/m3 not to be
annual mean
gravimetric)
exceeded more than
7 times a year
Rest of England and 20mg/m3
annual mean
Wales
Ozoneb
100g/m3 (50ppb)
daily maximum of
not to be exceeded running 8 hour mean
more than 10 times a
year
c
PAH
0.25ng/m3
annual mean
Objectives for the protection of vegetation and ecosystems
Nitrogen oxidesd
30g/m3 (16ppb)
annual mean
3
Sulphur dioxide
20g/m (8ppb)
annual mean
20g/m3 (8ppb)
Winter average (1st
October to 31st
March)

Date to be achieved
by
31st Dec 2010

31st Dec 2010

2015
31st Dec 2010

31st Dec 2005

31st Dec 2005

31st Dec 2010

31st Dec 2000
31st Dec 2000
31st Dec 2000

Conversions of ppb and ppm to g/m3 and mg/m3 at 20C and 1013mb. ppb = parts per
billion; ppm = parts per million; g/m3 = microgrammes per cubic metre ng/m3 =
nanogrammes per cubic metre.
b
The objective for ozone is provisional.
c
To be set in regulations in the future.
d
Assuming both nitrogen oxide and nitrogen dioxide are taken as nitrogen dioxide.
Source: The Air Quality Strategy for England, Scotland, Wales and Northern Ireland.
Department for the Environment, Food and Rural Affairs in partnership with the Scottish
Executive, The National Assembly for Wales and the Department of the Environment for
Northern Ireland, 2000. Also available at:
http://www.environmentagency.gov.uk/yourenv/eff/1190084/air/1158715/1159519/1159537/230025/?version=1&lan
g=_e
Note: in the above tables the Date to be achieved by is the year ending with that date, so
an objective with a date of 31st December 2010 applies from 1st January 2010, not 1st
January 2011.
One benefit of having quality standards is that it enables measurement of trends in air quality
by counting the number of times the standards were breached. The average number of days
when air pollution levels are above these standard levels (pollution days) has fallen over the
last decade. However, the number of pollution days can vary from year to year as the
weather changes. In urban areas, pollution days have fallen steadily since 1993, but then
rose from 20 days in 2002 to 50 days in 2003. In 2005, only 22 pollution days were recorded.
In rural areas pollution days have varied between 21 days in 1987 and 40 in 2005, without
any clear trend.
Concentrations of pollutants such as nitrogen dioxide, sulphur dioxide, carbon monoxide and
particles have reduced in the past decade due to tighter emission standards for industry,
cleaner fuels and better technology. Nitrogen dioxide, carbon monoxide and particle
concentrations should continue to fall in the future in towns and cities as vehicle emissions
fall, despite increasing road traffic.
Question 6.
The Air Quallity Strategy for England, Scotland, Wales and Northern Ireland 2000 - sets
national air quality standards and is the main policy instrument for improving air quality.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:

It is The Air Quality Strategy for England, Scotland, Wales and Northern
Ireland 2007 that does this.

Jump 2:

Next page

2.3 Legislative Requirements Applying to Releases to the Atmosphere.

Duties of Operators of Prescribed Processes for:Integrated Pollution Control, Air
Pollution Control and Pollution Prevention and Control
The EU Directive on Integrated Pollution Prevention and Control (96/61/EC), usually referred
to as IPPC, was implemented in the UK as the Pollution Prevention and Control Act 1999,
which in turn enabled the Pollution Prevention and Control Regulations 2000 to be
published.
As already seen previously, the Environmental Protection (Prescribed Processes and
Substances) Regulations 1991, which were made under the Environmental Protection Act
1990, list the prescribed processes. Under each process, a set of more detailed processes
exist which are grouped as Part A processes or Part B processes. Part A processes tend to
be large-scale industrial processes and they are regulated by Integrated Pollution Control
(IPC) and have been the responsibility of the Environment Agency (EA) in England and
Wales and the Scottish Environmental Protection Agency (SEPA) in Scotland. Part B
processes tend to be smaller in scale and emissions to the atmosphere arising from those
are regulated by Air Pollution Control regulations which are the responsibility of the local
authorities in England and Wales, but SEPA in Scotland.
For Integrated pollution control, the Environmental Protection (Applications, Appeals and
Registers) Regulations 1991 detail the procedure for making applications for authorisations,
variations and substantial changes for both Part A and Part B processes. They also set out
the circumstances and procedures for appeals against decisions made by the enforcing
authority and establish public registers of authorisations.
Best Available Techniques (BAT) must be used to prevent or minimise the release of all
substances to the environment to render them harmless - whether prescribed or not.
For local air pollution control, all processes prescribed for local air pollution control had to
apply for an authorisation from the local authority in which the process was to be carried out
(or SEPA in Scotland). In the case of mobile plant, this was the authority of the authority in
which the applicants principal place of business is situated.
Under Pollution Prevention and Control, an application for an IPPC permit must be made
before the installation becomes operational. The achievement of Best Available Techniques
(BAT) needs to be demonstrated and licenses/permits must be maintained using variations
etc as processes or operating conditions change.
2.4 Furnaces.

Part II of the Clean Air Act 1993 which covers smoke, grit, dust and fumes, deals with the
use of furnaces.
Before installing a furnace (other than a domestic furnace), the local authority must be
informed. Any such furnace must be capable of being operated continuously without emitting
smoke when burning fuel of a type for which the furnace was designed. Domestic furnaces
are defined as those with a heating capacity of less than 16.12 kilowatts.
The Secretary of State may prescribe limits on the rates of emission of grit and dust from the
chimneys of all non-domestic furnaces. It is a defence to prove that the best practicable
means were used to prevent any emissions in excess of the permitted rates.
If the furnace is used to burn pulverised ash or burn any solid matter at a rate of 45.4 kg per
hour; or burn any liquid or gas at a rate equivalent to 366.4 kW or more, then the operator
must ensure that:

all such furnaces (except domestic) are equipped with a properly used and
maintained dust and grit arrestment plant approved by the local authority;

the height of the chimney has been approved by the local authority and any
conditions attached to the approval are adhered to.

The local authority may also serve notice on the owner of the furnace to:

adapt the chimney to allow the measurement of grit, dust and fume emissions;

provide and adapt the necessary measuring apparatus;

inform the local authority of the results;

allow the local authority to be present during the measurement and recording of
emissions;

provide information about a furnace and the fuel being burned within 14 days.

The Secretary of State may prescribe limits on the rates of emission of grit and dust from the
chimneys of furnaces, and prescribe different limits for different cases according to different
circumstances.
So long as the furnace burns solid fuel at a rate of less than 1.02 tons per hour, or burn
liquid or gas at less than 8.21 Megawatts, then the owner may serve notice on the local
authority from time to time to measure and record emissions at its own expense.

2.5 Associated Legislation Includes.

The Clean Air Act (Emission of Grit and Dust from Furnaces) Regulations 1971 (SI 162)
applies to boilers, indirect heating appliances (where the combustion gases are not in
contact with the material being heated) and furnaces in which the combustion gases are in
contact with the material but that material does not itself contribute to the grit and dust in the
combustion gases. They do not apply to incinerators burning refuse or waste matter these
are controlled under PPC regulations. These regulations include tabulations of the quantities
of grit and dust that may be emitted.
The Clean Air (Measurement of Grit and Dust from Furnaces) Regulations 1971 (SI 161)
explains that a local authority must give at least six weeks' notice if they require adaptations
made to a chimney or flue, or provision of measuring equipment. Once sampling points and
equipment are installed, they should give 28 days written notice of the requirement for tests
to be carried out. The company must give the local authority 48 hours written notice of the
commencement of testing and the results should be sent to the local authority within 14 days
of making the measurement.
The Clean Air (Heights of Chimneys)(Excemption) Regulations 1969 (SI 411) state that it is
not necessary to apply for chimney height approval for:

a temporary or replacement boiler for a boiler which is being inspected, repaired or

maintained or replaced by another permanent boiler;

a boiler used as a temporary source of heat or power for building or engineering

construction work, or for investigation or research;

a boiler used as an auxiliary plant used to bring other plant up to operating

temperature;

a boiler used as a mobile source of heat or power for agricultural operations.

The Building Act 1984 applies when a new building is erected which will over-reach the
chimney of an adjoining building. The local authority may require the person who erects the
taller building to raise the height of the chimney on the adjoining building.
The Building Regulations: The Clean Air Act 1993 controls chimney heights only if the fuel
consumption exceeds a set amount whereas the Building Regulations cover heat producing
appliances designed to burn fuel, oil or gas, incinerators and chimneys, irrespective of the
capacity of the fireplace or furnace.

2.6 Processes Authorised Under the Radioactive Substances Act 1993.

The Radioactive Substances Act 1993 provides the framework for controlling the creation
and disposal of radioactive wastes so as to protect the public from hazards that may arise
from their disposal to the environment. The radioactive wastes covered include solid, liquid,
gas and vapours. Under the Act, anybody wishing to keep or use radioactive materials
(including mobile radioactive apparatus) requires to be registered by the Environment
Agency in England and Wales, SEPA in Scotland or the DoE in Northern Ireland. The
accumulation or disposal of radioactive waste also requires an authorisation from the
respective bodies. This licensing is in addition to the licensing necessary for nuclear
installations under the Nuclear Installations Act 1965.
In granting an application, the appropriate Agency may impose conditions as it sees fit,
including

requesting alterations to the premises;

requirements relating to apparatus or equipment used;
requiring an operator to retain records of operations for a specified period after
ceasing operations.

Guidance for disposal facilities has been published under the Radioactive Substances Act
1993 in the form of Disposal Facilities on Land for Low and Intermediate Level Radioactive
Wastes: Guidance on Requirements for Authorisation (1997). This sets two criteria for
assessment of the radiological safety of radioactive waste disposal facilities: a dose limit for
a facilitys operational phase and a post-closure radiological risk target. The latter is
considered appropriate due to the uncertainties inherent in the future performance of a
disposal system.
2.7 Duties of the Secretary of State and Local Authorities.
Part IV of the Environment Act 1995 requires local authorities to review the quality of air
within their area. The reviews have to consider the air quality for the time being and the likely
future air quality during the relevant period. Such reviews have to be accompanied by an
assessment of whether any prescribed air quality standards or objectives are being achieved
or are likely to be achieved within the relevant period.
The Air Quality (England) Regulations 2000 prescribe the relevant period referred to
above. In relation to the air quality objectives, the relevant period is the period from the date
when the Air Quality (England) Regulations 2000 came into force ( 6th April 2000 ) and the
date given in the table of air quality objectives.
The above regulations and their 2002 amendments also set out the air quality objectives to
be achieved by the end of that period. The objectives are the same as those set out in the
Air Quality Strategy for England, Scotland, Wales and Northern Ireland 2007, (published by
the Secretary of State in accordance with section 80 of the 1995 Act). The objectives were
presented earlier in this unit.

Where any of the prescribed objectives are not likely to be achieved within any part of a local
authoritys area within the relevant period, the local authority will have to designate that part
of its area as an air quality management area (described in section 83(1) of the Environment
Act 1995). An action plan covering the designated area will then have to be prepared setting
out how the authority intends to exercise its powers in relation to the designated area in
pursuit of the achievement of the prescribed objectives (section 84(2) of the 1995 Act). The
Regulations prescribe a nine-month period within which a county council will have to submit
proposals to a district council which is preparing an action plan within the county councils
area.
In England, these Regulations replace the provisions of the Air Quality Regulations 1997
which have therefore been revoked (in England ).
2.8 Offences Under The Clean Air Act 1993 & the Radioactive Substances Act 1993.
Section 1 of the Clean Air Act 1993 prohibits the emission of dark smoke from the chimney
of any building and any occupier who breaches this will be guilty of a criminal offence. This
section covers all types of buildings from domestic houses to industrial premises. Emissions
other than dark smoke are dealt with elsewhere in the Act, as are emissions arising from
outdoor burning.
The Act gives rise to strict liability, so any dark smoke emitted from a building would give rise
to liability under section 1. The liability is imposed on the occupier of the building from which
the smoke is emitted, irrespective of responsibility.
A prerequisite of bringing a prosecution under the Clean Air Act 1993 is that the enforcement
authority is under a duty to notify the occupiers of the existence of an offence this is
usually given orally by an enforcement officer and then must be confirmed in writing within
four days. There are different maximum levels of fines for emissions from private dwellings.
Section 2 of the Act prohibits the emission of dark smoke from industrial trade premises
other than from a chimney of a building which is covered under section 1. The premises
includes the grounds of factories and other areas such as demolition sites. Where the
burning of a material would be likely to give rise to dark smoke, such as emission can be
taken as proved unless the occupier or person accused of the offence can show that no dark
smoke was actually emitted. This allows environmental health officers to act against smoke
pollution even if the fires had been extinguished at the time of the visit.
There is a statutory defence under the Act that the emission was inadvertent which
indicates that even though the offence has absolute liability, some degree of blame is
necessary to show that all practicable steps have been taken to prevent or minimise the
emission. Offences under section 2 are tried only in a magistrates court and so give rise to
fines rather than custodial sentences.
The responsibilities in relation to furnaces, which are described more fully in the Clean Air
Act (Emission of Grit and Dust from Furnaces) Regulations 1971 were discussed previously.
An offence is committed where such furnaces are operated without the approval of the local
authority as described.
Under the Radioactive Substances Act 1993, it is an offence not to comply with the

conditions of registration or authorisation under the Radioactive Substances Act.

Additionally, it is an offence not to comply with the terms of an enforcement or prohibition
notice. Summary conviction may result in a maximum fine of 20,000 or maximum of six
month imprisonment (or both) for each offence or an unlimited fine or maximum of five years'
imprisonment (or both) on conviction on indictment. Failure to display a copy of registration
or authorisation is also an offence punishable by a fine and failure to retain or produce
records as specified by the Agency is also punishable by a fine and/or imprisonment.
3.0 Principles of Monitoring Techniques Applying to Atmospheric Emissions.
The fact that there are Air Quality Standards implies that there are standard methods for
assessing whether they have been met. Unfortunately, air quality measurement is
complicated by the fact that most components of the air need a different measurement
method. Networks of air quality monitoring stations operate globally measuring the ambient
air quality (i.e. the quality of the air around us). It is also necessary to measure the quality of
emissions released from industrial processes (i.e. emissions testing).
The Environment Agency operates four mobile air quality laboratories. These are deployed
in England and Wales in response to air quality concerns that may involve major industry or
in support of local authority air-quality management.
The laboratories contain a comprehensive array of analysers for continuous monitoring
including fine particulates (PM10), sulphur dioxide (SO2), Nitrogen oxides (NOx), carbon
monoxide (CO), hydrogen sulphide (H2S), methane (CH4) and a range of volatile organic
chemicals (VOCs). Each has a weather station that measures barometric pressure,
temperature, relative humidity, wind direction and wind speed to aid source apportionment.
The laboratories are deployed in fixed positions for several months so that variations in
weather conditions can be taken into account. Reports are then produced showing analysis
of pollutants and comparison against relevant limit values.
The equipment is operated and calibrated in accordance with Local Air Quality Management
(LAQM) guidance and should therefore produce comparable data to the Automatic Urban
and Rural Network (AURN) which is funded by Defra, and local authority continuous
monitoring stations.
3.1 Monitoring Strategy.
Emission monitoring carried out at a stack must be fit for purpose and to meet this, an
appropriate monitoring strategy should be developed.
This monitoring strategy should be documented in a site-specific protocol (SSP), which is
generated by the monitoring organisation before monitoring work begins. The SSP describes
how the method will be employed in a given, specific situation and should be undertaken for
each site where monitoring is to take place.
The MCERTS performance standard for organisations sets out the requirements for the
SSP.

MCERTS
Monitoring equipment is tested and certified under the MCERTS Continuous Emissions
Monitoring scheme.
MCERTS is the Environment Agencys Monitoring Certification Scheme for instruments,
monitoring and analytical services. The scheme is built on proven international standards
and provides industry with a framework for choosing monitoring systems and services that
meet the Agencys performance specifications. MCERTS reflects the growing requirements
for regulatory monitoring to meet European and international standards. It brings together
relevant standards into a scheme that can be easily accessed by manufacturers, operators,
regulators and laboratories. Further information on MCERTS is available at www.mcerts.net.
MCERTS for CEMs :

makes available a certification scheme that is formally recognised within the UK and
is acceptable internationally;
gives confidence to regulatory authorities that instrumentation, once certified, is fit for
purpose and capable of producing results of the required quality and reliability;
gives confidence to users that the instrumentation selected is robust and conforms to
performance standards that are accepted by UK regulatory authorities;
supports the supply of accurate and reliable data to the public;
provides instrument manufacturing companies with an independent authoritative
endorsement of their products, which will facilitate their access to international
markets and increase the take-up of their products in the UK .

The performance standards for CEMs is available at: http://publications.environmentagency.gov.uk/pdf/GEHO0403BKAB-e-e.pdf

3.2 Technical Guidance Notes M1 and M2.
The Environment Agency currently publishes a series of technical guidance notes on several
aspects of monitoring. They provide guidance to Agency staff, monitoring contractors,
industry and other parties interested in stack-emission monitoring. They also act as
reference documents in support of the Agency Monitoring Certification Scheme (MCERTS)
and Operator Monitoring Assessment (OMA).
M1: Sampling requirements for stack emissions monitoring.
M2: Monitoring of stack emissions to air.
M8: Ambient monitoring strategy.
M9: Ambient monitoring methods.
M13: Monitoring hydrogen sulphide and totally reduced sulphur in atmospheric releases and

ambient air.
M15: Monitoring PM10 and PM2.5.
M16: Monitoring volatile organic compounds (VOCs) to air from industrial installations.
M17: Monitoring ambient particulates in air around waste facilities.
M18: Monitoring discharges to water and sewer.
M20: Quality assurance of continuous emissions monitoring systems.
In this unit we review just the first two.
3.3 M1: Sampling Requirements for Stack Emissions Monitoring.
The Technical Guidance Note (TGN) provides guidance on the selection of the sampling
position, sampling plane and sampling points.
Access, facilities and services required; safety considerations.
Throughout this element, references to sampling from stacks should be interpreted as also
meaning sampling from vents, ducts and flues. The importance of health and safety in stack
emission monitoring is emphasised. The TGN describes the approach to stack-emission
monitoring taken by the Environment Agency and provides guidance on methods used for
regulatory purposes. It focuses on areas where practical guidance is necessary. This
includes:

the legislative framework;

the role of MCERTS;
different approaches to stack-emission monitoring;
sampling strategy;
the hierarchy of different methods;
an index of monitoring methods.

The index of monitoring methods will be particularly useful for operators with installations
falling under the PPC regulations, which implement the IPPC directive. The Regulations
require:

applications for a permit to contain the proposed measures to be taken to monitor the
emissions;
the permit to include conditions setting out suitable emission monitoring
requirements, specifying the measurement methodology and frequency and the
evaluation procedure.

To support the implementation of the directive, the European IPPC bureau in Seville has

published a reference document on the principles of monitoring under IPPC. This recognises
that, wherever possible, emissions should be monitored using standards produced by
recognised standards-making organisations and sets out a hierarchy of standards-making
organisations. The TGN builds on the general principles in the reference document for
application under the PPC Regulations. It specifies the index of methods, providing the user
with the standards and methods to meet the monitoring requirements under PPC.
The TGN is divided into two parts: general guidance on monitoring and an index of
monitoring methods. The latter has been structured to help the user to find a solution to a
monitoring problem or query. The most likely situation is that the user will be very specific
about the substance, less confident about the general approach to use, and less confident
still about which particular technique, method or equipment to employ. Accordingly, the index
is initially classified by substance. For each substance, the index is grouped according to the
monitoring approach - Continuous Emissions Monitoring systems (CEMs) and periodic
measurements. Then, for each approach a list of methods is given. Where a periodic method
is required, the section describing the hierarchy of methods is used to elect the appropriate
one.
The full TGN is available at: http://publications.environmentagency.gov.uk/pdf/GEHO1105BJYF-e-e.pdf
3.4 Sampling Principles.
The fundamental principle behind any sampling activity is that a small amount of collected
material should be representative of all the material being monitored. The number and
location of samples that are needed to make up a representative sample depends on how
homogeneous the material is. If it is very homogeneous, only a few samples may be
required. If the material is heterogeneous, many more samples will be required.
This fundamental principle applies as much to sampling stack gases as it does to any other
type of sampling. Although the gas in a stack might be thought of as being more uniform
than, for example, a stockpile of coal, gases in stacks can become non-homogeneous.
This may be due to differences in chemical composition, or differences in temperature and
velocity, which may lead to stratification and swirling. Where the gas is also carrying
particulates along the duct, there is likely to be even less homogeneity. Here, special
measures must be taken to ensure samples are representative.
For gases carrying particulates, the sampling approach has to address two effects:

Firstly, inertial effects introduced by gravity and the duct geometry lead to the
particles being unevenly distributed in the duct. Samples must be obtained from
multiple sample points (see the below for definitions of terms) across the sampling
plane to give an overall average of the particulate emission. Rules have been
developed specifying where these sampling points should be located and they are
provided in the Environment Agency TGN M1. In the case of a cross-duct CEM
monitoring particulates, the average particulate concentration is obtained as an

integrated measurement across the duct.

Secondly, for extractive methods, the sample must be collected isokinetically (at the
same speed as the flow in the duct see below).

Where the measurement is of concentrations of gaseous species alone, a sampling location

where the gases are well mixed should be chosen. If gases are well mixed, it is possible to
demonstrate that sampling can be carried out from a single sampling point in the sampling
plane. However, if the mass emission rate is to be calculated, the gas volumetric flowrate will
need to be measured; this will require velocity measurements to be made at several points
across the sampling plane.
Some pollutants, for example metals and dioxins, are present in both particulate and vapour
phases. Other pollutants for example, hydrogen chloride, may be present in an aerosol
phase and vapour phase. Aerosols are normally treated as particulates. In all such cases,
isokinetic multi-point sampling is required.
3.5 Definition of Important Terms in Stack Emissions Monitoring.
Stack, duct or flue a structure through which gases pass. Typically, stacks are intended
to be of sufficient height to adequately disperse emissions in the atmosphere. The terms
duct and flue are synonymous.
Sampling section - region of the stack or duct that includes the sampling plane and the inlet
and outlet sections.
Sampling plane the plane normal to the centre-line of the stack or duct at the sampling
location.
Sampling location or site the working area around the sampling plane on a stack or duct.
Sampling lines imaginary lines in the sampling plane along which sampling points are
located, bounded by the inner wall of the stack or duct.
Sampling ports or access ports points in the wall of the stack or duct through which
access to the emission gas can be gained.
Sampling point the specific position on the sample plane from where the sample is
extracted.
Isokinetic sampling is achieved when the gas enters the sampling nozzle at the same
velocity and direction as the gas travelling in the stack or duct.
3.6 Choice of Sampling Method, Technique & Instruments.
There is a wide choice of monitoring approaches, analytical techniques, published methods

and equipment that can be used to carry out stack-emissions measurements. It is important
that each of these is chosen to be suitable for the application in question.
The sampling approach, technique, method and equipment that are chosen can have
different effects on the requirements for access, facilities and services. Though the precise
requirements can vary, the following will always be required:

a safe means of access to the sampling position;

a means of entry for sampling equipment into the stack;
adequate space for the equipment and personnel;
provision of essential services, such as electricity.

The different approaches to monitoring stack-emissions

Stack-emissions monitoring can be classified into two types:
a) Periodic measurements a measurement campaign is carried out at periodic intervals,
for example, once every three months. The sample is usually - but not always - withdrawn
from the stack (extractive sampling). An instrumental or automated technique may be
used, where the sampling and analysis of the substance is fed to an on-line analyser.
Alternatively, a technique may be used where a sample is extracted on site and analysed
later in a laboratory. Samples may be obtained over several hours, or may be so-called spot
or grab samples collected over a period of seconds to several minutes.
b) Continuous emissions monitoring systems ( CEMs ) automated measurements
carried out continuously, with few if any gaps in the data produced. Measurement may be
carried out in situ in the stack (for example, cross-duct monitoring), or extractive sampling
may be used with an instrument permanently located at or near the stack. CEMs are also
referred to as Automated Monitoring Systems (AMS), particularly in mainland Europe.
The main characteristics of the two approaches are summarised in the table below. One
approach is not inherently superior to the other; both have their own strengths and
weaknesses depending upon the application. In general, however, CEMs provide increased
confidence for both regulatory purposes and process control.
Table 1. Characteristics of CEMs versus periodic monitoring
Characteristic
Sampling period.

Speed of results
generation.

Averaging of
results.

CEMs
Monitoring covers all or most of
the period that substances are
emitted.
Almost always real-time output
of results.

Periodic monitoring
Snapshots of the long-term
emissions profile.

Real-time results if instrumental

analysers used; delayed results if
manual method with laboratory
end-method used.
Results continuously
Result over period of test,
averaged,typically over one hour typically 30 minutes to several
or 24 hours.
hours.

Calibration and
traceability.

Capital cost.

Operating cost.

Certification of
equipment.
Accreditation of
monitoring.

CEMs require calibration against Standard reference methods can

a standard reference method
be used for periodic monitoring;
(SRM) and with certified
also instruments calibrated with
reference materials.
certified reference gases can be
used.
Tends to be higher than the cost Tends to be lower than the cost of
of periodic monitoring
CEMs .
equipment.
Tends to be lower than periodic Tends to be higher than CEMs
approach, as not usually labour approach because labour
intensive. Requires routine
intensive. Trained team on site for
maintenance and calibration
whole duration of monitoring
only.
campaign.
MCERTS certification of
MCERTS certification of portable
equipment available.
stack-monitoring equipment
available.
Quality assurance of the
UKAS accreditation to ISO 17025
calibration and maintenance of for the MCERTS performance
CEMs is covered in EN 14181. standard for organisations
carrying out periodic monitoring.
Accreditation to the MCERTS
standard includes the requirement
for individuals carrying out
monitoring to be certified under
MCERTS as competent.

3.7 Grab Sampling.

Periodic sampling of particulates
Periodic sampling of particulates requires extractive isokinetic sampling methods. The
principle of isokinetic sampling is that a sharp-edged nozzle is positioned in the stack facing
into the moving gas stream and a sample of the gas is extracted through it, at the same
velocity as the gas in the stack, for a measured period of time. To allow for non-uniformity of
particulate distribution, samples are taken at a pre-selected number of points across the
sample plane. The particulates collected in the sampler are later weighed and the
concentration of particulate matter in the stack is calculated using the volume of gas
sampled. The mass flow rate of particulate matter in the stack can be calculated from the
concentration and the velocity of gas in the stack.
Rather than be prescriptive about the equipment that can be used for sampling particulates,
the trend now is towards standards that lay down minimum performance and design criteria
for the equipment. Any piece of sampling equipment can be used if it meets these criteria
and is fit for purpose. This last caveat is important as each system may have particular
advantages and drawbacks. These need to be considered when choosing the most suitable
sampling equipment for the measurement in question.
The main differences between particulate sampling equipment, in so far as they affect the
access, facilities and services required, is the configuration of the sample probe and particleseparator device. Sampled particulate is collected on a filter held in a filter holder; the latter

may be arranged on the probe so that it is in the stack (in-stack filtration) or out of the stack
(out-of-stack filtration).
3.8 Positional Requirements for Sampling Particulates.
The following section looks at the requirements for sampling positions for isokinetic sampling
of particulates and multi-phase pollutants. It also provides the requirements for sampling
positions for measuring stack gas velocity. These requirements are taken from BS EN
13284-1:2002.
The general approach for periodic sampling of particulates and aerosols can be summarised
as:
1. Identify a potentially suitable sampling location.
2. Access the stack and check that the gas-flow criteria are met by carrying out an
exploratory survey.
3. Decide on the number and position of the sampling points and install ports and
access to the sampling location.
4. Carry out preliminary velocity traverse to confirm it is satisfactory and proceed with
sampling.
Sampling must be carried out at a suitable location on the stack. Bends, branches,
obstructions, fans and leaks can all cause undesirable variations in the velocity profiles,
which may make the location unsuitable for sampling.
General location of sampling plane
The sampling plane should be situated in a length of straight duct (preferably vertical) with
constant shape and constant cross-sectional area. Where possible, the sampling plane
should be as far downstream and upstream from any disturbance, which could produce a
change in direction of flow (e.g. bend, fan or a partially closed damper).
Preliminary surveys (including a gas velocity survey) of a proposed location should
determine whether flow criteria are met. If not, then a more suitable sampling location should
be selected. However, problems with meeting the criteria sometimes occur with older
installations where it is not always practicable to move the sampling plane to a better
location because of safety considerations, cost, or the design of the stack. When this occurs,
it may be possible to improve representative sampling by increasing the number of sampling
points.
For metal or other thin-walled ducts or chimneys, 13mm diameter pilot holes, drilled through
the flue wall on the centres of the proposed sample access holes, may enable a small bore
Pitot-static tube and thermocouple probe of suitable length to be used for this purpose. The
use of such temporary access holes distinguishes the exploratory velocity traverse from the
preliminary velocity survey. The latter must be performed through permanent access ports. It
is important that this approach is followed, so that the sample plane location is shown to be
suitable before installing comprehensive and expensive sampling access and facilities on a
stack.

A preliminary velocity traverse should be carried out before sampling is carried out at a
location for the first time. To establish that a sampling location is suitable, measurements of
gas velocity should be carried out at equally spaced points along each proposed sampling
line. Measurements at these sampling points must demonstrate that the gas stream at the
sampling plane meets the requirements contained in TGN M1. If the results do not conform
to the flow-stability criteria, another sample location should be found.
The number of sampling points required is determined by the size of the stack and whether it
is circular or rectangular. The sampling plane is divided into equal areas and samples are
taken from points in the centres of these areas.

Figure 1. Example sampling points in a circular stack (taken from TGN M1).
3.9 Periodic Sampling of Gases.
For monitoring gases, the range of sampling equipment and apparatus is very wide.
However, they can be grouped conveniently into automated techniques and manual
techniques. For automated techniques, the sampling and quantification stages are
conventionally considered to take place almost simultaneously, within an analyser. With
manual techniques, the sample is taken and then the quantification and analysis takes place
as a discrete, later stage.
The main steps in measuring gaseous pollutants are as follows:
Stage 1: representative sample of source gas extracted through a probe and filtered;

Stage 2: gases collected in an appropriate medium;

Stage 3: the sampled substance is analysed using an appropriate technique.
When gases are measured using automated/instrumental techniques, such as gas
analysers, Stage 2 is omitted, and the sample goes directly to the analysis stage (Stage 3).
In contrast, when gases are measured using manual techniques, Stage 3 is usually carried
out away from the site at an analytical laboratory.
The location requirements for measuring gas concentrations are less exacting than for
particulates, as variations in velocity tends not to affect the homogeneity of the gas
concentration. This means that the proximity to bends, branches, obstructions and fans is
less important. However, sampling after the ingress of dilution air must be avoided.
However, sometimes it is necessary to report mass emissions rates, such as g s-1, to
demonstrate environmental compliance, or for pollution inventory reporting or emissions
trading purposes.
Calculation of mass emissions rate requires the measurement of gas volumetric flow-rate
through the duct. This requires velocity measurements to be taken at different points across
the sampling plane. Measurements to determine stack-gas velocity and volumetric flow rate
should be made in accordance with ISO 10780:1994 or BS EN13284-1. A suitable sampling
location should therefore conform to the particulate monitoring flow-stability requirements.
3.10 Criteria for Locating a Sampling Plane for Gas Concentrations.
Ideally, sampling should be carried out from a sampling position where the gases are
homogeneous and there is positive gas flow.
For the proposed sampling location, it is necessary to determine any spatial or temporal
fluctuations in the gas concentration(s) by carrying out a preliminary survey of the gas
concentration using the grid measurement approach described for particulates.
ISO/DIS 10396:2007 states that a traversing gas sampling probe should be used to measure
the concentration(s) at a minimum of twelve points located at sampling locations specified in
ISO 9096:2003. The concentration is measured for a minimum of two minutes at each
traverse point using an automated analytical method. While the traverse is carried out,
temporal variations in the flue gas are accounted for by a second set of measurements taken
at a fixed point in the stack.
The pollutant is considered to be homogenous (i.e. not stratified) if the concentration at each
individual traverse point differs by no more than 10% from the arithmetic average
concentration for all of the traverse points.
If the gas is shown to be homogenous, it is only necessary to sample at one point within the
stack to determine the average concentration. The sample point used should be positioned
one-third to halfway in the stack.

If the gas is not homogenous (i.e. it is stratified), either a different sample location should be
found or a grid measurement approach should be used. CEN standard (prEN 15259
published in 2007) provides a procedure for representative sampling of inhomogeneous
gases using a grid measurement approach. In summary, the grid measurement approach for
sampling gases follows the same principles as particulate sampling.
However, unlike sampling for particulates, when using an instrumental technique the
concentration is determined directly at each sampling point in the plane. Also, the rate at
which the gas is sampled at each sampling point is not adjusted according to the stack gas
velocity. Instead, the sample mass flow per partial area is determined by ensuring the
sampling time spent at each sampling point is proportional to the velocity at each point.
3.11 Continuous Monitoring.
Industrial companies regulated by the Environment Agency under Pollution Prevention and
Control (PPC) are required to measure emissions from their chimney-stacks and flues.
Continuous monitoring of these emissions ensures that the environment is being properly
protected and helps the companies to manage their impact on the environment.
Continuous emission monitoring systems (CEMs) are instruments that are used to make
measurements in the hostile environments of industrial chimney stacks, flues and ducts,
often over widely varying process operating conditions.
In many applications, the calibration of the CEM is established by comparison with
simultaneous measurements obtained using a standard reference method. Wherever
possible, the CEMs and manual monitoring locations should be in proximity. Further
information is contained in BS EN 14181:2004 and the EA TGN M20.
For CEMs measuring particulates, the location of the CEM should be in proximity to the
manual particulate monitoring location, which is determined by the requirements of BS
EN13284-1: 2002. For CEMs that measure gases, the location of the CEM should be in
proximity to the manual gas monitoring location, which is determined by the requirements of
ISO10396.
The positional requirements for CEMs measuring gas volumetric flow rate are specified in
BS ISO 14164.
3.12 Isokinetic Sampling.
Due to the wide range of particle sizes normally present in process emission streams, it is
necessary to sample isokinetically to ensure that a representative sample of the particulate
emission is obtained. Only very fine particles below 5 microns aerodynamic diameter behave
like a gas and do not normally require isokinetic sampling. Isokinetic sampling is achieved
when the gas enters the sampling nozzle at the same velocity and direction as the gas
travelling in the stack or duct.

If the sampling velocity is less than the isokinetic ratio (usually expressed as a percentage)
the actual volume sampled will be less than it should be. At first sight, it would appear that
the emission will be underestimated. However, because the sampling rate is too low, there is
a divergence in flow around the sampling inlet. Small particles are able to follow the flow and
a percentage of them will not be sampled. Larger particles, on the other hand, are not able to
follow the flow because of their greater inertia and more of these particles will enter the
sampler. Thus a sub-isokinetic sampling ratio will lead to a bias in the sampled particle size
distribution towards the larger particles. This could lead to an overestimate of the particulate
concentration depending on the original size distribution.
Sampling at a rate in excess of the isokinetic ratio will lead to a bias in the sampled particle
size distribution towards the smaller particles. This could lead to an underestimate of the
emission concentration depending on the original size distribution.
3.13 Determining the Isokinetic Ratio.
To perform isokinetic sampling, it is necessary to calculate the required sampling flow rate to
ensure that the velocity of the gas entering the nozzle is the same as the velocity of the
stack gas at the sampling plane. This takes into account the velocity of the gas in the stack
at the sampling point and the effective diameter of the sampling nozzle.
Sampling flow rate = area of nozzle x velocity of gas entering nozzle.
By comparing the velocity of the gas at the nozzle with the velocity of the stack gas at the
sampling plane, the isokinetic ratio is determined.
Isokinetic ratio (%) = velocity at the nozzle/velocity of stack gas x 100.
It is also possible to check for isokinetic sampling compliance by comparing the required
sampling flow rate to the actual sampling flow rate performed during the monitoring.
Isokinetic ratio (%) = actual sampling flow rate/requires sampling flow rate x 100.
BS EN 13284-1:2001 states that for the determination of low range mass concentration of
dust, if the mean actual isokinetic ratio during the sampling at the sampling plane differs by
more than -5 to +15%, the measurement is not valid.
3.14 In-Situ or Extractive Monitoring.
As the term suggest, monitoring can be done in-situ (i.e. within the stack itself) or extractive
(sample withdrawn from the stack). Both periodic and continuous monitoring can be
performed using in-situ or extractive techniques.
Remote sensing
Remote sensing methods allow measurements to be made directly in the atmosphere

without obtaining samples. The average concentration of a specifically targeted pollutant is

determined over an extended measurement path, rather than at a localised point.
Some methods allow the concentration to be spatially resolved. Others give the average
concentration over the whole path length, which finds application in assessing the transfer of
pollutants across site boundaries and along roads and runways, but the difficulty of
interpreting integrated-path data should be recognised.
Differential optical absorption spectroscopy (DOAS) instruments such as OPSIS use a
double-ended system which measures the average concentration between the instrument
and a reflector up to hundreds of metres away. The system is able to measure many
common pollutants including SO2, NO, NO2, H2S, O3, benzene, toluene, xylenes and
formaldehyde.
Laser interferometry detection and ranging (LIDAR) can measure aerosol particles, and
differential absorption LIDAR (DIAL) is able to carry out range-resolved measurements of
specific pollutants (e.g. SO2, NO2, O3) over several kilometres by analysing backscattered
laser radiation.
LIDAR and DIAL are particularly suitable for producing two-dimensional or three-dimensional
maps of pollutant concentrations over large areas such as industrial complexes.
Measurement by remote sensing techniques tends to be expensive because of the
complexity and sophistication of the equipment and data handling facilities.
Remote methods lend themselves to mobile sampling: this may be vehicle-mounted
instruments for carrying out measurements at a large number of locations, or for measuring
the pollution concentration profile along a given route.
Systematic traversing of a plume emitted from an elevated point source is an application well
suited to mobile monitoring systems but, because meandering of the plume tends to distort
the pattern, each traverse gives only an approximation to the instantaneous cross-wind
spread of the plume and several hours sampling are required to define the plume envelope
in a way that could be related to patterns observed from fixed networks.
Airborne systems using in-situ continuous analysers have been used for some specialist
applications, such as tracking power station plumes across the North Sea. Such systems
have the advantage of greater freedom of movement, three-dimensional capability and

higher speed of traverse, but are of course so expensive as to be only justified for specialist
investigations.
3.15 BS 1747 Methods for the Measurement of Air Pollution.
There are nine BS 1747 standards currently available from the British Standards
Institution (http://www.bsistandards.co.uk/ ):
BS 1747-1:1969 Methods for the Measurement of Air Pollution: Deposit gauges.
BS 1747-2:1969 Methods for the measurement of air pollution: Determination of
concentration of suspended matter.
BS 1747-3:1969 Methods for measurement of air pollution. Determination of sulphur dioxide.
BS 1747-5:1972 Methods for the measurement of air pollution. Directional dust gauges.
BS 1747-6:1983 Methods for measurement of air pollution. Sampling equipment used for the
determination of gaseous sulphur compounds in ambient air.
BS 1747-9:1987 Methods for measurement of air pollution. Determination of the mass
concentration of nitrogen oxides in ambient air: chemiluminescence method.
BS 1747-11:1993 Methods for measurement of air pollution. Determination of a black smoke
index in ambient air.
BS 1747-12:1993 Methods for measurement of air pollution. Determination of the mass
concentration of ozone in ambient air: chemiluminescence method.
BS 1747-13:1994 Methods for measurement of air pollution. Determination of the particulate
lead content of aerosols collected on filters: atomic absorption spectrometric method.
Just one BS 1756 standard is currently available, BS 1756-4:1977Methods for sampling and
analysis of flue gases. Miscellaneous analyses.
3.16 Dust Measurement.
Deposit gauges are one of the most frequently used methods for measuring particulates,
especially around waste establishments. However, they do have limitations:

the presence of the gauge introduces a disturbance into the falling pattern of particles
and the results obtained may differ significantly from the true deposition values for
the area;
only the very largest and densest particles fall at an angle approaching the vertical
with most particles being deposited at a shallow angle to the horizontal. As a result,
gauges having upward-facing collecting surfaces will collect a different fraction of
particulate matter from those with vertical inlets such as the directional deposit
gauge.

Results from measurements of deposited particulate matter are expressed in terms of mass

of deposited material per metre square per day (mg/m2/day).

There are two types of dust gauge: those that collect deposited particulates from all
directions, and those that collect from one direction only.
Non-directional dust gauges
The British Standard (BS) Deposit Gauge measures ambient dust deposition, both dry
deposited and wet deposited. Due to concerns about its efficiency, this type of gauge is no
longer in common use, but is still encountered from time to time so is included here.
Individual exposure periods of up to one month form part of long-duration (e.g. one year)
sampling programmes. The gauge consists of a metal stand supporting an upward-facing
collecting bowl, 1.2 m above the ground.
Flexible tubing connects the bowl to an inverted funnel on a collecting bottle (20 litre
capacity). At the end of the sampling period, the contents of the bowl are washed down into
the collecting bottle using distilled water. In the laboratory, the insoluble deposited material is
separated from the liquid by gentle vacuum filtration, dried and determined gravimetrically.
The results depend upon the height of the bowl above ground level, the weather conditions
(especially rainfall, wind speed and wind direction) and the nature of the site itself (surface
type, distance from buildings). The shallow design of the collector bowl used in this type of
gauge is thought to lead to sample losses during high winds.
The International Standard Deposit Gauge is generally regarded as having a better
performance than the BS Deposit Gauge. It uses an upward-facing polythene cylindrical
container (400 mm deep x 200 mm diameter) with the top edge bevelled at 45. The
collector is supported in a wire basket (with a bird-guard) set on a metal stand so that the top
of the cylinder is approximately 1.7 m above the ground (Figure 1). Before exposure, distilled
water and algaecide are added. Sampling periods of one month are normally used. After
sampling, the collector is removed to the laboratory and the insoluble deposited matter is
separated by vacuum filtration, dried and weighed. Deposition results are accompanied by
the relevant rainfall data.
Figure 1 ISO Gauge (left), Frisbee Gauge (centre) and BS1747/CERL Directional Gauge
(right)

3.17 Directional Dustfall Measurement.

For routine directional dustfall measurement, the BS 1747 directional gauge is
recommended. However, if there is a need to distinguish the source of the pollution from
multiple possible sources, then the superior performance of the Warren Spring Laboratory
(WSL) Wedge Dust Flux Gauge would be preferable.
Directional gauges find common application on the perimeter of waste facilities and can be
used to measure the contribution of deposited dust from the facility compared to the general
background level.
The most widespread UK technique uses the British Standard BS 1747 (also known as the
CERL-type) directional gauge, designed to capture particulates traveling horizontally into
each of four sampling tubes set at right angles to each other (Figure 1). The unit is attached
to a vertical support stand and at the base of each sampling tube is a collecting bottle (1 litre
capacity). The gauge is positioned so that either the open sampling slot of each tube lines up
with the four ordinate points of the compass, or one of the slots points towards the centre of
the waste facility. Sampling periods of about ten days to one month are usual and, as with
the BS Deposit Gauge, long sampling programmes of about one year are necessary.
At the end of a sampling period, dust collected on the inside of each sample tube is washed
down into its collecting bottle using a known volume of distilled water. In the laboratory, the

aqueous suspension of the dust is placed in a water-filled glass cell, and a measure of the
dust loading is estimated by the amount of obscuration of a beam of light passing through
the cell.
However, this quantification method has disadvantages because it can be applied only in the
case where a very large percentage of the total dust comes from one source and when that
dust has an approximately reproducible composition and density. This may be applicable for
measurements around a waste site in open countryside, but it is unlikely to be the case in a
mixed industrial area.
An alternative method of quantifying the insoluble deposited material is to separate it from
the liquid by gentle vacuum filtration, followed by drying and gravimetric determination. The
results are then expressed in the normal way as mass per square metre per day for each
direction. The results are affected by the same factors described for the BS Deposit Gauge,
although it must be stressed the results from the two gauges are not comparable.
The Warren Spring Laboratory (WSL) Wedge Dust Flux Gauge has no pump but its design
creates near-isokinetic flow-driven sampling, giving high collection efficiency which is
relatively independent of particle size and wind speed. The main assembly consists of a
tripod stand supporting a plastic-coated aluminium wedge containing a foam filter. The
sampling unit is counterbalanced and fitted with a wind vane so that it easily rotates to face
into the wind. The gauge can be used in a directional or total flux mode. When used in pairs
in the directional mode, the particulate emissions from a particular source can be assessed.
Figure 2.An example of a BS 1747 directional gauge.

3.18 Other Techniques.

The dust soiling meter was developed specifically for assessing the annoyance effect of
deposited dust on glossy surfaces. Traditionally, a large proportion of dust complaints from
the public concern soiling of glossy surfaces, such as window sills or motor vehicles. The
application of this technique therefore tends to differ compared to deposit gauges, which
provide an overall measure of dustfall.
A clean microscope slide is exposed for (typically) one week. The slide is positioned
horizontally on a surface between 1 m and 2 m above the ground. The dustiness of the
exposed slide is quantified using a dust meter by measuring the reduction in reflectance
relative to a clean unexposed slide. Since the technique uses inexpensive microscope slides
as samplers, a large or detailed survey can be carried out for modest cost. The sampling
period need not be restricted to dry or calm weather conditions: the method is designed to
reflect real conditions which give rise to surface soiling and allows the net effect of dust
deposition and erosion to be measured.
A number of other simple techniques may be used as inexpensive alternatives to standard
deposit gauges. The results are either qualitative or semi-quantitative only, but may be
useful for comparative purposes and for identifying problem areas for more detailed
investigation.
A frequently employed technique uses sticky plates (glass Petri dishes coated in petroleum
jelly), which due to their low cost, may be deployed in large numbers. The surface coating
prevents re-entrainment of deposited particulates but is ineffective during wet periods.

Sampling periods of between one day and one month are normally suitable, depending on
the application. The collected particulates are usually assessed by optical microscopy. A
semiquantitative gravimetric determination is possible if dried before and after sampling at
about 40C, although strong sunlight can cause weight losses.
Question 7.
Gas enters the sampling nozzle at the same velocity and direction as the gas is travelling in
the stack or duct - this is a description of what type of stack emission monitoring?
Multiple Choice (HP)
Answer 1:

Sampling plane

Response 1:
Jump 1:

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Answer 2:

Isokinetic Sampling

Response 2:
Jump 2:

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Answer 3:

Grab Sampling

Response 3:
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4.0 Principles of Analysis.

Gravimetric analysis
Gravimetric analysis is the quantitative determination of a substance by precipitation,
followed by isolation and weighing of the precipitate. By definition, it includes all methods of
analysis in which the final stage of the analysis involves weighing. In the most basic case,
this could involve simply heating a sample to dryness and weighing to determine the amount
of volatile components.
In the analysis of air pollution, gravimetric analysis is commonly used for measuring the
components of airbourne dust, fumes and fine particles (PM10 and PM4.5).
The lower limit of detection of gravimetric analysis is determined primarily by the length of
the sampling period, the sensitivity of the balance and the weight stability of the substrate
(e.g. filter) used to collect and weigh the sample. These factors should be chosen to ensure,
whenever possible, that the lower limit of detection is an order of magnitude lower than the
appropriate exposure limit.
In principle, a measured volume of air is drawn through a collection substrate such as a filter

mounted in a sampler and the mass of dust collected is determined by weighing the
substrate before and after sampling.
The Health and Safety Laboratory produce a series of fact sheets on Methods for the
Determination of Hazardous substances (MDHS). MDHS 14/3 is called General Methods for
sampling and gravimetric analysis of respirable and inhalable dust and is available at:
http://www.hse.gov.uk/pubns/mdhs/pdfs/mdhs14-3.pdf
4.1 Microscopic Analysis.
Samples of particulates obtained from smoke, dust, grit, fumes etc can be analysed
microscopically to aid identification and characterisation which in turn may help in identifying
the source, if unknown.
Optical Light Microscopy uses the visible, or near-visible, portion of the electromagnetic
spectrum whereas Scanning Electron Microscopy (SEM) analyses the surface of solid
objects, producing images of higher resolution than optical microscopy. SEM produces
representations of three-dimensional samples from a diverse range of materials.
Gas liquid chromatography
Gas-liquid chromatography involves a sample being injected onto the head of the
chromatographic column. The sample is transported through the column by the flow of inert,
carrier gas. The column itself contains a liquid stationary phase which is adsorbed onto the
surface of an inert solid. The principle is that the gaseous components of the air sample
injected take different lengths of time to pass through the column depending upon their
chemical structure. By using known gases as standards, it is possible to identify the
components within the unknown sample based upon the time it takes them to pass through
the column. Different columns are used to separate different components.
A schematic diagram of a gas chromatograph is as follows:

The modern gas chromatograph is a fairly complex instrument, mostly computer controlled.
The samples are mechanically injected, the analytical results are automatically calculated
and the results printed out, together with the pertinent operating conditions in a standard
format.
In air pollution analysis, gas chromatography can be used for odour analysis, along with
mass spectroscopy.

4.2 Mass Spectrometry.

Mass spectrometry is an analytical tool used for measuring the molecular mass of a sample.
For large samples such as biomolecules, molecular masses can be measured to within an
accuracy of 0.01% of the total molecular mass of the sample.
For small organic molecules, the molecular mass can be measured to within an accuracy of
5 ppm or less, which is often sufficient to confirm the molecular formula of a compound. In
environmental work, mass spectrometry is often used to identify organic pollutants such as
Poly Aromatic Hydrocarbons (PAHs) and polychlorinated biphenyls (PCBs).
Mass spectrometers can be divided into three fundamental parts, namely the ionisation
source, the analyser and the detector.
The sample has to be introduced into the ionisation source of the instrument. Once inside,
the sample molecules are ionised and the ions extracted into the analyser region of the
mass spectrometer where they are separated according to their mass-to-charge ratios. The
separated ions are detected and this signal sent to a data system where the mass-to-charge
ratios are stored together with their relative abundance for presentation in the format of a
spectrum.
The analyser and detector of the mass spectrometer - and often the ionisation source too are maintained under high vacuum to give the ions a reasonable chance of travelling from
one end of the instrument to the other without any hindrance from air molecules. The entire
operation of the mass spectrometer - and often the sample introduction process also - is
under complete data system control on modern mass spectrometers.
4.3 Atomic Absorption Spectrophotometry.
Atomic absorption spectrophotometry is an analytical technique used to measure a wide
range of elements in materials such as metals, pottery and glass.
The sample is accurately weighed and then dissolved, often using strong acids. The
resulting solution is sprayed into the flame of the instrument and atomised (see schematic
diagram). Light of a suitable wavelength for a particular element is shone through the flame,
and some of this light is absorbed by the atoms of the sample.
The amount of light absorbed is proportional to the concentration of the element in the
solution and hence in the original object.
Measurements are made separately for each element of interest in turn to achieve a
complete analysis of an object and thus the technique is relatively slow to use. However, it is
very sensitive and it can measure trace elements down to the part-per-million level, as well
as being able to measure elements present in minor and major amounts.

A schematic diagram of atomic absorption spectrometer

4.4 Chemiluminescence.
Chemiluminescence is the emission of light (luminescence) without the emission of heat as
the result of a chemical reaction. For example, chemicals A and B react to form an excited
intermediate [*], which quickly decays to form the final product of the reaction:
A + B [*] Product + light
The decay of the excited state[*] to a lower energy level is responsible for the emission of
light. In theory, one photon of light should be given off for each molecule of reactant, but in
actual practice, non-enzymatic reactions are seldom this efficient. However, the amount of
light emitted is proportional to the amount of reactant.
Nitrogen dioxide is measured using chemoluminescence in commercial analytic instruments
which take advantage of the fact that when ozone (O3) is combined with nitric oxide it forms
nitrogen dioxide in an activated state:
NO + O3 NO2[*] + O2
The activated NO2[*] luminesces visible to infrared light as it reverts to a lower energy state.
A photomultiplier and associated electronics count the photons which are proportional to the
amount of NO present.

To determine the amount of nitrogen dioxide (NO2) in a sample, it must first be converted to
nitric oxide (NO) by passing the sample through a catalytic converter before the above
ozone activation reaction is applied. The ozone reaction produces a photon count
proportional to NO which is itself proportional to NO2 before it was converted to NO.
In the case of a mixed sample containing both NO and NO2, the above reaction yields the
amount of NO and NO2 combined in the air sample, assuming that the sample is passed
through the converter.
If the mixed sample is not passed through the catalytic converter, the ozone reaction
produces activated NO2[*] only in proportion to the NO in the sample (because the NO2 in the
sample is not activated by the ozone reaction). Though unactivated NO2 is present with the
activated NO2[*], photons are only emitted by the activated species which is proportional to
original NO.
The final step therefore is to subtract NO from (NO + NO2) to yield NO2.
4.5 Electrochemical Cells.
The Electronic Nose is a generic term applied to a type of instrument which responds to the
volatile chemicals in a sample by producing a pattern of electrical changes across an array
of electro-chemical sensors.
The sensor array, fitted within a specific instrument, will have been selected for a particular
type of odour and then the instrument is trained for the specific odour-related task it is
required to perform. Instruments are therefore task-specific to a large extent.
The instrument responds to a change in the overall profile; if one component changes in
concentration, then the relative concentration of all other components will change, although
the instrument generally would not be able to identify which component caused the change.
IR/UV Spectrometry
Infrared (IR) spectroscopy theory states that a molecule may absorb infrared radiation of the
appropriate frequency to excite it from one vibrational or rotational level to another. When a
beam of infrared energy, covering a broad frequency range, passes through a sample, the
energy at certain frequencies is absorbed by the sample. A graph of energy absorbed versus
frequency is the absorbtion spectrum of the sample. The spectrum is characteristic of the
particular molecule and its molecular motions.
For small molecules, bond lengths and angles can be determined from infrared spectra. For
large molecules, the pattern of absorbances in the spectrum is characteristic of the
functional groups in the molecule. The spectrum can be thought of as a fingerprint of that
chemical species and therefore, infrared spectroscopy can be used for quantitative analysis

because the intensity of absorbtion is proportional, among other things, to the amount of the
species present.
Figure 3. A Fourier transformed IR spectrometer

Ultraviolet/visible absorption spectroscopy works in a similar way and is useful as an

analytical technique for two reasons. First, it can be used to identify some functional groups
in molecules and secondly, it can be used for assaying. This second role determining the
content and strength of a substance is extremely useful.
Question 8.
_____ is the quantitative determination of a substance by precipitation followed by isolation
and weighing of the precipitate.
Multiple Choice (HP)
Answer 1:

Atomic absorption spectrophotometry

Response 1:
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Answer 2:

Mass spectrometry

Response 2:
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Answer 3:

Gravimetric analysis

Response 3:
Jump 3:

Next page

Answer 4:

Gas liquid chromatography

Response 4:
Jump 4:

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Question 9.
_____ is an analytical technique used to measure a wide range of elements in materials
such as metals, pottery and glass. The sample is accurately weighed and then dissolved,
often using strong acids.
Multiple Choice (HP)
Answer 1:

Atomic absorption spectrophotometry

Response 1:
Jump 1:

Next page

Answer 2:

Mass spectrometry

Response 2:
Jump 2:

This page

Answer 3:

Gravimetric analysis

Response 3:
Jump 3:

Next page

Answer 4:

Gas liquid chromatography

Response 4:
Jump 4:

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5.0 Control Strategies and Measures.

There is a range of engineering and procedural control measures and strategies which can
be applied to eliminate, or where not possible, reduce or render harmless emissions to the
atmosphere.
Control of Particulate Emissions
Assuming that the mass of material entering a collection device (Ma) = mass escaped (Mb) +

mass collected (Mc), then the efficiency of the collection device = Mc / Ma

There are three main ways to collect particulate matter:

force the particles to move towards a collecting surface;

move a collecting surface toward the particles;

filter through a sieve.

Collectors include inertial collectors, cartridge collectors, wet scrubbers and electrostatic
collectors.
5.1 Inertial Separators/Collectors.
Inertial separators separate dust from gas streams using a combination of forces, such as
centrifugal, gravitational and inertial. These forces move the dust to an area where the
forces exerted by the gas stream are minimal. The separated dust is moved by gravity into a
hopper, where it is temporarily stored.
The three primary types of inertial separators are:

Settling chambers.

Baffle chambers.

Centrifugal collectors.

Neither settling chambers nor baffle chambers are commonly used in the minerals
processing industry. However, their principles of operation are often incorporated into the
design of more efficient dust collectors.
A settling chamber consists of a large box installed in the ductwork. The sudden expansion
of size at the chamber reduces the speed of the dust-filled airstream and heavier particles
settle out.
Settling chambers are simple in design and can be manufactured from almost any material.
However, they are seldom used as primary dust collectors because of their large space
requirements and low efficiency. A practical use is as precleaners for more efficient
collectors.

Such settling chambers can collect large particles such as grit and dust of 40-100 m in
diameter but have a low efficiency on dust particles below 10 m in diameter.
Baffle chambers use a fixed baffle plate that causes the conveying gas stream to make a
sudden change of direction. This slows the gas flow which increases collection, and largediameter particles do not follow the gas stream but continue into a dead air space and settle.
A re-circulating baffle collector may use horizontal baffles just 2.5 cm apart. Baffle chambers
are used as precleaners.

Inertial or centrifugal collectors, sometimes called cyclones, use centrifugal forces which
can exert a greater force than gravity and so have a greater efficiency (a Dyson vacuum
cleaner will collect smaller particles than a gravity collector). In a typical cyclone, the dust
gas stream enters at an angle and is spun rapidly. The centrifugal force created by the
circular flow throws the dust particles toward the wall of the cyclone. After striking the wall,
these particles fall into a hopper located underneath.
Single cyclone separators create a dual vortex to separate coarse from fine dust. The main
vortex spirals downward and carries most of the coarser dust particles. The inner vortex,
created near the bottom of the cyclone, spirals upward and carries finer dust particles.

The denser the gas, the more it supports the particles. The viscosity of the gas is dependent
upon temperature, so this effects the efficiency of the cyclone, as does the geometry, gas
velocity, gas density, particle density etc.
To obtain a higher centrifugal force, a higher velocity is required as well as a higher mass of
particle and a lower radius of path (radius of cyclone) so that the gas travels faster.
A bank of small cyclones is more efficient than one large one (hence Dyson multi-cyclone
vacuum cleaners). Also known as multiclones, they consist of a number of small-diameter
cyclones, operating in parallel and having a common gas inlet and outlet, as shown in the
figure. Multi-clones operate on the same principle as cyclones - creating a main downward
vortex and an ascending inner vortex.

Multiclones are more efficient than single cyclones because they are longer and smaller in
diameter. The longer length provides longer residence time while the smaller diameter
creates greater centrifugal force. These two factors result in better separation of dust
particulates. The pressure drop of multiclone collectors is higher than that of single-cyclone
separators. Banks of 50 or more cyclones are used in the cement industry to collect particles
to 10-15 m.
A turbine can be used within the cyclone to increase the centrifugal force. It can increase

efficiency by up to seven times, but needs power to turn the vane. In some circumstances
this can act as an exhaust fan as well as a collector. Unfortunately, the turbine cannot
handle wet material and has a low-velocity blade which spins at 400-800 rpm.
Question 10.
The main ways to collect particle matter include...........
Multiple Choice (HP)
Answer 1:

Having more collecting surface towards the particle

Response 1:
Jump 1:

This page

Answer 2:

Filtering through a sieve

Response 2:
Jump 2:

This page

Answer 3:

Forcing particles to move towards a collecting surface

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

5.2 Air Filters.

An air filter is a device which is most commonly used to remove contaminants, often solid
particulates such as dust, pollen, mould and bacteria from ambient air.
Air filters are used in application where air quality is important, notably in building ventilation
systems, internal combustion engines, gas compressors, diving air compressors and gas
turbines. Some applications in buildings and aircraft use foam, pleated paper or spun
fibreglass filter elements. Another method uses fibres, felt or elements with a static electric
charge, which attract dust particles. The air intakes of internal combustion engines and
compressors tend to use either paper, foam or cotton filters.
The technology of air intake filters of gas turbines has improved significantly in recent years,
due to improvements in the aerodynamics and fluid-dynamics of the air-compressor part of
the gas turbines. These are one of the most efficient and cost effective types of dust

collectors available and can achieve a collection efficiency of more than 99% for very fine
particulates.
Dust-laden gases enter the baghouse and pass through fabric bags that act as filters. The
bags can be of woven or felted cotton, synthetic, or glass-fiber material in either a tube or
envelope shape. The high efficiency of these collectors is due to the dust cake formed on the
surfaces of the bags.

The fabric primarily provides a surface on which dust particulates collect through the
following four mechanisms:
Inertial Collection - Dust particles strike the fibres placed perpendicular to the gas-flow
direction instead of changing direction with the gas stream.
Interception - Particles that do not cross the fluid streamlines come in contact with fibres
because of the fibre size.
Brownian Movement - Sub-micrometre particles are diffused, increasing the probability of
contact between the particles and collecting surfaces.
Electrostatic Forces - The presence of an electrostatic charge on the particles and the filter
can increase dust capture.
A combination of these mechanisms results in formation of the dust cake on the filter, which
eventually increases the resistance to gas flow. The filter must be cleaned periodically.

The three common types of baghouse are classified by the cleaning method:
In mechanical-shaker baghouses, tubular filter bags are fastened onto a cell plate at the
bottom of the baghouse and suspended from horizontal beams at the top. Dirty gas enters
the bottom of the baghouse and passes through the filter, and the dust collects on the inside
surface of the bags.
Cleaning a mechanical-shaker baghouse is accomplished by shaking the top horizontal bar
from which the bags are suspended. Vibration produced by a motor-driven shaft and cam
creates waves in the bags to shake off the dust cake.

Shaker baghouses range in size from small, handshaker devices to large,

compartmentalised units. They can operate intermittently or continuously.
Intermittent units can be used when processes operate on a batch basis - when a batch is
completed, the baghouse can be cleaned.
Continuous processes use compartmentalised baghouses; when one compartment is being
cleaned, the airflow can be diverted to other compartments.
The air to cloth ratio for shaker baghouses is relatively low, hence the space requirements
are quite high. However, because of the simplicity of design, they are popular in the minerals
processing industry.
In reverse-air baghouses, the bags are fastened onto a cell plate at the bottom of the
baghouse and suspended from an adjustable hanger frame at the top. Dirty gas flow
normally enters the baghouse and passes through the bag from the inside and the dust
collects on the inside of the bags.
Reverse-air baghouses are compartmentalised to allow continuous operation. Before a
cleaning cycle begins, filtration is stopped in the compartment to be cleaned. Bags are
cleaned by injecting clean air into the dust collector in a reverse direction, which pressurises
the compartment. The pressure makes the bags collapse partially, causing the dust cake to
crack and fall into the hopper below. At the end of the cleaning cycle, reverse airflow is
discontinued and the compartment is returned to the main stream.

The flow of the dirty gas helps maintain the shape of the bag. However, to prevent total
collapse and fabric chafing during the cleaning cycle, rigid rings are sewn into the bags at
intervals.
Space requirements for a reverse-air baghouse are comparable to those of a shaker
baghouse; however, maintenance needs are somewhat greater.
In reverse-jet baghouses, individual bags are supported by a metal cage, which is fastened
onto a cell plate at the top of the baghouse. Dirty gas enters from the bottom of the
baghouse and flows from outside to inside the bags. The metal cage prevents collapse of
the bag.
Bags are cleaned by a short burst of compressed air injected through a common manifold
over a row of bags. The compressed air is accelerated by a venturi nozzle mounted at the
top of the bag. Since the duration of the compressed-air burst is short (0.1s), it acts as a
rapidly moving air bubble, traveling through the entire length of the bag and causing the bag
surfaces to flex. This flexing of the bags breaks the dust cake, and the dislodged dust falls
into a storage hopper below.

Reverse-jet dust collectors can be operated continuously and cleaned without interruption of
flow because the burst of compressed air is very small compared with the total volume of
dusty air through the collector. Because of this continuous-cleaning feature, reverse-jet dust
collectors are usually not compartmentalised.
The short cleaning cycle of reverse-jet collectors reduces recirculation and redeposit of dust.
These collectors provide more complete cleaning and reconditioning of bags than shaker or
reverse-air cleaning methods. Also, the continuous-cleaning feature allows them to operate
at higher air-to-cloth ratios, so the space requirements are lower.
5.3 Cartridge Collectors.
Cartridge collectors are another commonly-used type of dust collector. Unlike baghouse
collectors, in which the filtering media is woven or felt bags, this type of collector employs
perforated metal cartridges that contain a pleated, non-woven filtering media. Due to its
pleated design, the total filtering surface area is greater than in a conventional bag of the
same diameter, resulting in reduced air to media ratio, pressure drop, and overall collector
size.

Cartridge collectors are available in single use or continuous duty designs. In single-use
collectors, the dirty cartridges are changed while the collector is off. In the continuous duty
design, the cartridges are cleaned by the conventional pulse-jet cleaning system.
5.4 Wet Scrubbers.
Dust collectors that use liquid are commonly known as wet scrubbers. In these systems, the
scrubbing liquid (usually water) comes into contact with a gas stream containing dust
particles. The greater the contact of the gas and liquid streams, the higher the dust removal
efficiency.
There is a large variety of wet scrubbers; however, all have of three basic operations:
Gas-Humidification - The gas-humidification process conditions fine particles to increase
their size so they can be collected more easily.
Gas-Liquid Contact - This is one of the most important factors affecting collection
efficiency. The particle and droplet come into contact by four primary mechanisms:
1) Inertial Impaction - When water droplets placed in the path of a dust-laden gas stream,
the stream separates and flows around them. Due to inertia, the larger dust particles will
continue on in a straight path, hit the droplets, and become encapsulated.
2) Interception - Finer particles moving within a gas stream do not hit droplets directly but
brush against them and adhere to them.

3) Diffusion - When liquid droplets are scattered among dust particles, the particles are
deposited on the droplet surfaces by Brownian movement, or diffusion. This is the principal
mechanism in the collection of submicrometre dust particles.
4) Condensation Nucleation - If a gas passing through a scrubber is cooled below the
dewpoint, condensation of moisture occurs on the dust particles. This increase in particle
size makes collection easier.
Gas-Liquid Separation - Regardless of the contact mechanism used, as much liquid and
dust as possible must be removed. Once contact is made, dust particulates and water
droplets combine to form agglomerates. As the agglomerates grow larger, they settle into a
collector.
The "cleaned" gases are normally passed through a mist eliminator (demister pads) to
remove water droplets from the gas stream. The dirty water from the scrubber system is
either cleaned and discharged or recycled to the scrubber. Dust is removed from the
scrubber in a clarification unit or a drag chain tank. In both systems, solid material settles on
the bottom of the tank. A drag chain system removes the sludge and deposits it into a
dumpster or stockpile.

5.5 Types of Scrubbers.

Spray-Tower wet scrubbers may be categorised by pressure drop (in inches water gauge) as
follows:

Low- to medium-energy scrubbers (2.5 to 6).

Medium- to high-energy scrubbers (6 to 15) High-energy scrubbers (greater than 15).

There are a large number of commercial scrubbers available and it is not possible to
describe each individual type here. However, the following sections provide examples of
typical scrubbers in each category.
Low Energy scrubbers
In the simple, gravity-spray-tower scrubber, liquid droplets formed by liquid atomised in
spray nozzles fall down the flue through rising exhaust gases. Dirty water is drained at the
bottom. Energy is required to pump the water to the top of the stack (which can be four
storeys high), filter and re-use it.

These scrubbers operate at pressure drops of 1 to 2 in. water gauge and are approximately
70% efficient on 10 m particles. Their efficiency is poor below 10 m. However, they are
capable of treating relatively high dust concentrations without becoming plugged.
Low to medium energy scrubbers
Wet cyclones use centrifugal force to spin the dust particles (similar to a cyclone), and throw
the particulates upon the collector's wetted walls. Water introduced from the top to wet the
cyclone walls carries these particles away.
Pressure drops for these collectors range from 2 to 8 in. water and the collection efficiency is
good for 5 m particles and above.
Medium to high energy scrubbers
Packed-bed scrubbers consist of beds of packing elements, such as coke, broken rock or
other manufactured elements. The packing breaks down the liquid flow into a high-surfacearea film so that the dusty gas streams passing through the bed achieve maximum contact
with the liquid film and become deposited on the surfaces of the packing elements. These
scrubbers have a good collection efficiency for respirable dust.
Three types of packed-bed scrubbers are:

Cross-flow scrubbers.

Co-current flow scrubbers.

Counter-current flow scrubbers.

Efficiency can be greatly increased by minimising target size, using low diameter stainless
steel wire and increasing gas velocity.
High energy scrubbers
Venturi scrubbers consist of a venturi-shaped inlet and separator. The dust-laden gases
enter through the venturi and are accelerated to high speeds. These high-gas velocities
immediately atomise the coarse water spray, which is injected radially into the venturi throat,
into fine droplets. High energy and extreme turbulence promote collision between water
droplets and dust particulates. The agglomeration process between particle and droplet
continues in the diverging section of the venturi. The large agglomerates formed in the
venturi are then removed by an inertial separator.
Venturi scrubbers achieve very high collection efficiencies for respirable dust. Since
efficiency of a venturi scrubber depends on pressure drop, some manufacturers supply a
variable-throat venturi to maintain pressure drop with varying gas flows.
Other options include

washbox scrubber where the gases flow horizontally through a spray of water;
impingement plate scrubber which bubbles the gases through water over a series
of plates;
bubble-cap scrubber which is another way of making the gases bubble through
water to collect fine dusts;
dry scrubber system utilises a substance such as calcium carbonate or activated
charcoal rather than water to be sprayed down the tower to absorb hydrochloric acid
or volatile organic chemicals (VOCs).

5.6 Electrostatic Precipitators.

An electrostatic precipitator (or electrostatic air cleaner) is a particulate collection device that
removes particles from a flowing gas (such as air) using the force of an induced electrostatic
charge.
Electrostatic precipitators are highly efficient filtration devices that minimally impede the flow
of gases through the device and can easily remove fine particulate matter such as dust and
smoke from the air stream.
The most basic precipitator contains a row of thin wires and is followed by a stack of large
flat metal plates, with the plates typically spaced about 1 cm apart.

The air stream flows through the spaces between the wires and then passes through the
stack of plates.
A negative voltage of several thousand volts is applied between the wire and the plate. If the
applied voltage is high enough, an electric (coronal) discharge ionises the particles passing
through with the gases, causing them to stick to the charged plates.

Modern industrial precipitators are excellent devices for control of many industrial particulate
emissions, including smoke from electricity-generating utilities (coal and oil fired), salt cake
collection from black liquor boilers in pulp mills and catalyst collection from fluidised bed
catalytic cracker units in oil refineries to name a few.
These devices treat gas volumes from several hundred thousand ACFM (actual cubic feet
per minute) to 2.5 million ACFM in the largest coal-fired boiler applications.
The original parallel plate weighted wire design (described above) has evolved as more
efficient (and robust) discharge electrode designs are developed. Today, designs focus on
rigid discharge electrodes to which many sharpened spikes are attached, which maximise
corona production.
Transformer-rectifier systems apply voltages of 50-100 kilovolts at relatively high current
densities. Modern controls minimise sparking and prevent arcing, avoiding damage to the
components. Automatic systems remove the collected particulate matter while on line,
allowing electrostatic precipitators to stay in operation for years at a time.

Electrostatic precipitation is typically a dry process, but spraying moisture to the incoming air
flow helps collect the exceptionally fine particulates and helps reduce the electrical
resistance of the incoming dry material to make the process even more effective. A wet
electrostatic precipitator merges the operational methods of a wet scrubber with an
electrostatic precipitator to make a self-washing, self-cleaning yet still high-voltage device.
5.7 Control of Gaseous Emissions.
Volatile Organic Chemical (VOC) control from point sources tend to involve combustion or
recovery systems, with combustion being favoured due to high removal efficiencies possible.
Combustion options include flares, conventional furnaces and thermal and catalytic
incinerators.
Flares are often used to dispose of waste gases during start-up, shut-down or emergencies
and are a vent to atmosphere during which the flammable gases are burnt. Flares can be
used for many different VOCs and are used when the energy value of the emission cannot
be recovered due to uncertain or intermittent flow, e.g. when dealing with landfill gas at some
waste disposal sites.
Since efficient combustion of a flare burning in the open can be difficult to ensure, it may be
preferable to burn the waste gas in a conventional furnace.

Furnaces can be used to create a source of heat from waste gases, as is commonly done in
the steel making industry. On a smaller scale, it can be possible to use air containing VOCs
as the combustion air for a boiler. Destruction efficiencies of over 98% are possible, but care
is necessary to ensure that the waste inflow is not excessive for the efficient combustion
within the boiler.
Thermal incinerators can be used with a wide variety of VOCs arising in continous
emission streams. They are used with dilute mixtures or VOCs in air, with the greatest
concentration limited by safety considerations to 25% of the lowest concentration that may
allow an explosion (the lower explosive limit). The waste gases may have sufficient energy
content to sustain the flame directly, or they may require a supplementary fuel. The cost of
supplying this fuel may be a disincentive to maintain the high temperature required to
destroy some organic compounds and odours (around 800oC), but reducing the temperature
could result in pollution problems. One solution is to use heat recovery from the incinerator
to pre-heat the incoming gases.

Catalytic incinerators are similar to thermal incinerators but use a catalyst (often a metal
such as platinum on a ceramic matrix) to enhance the rate of combustion. This allows the
temperature to be lower, so offering fuel savings which can be improved further using heat
exchange. Care should be taken to ensure the catalyst is not adversly affected by the
pollutant gases being burned.
Recovery options include adsorption, absorption and condensation.
Carbon adsorption is used for both pollution control and solvent recovery and is used when
the VOCs have some commercial value. Activated charcoal is used for trapping offensive
odours, recovering solvents and trapping hazardous gases and vapours. The sorbent (the
adsorbing material) is activated thermally or chemically and has a large surface area to
weight ratio which provides a large area where the gas molecules can become bound
(adsorbed) onto the solid material. In some cases, the carbon may be pretreated with other
substances so that chemical reactions take place with the pollutant and enhance its

collection chemisorption.
For low flow rates, the gas is passed through a thin uniform layer of the activated carbon
held in a bed or filter pack. For larger flow rates, arrangements which increase the surface
area of the carbon are utilised, such as fluidised beds or rotating screens. Once the
activated carbon is covered with a layer of the pollutant the sorbent material must be
removed for disposal or regeneration with steam or a hot clean gas.
This technique is sensitive to the gas stream conditions. High molecular mass compounds
which are less volatile tend to be strongly adsorbed and are therefore difficult to remove
during regeneration, while highly volatile compounds with low molecular mass do not adsorb
so readily. Gases at a high temperature, high humidity or with particulate matter may require
pretreatment.
Absorbers used for gaseous pollutants often involve dissolving the gas in a chemical
solution or involving it in a chemical reaction (especially an oxidation for controlling odours).
Most gas washing or scrubbing procedures involve bringing the polluted gas stream into
close contact with the absorbing reagent. This can be achieved by allowing it to trickle down
through a packed tower while the gas is passed upwards in the opposite direction. The
technology used is similar to that used for scrubbing particulates.
One important factor is the choice of a suitable solvent in which the pollutant is readily
soluble. Many VOCs are not very soluble in water, so aqueous solutions (such as sodium
hypochlorite common bleach) are often used, but for chemical reactions rather than
recovery. In order to deal with low concentrations in an emission, an absorber may have to
be huge and so not very cost effective. Another consideration is the disposal of the absorber
effluent.
Condensers are widely used for recovery and as preliminary pollution control devices
before other systems such as incinerators. The type of coolant used is critical and water may
not meet the emission limits required. Other coolants may be more suitable, but the
technique may still be more suitable for pretreatment than as a single step.
Question 11.
Types of particle collectors include.....
Multiple Choice (HP)
Answer 1:

Cartridge collectors

Response 1:
Jump 1:

This page

Answer 2:

Inertial Collectors

Response 2:
Jump 2:

This page

Answer 3:

Wet scrubbers

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

5.8 Inorganic Gaseous Emissions from Point Sources.

Only a limited number of control options are applicable to inorganic vapour emissions such
as ammonia, hydrogen sulphide, carbon disulphides and certain metal compounds such as
cyanides. Combustion techniques are not widely applicable but flares are used to control
hydrogen sulphide from gas processing and fuel wells. Absorption is the commonest
technique offering efficiencies of over 95%, but as with VOCs, choice of solvent is crucial.
Water is the ideal choice but a waste-water treatment plant is essential.
Sulphur dioxide and nitrogen oxide control from point sources
Sulphur dioxide and nitrogen oxide emissions are inorganic, but are so large that they are
discussed here seperately.
The two EU directives which relate specifically to these emissions are the Framework
Directive on Combatting Air Pollution from Industrial Plants (84/360) and the Large
Combustion Plant Directive (88/609/EEC). The latter set stringent emission limits for SO2,
NOx and particulates.
Flue gas desulphurisation is the current state-of-the art technology used for removing SO2
from the exhaust flue gases in power plants that burn coal or oil. SO2 is now being removed

from flue gases by a variety of methods:

Wet scrubbing using a slurry of sorbent, usually limestone or lime, to remove the
gases from the exhaust flue.

Spray-dry scrubbing using similar sorbent slurries.

Dry sorbent injection systems.

For a typical coal-fired power station, these techniques will remove 95% or more of the SO2
in the flue gases.
SO2 is an acid gas and thus the typical sorbent slurries or other materials used to remove
the SO2 from the flue gases are alkaline. The reaction taking place in wet scrubbing using a
CaCO3 (limestone) slurry producing CaSO3 (calcium sulphite) and can be expressed as:
CaCO3 (solid) + SO2 (gas) CaSO3 (solid) + CO2 (gas)
When wet scrubbing with a Ca(OH)2 (lime) slurry, the reaction also produces CaSO3
(calcium sulphite) and can be expressed as:
Ca(OH)2 (solid) + SO2 (gas) CaSO3 (solid) + H2O (liquid)
When wet scrubbing with a Mg(OH)2 (magnesium hydroxide) slurry, the reaction produces
MgSO3 (magnesium sulphite) and can be expressed as:
Mg(OH)2 (solid) + SO2 (gas) MgSO3 (solid) + H2O (liquid)
Some FGD systems go a step further and oxidise the CaSO3 (calcium sulphite) to produce
marketable CaSO4 2H2O (gypsum):
CaSO3 (solid) + O2 (gas) + 2H2O (liquid) CaSO4 2H2O (solid)
To promote the maximum gas-liquid surface area and contact time, a number of wet
scrubber designs have been used. Common ones are spray tower wet scrubbers, packed
bed scrubbers and venturi scrubbers.
5.9 Scrubbing Reagents.

A newly-emerging flue gas desulphurisation technology has been adopted recently. It is a

radiation technology where an intense beam of electrons is fired into the flue gas at the
same time as ammonia is added to the gas.
The Chendu power plant in China started up such a flue gas desulphurisation unit on a 100
MW scale in 1998. The Pomorzany power plant in Poland also started up a similar-sized unit
in 2003 and that plant removes both sulphur and nitrogen oxides. Both plants are reported to
be operating successfully.
No radioactivity is required or created in the process. The electron beam is generated by a
device similar to the electron gun in a TV set, called an accelerator.
The action of the electron beam is to promote the oxidation of sulphur dioxide to sulphur(VI)
compounds. The ammonia reacts with the sulphur compounds thus formed to produce
ammonium sulphate which theoretically can be used as a fertiliser. In addition, it can also be
used to lower the nitrogen oxide content of the flue gas.
5.10 Fugitive Emissions.
So far, we have only considered the control of emissions from point sources, such as
chimneys and flues. Fugitive emissions are those which are less readily collected into hoods
and ducted along flues and includes emissions from windows, doors and any other route of
exit.
Most control techniques involve prevention, for example:

regular leak detection and repair for ducts, valves and pumps;

dual seal systems;

pressure release valves should vent into a control device;

compressors with mechanical seals should vent into control devices.

5.11 Selecting Appropriate Control Options for Different Types of Substance.

Particulate emissions
It is often said that prevention is better than cure and in some circumstances, it may be
possible to prevent fine particles becoming airborne in the first place.
During the design of new equipment, it may be possible to prevent fine material from being
shaken up into the air, or be allowed to fall through the air or have air passed over it. Even

large molten or liquid droplets can result in the creation of fine airborne particles by the
evaporation of the liquid or a solvent fraction.
Fine ash or fume are likely to be discharged from many combustion or high temperature
processes and better design could minimise this from the outset.
Protective enclosures such as a hood can be placed around processes to capture any
releases of grit, dust or fume. Fans and ducts should lead the polluted air to where it can be
cleaned using appropriate technology.
Particulate collectors vary widely in design, operation, effectiveness, space requirements,
construction and capital, operating, and maintenance costs. Each type has advantages and
disadvantages. However, the selection of a dust collector should be based on the following
general factors:
Particulate concentration and particle size - For minerals processing operations, the dust
concentration can range from 0.1 to 5.0 grains of dust per cubic feet of air and the particle
size can vary from 0.5 to 100 m.
Degree of dust collection required - The degree of dust collection required depends on its
potential as a health hazard or public nuisance, the plant location, the allowable emission
rate, the nature of the dust, its salvage value and so forth.
The selection of a collector should be based on the efficiency required and should consider
the need for high-efficiency, high-cost equipment, such as

electrostatic precipitators;
high-efficiency, moderate-cost equipment, such as baghouses or wet scrubbers; or
lower cost, primary units, such as dry centrifugal collectors.

Characteristics of the airstream - The characteristics of the airstream can have a

significant impact on collector selection. For example, cotton fabric filters cannot be used at
very high temperatures. Also, condensation of steam or water vapor can blind bags. Various
chemicals can attach fabric or metal and cause corrosion in wet scrubbers.
Characteristics of the particles - Moderate to heavy concentrations of many particles
(such as dust from silica sand or metal ores) can be abrasive to dry centrifugal collectors.
Hygroscopic material can blind bag collectors. Sticky material can adhere to collector
elements and plug passages. Some particle sizes and shapes may rule out certain types of

fabric collectors. The combustible nature of many fine materials rules out the use of
electrostatic precipitators.
Methods of disposal - Methods of particulate removal and disposal vary with the material,
plant process, volume, and type of collector used. Collectors can unload continuously or in
batches. Dry materials can create secondary dust problems during unloading and disposal
that do not occur with wet collectors. Disposal of wet slurry or sludge can be an additional
material-handling problem; sewer or water pollution problems can result if waste-water is not
treated properly.
Table 1 lists the characteristics of the three main particulate control systems to aid in the
selection of the technology appropriate to a particular situation and Table 2 lists the
advantages and disadvantages of the three systems.
Table 3 gives the gas characteristics for VOC control technologies and Table 4 gives the
options for some inorganic vapours.
5.12 Gaseous Emissions - Tables 1-4.
Table 1. Selecting appropriate particulate emission controls
Control

Efficiency Particle

device

achievable size range

Temperature

Sensitivity to

Moisture

corrosion or
electrical
resistance

Fabric filter

Over 99%

Least

Typically not to Special fibres

o

Poor efficiency

efficient with exceed 300 C, required to resist

with emission

particles of

but dependent corrosion

streams of high

diameter

upon fabric

or variable

0.1-0.3m

moisture
content

Electrostatic Over 99%

Often least

Generally up to Corrosion-resistant Can be

precipitator

efficient with 500oC

materials needed; designed to

particles of

gases containing

handle high

diameter

highly resistant

moisture

0.2-0.5m

particles may need content, but is

conditioning

sensitive to
moisture
changes

Venturi

Over 99%

scrubber

Usually best No limits

May need special Not sensitive to

with

materials for

particles

corrosive streams content

moisture

over 0.5m

Table 2 Advantages and disadvantages of the main particulate control mechanisms

Fabric filter

Advantages

Disadvantages

Very efficient for fine paricles;

Cannot control high temperature gas

lower pressure drop than venturi streams without pre-cooler; cannot

for fine particles; can collect

control streams with high moisture

resistive particles; efficiency is

content; erosive particles may

independent of inlet loading if

damage filter; need special fabrics for

mechanical shaking or reverse air corrosive streams; mechanical

cleaning is used; simple to

collector required upstream if large

operate.

amounts of large particles are

present.

Electrostatic Can control small particles with

High capital cost; not readily adapted

precipitator

to changing conditions; conditioning

high efficiency; low operating

costs with low pressure drop; can particles may be needed for resistive
collect corrosive and tarry mists;

particles; more sensitive to particle

low power requirement for

loadings than the other options; large

continuous operation; wet

space requirements.

precipitators can collect gaseous

pollutants.
Venturi

Low capital cost; little space

High operating cost due to high

scrubber

required; can control sticky,

pressure drop, especially for small

flammable or corrosive matter;

particles; wastewater treatment and

can collect particles and gases

disposal problems and costs; least

simultaneously; simple to operate efficient for particles below 0.5m

with few moving parts.

diameter.

Table 3. Characteristics of waste gases for VOC control technologies.

Control

Emission stream

device

characteristics

Pollutant characteristics

Organi Calorifi Moistur Flow Temperatur Molecula Solubilit Vapour

c

c value e

rate

Thermal

e (oC)

r mass

pressure at

content (MJ/m ) content (m /s)

ambient

(ppm

temperatur

v/v)

>20

<50

incinerato (<25%
r

of LEL)

Catalytic

50-

<50

incinerato 10,000
r

(<25%
of LEL)

Flare

<106

>10

kg/h
Boiler

>5

Stead
y

Carbon

1,000-

50%

0.15-50

40-100

45-130

adsorber 10,000
(<25%
of LEL)
Absorber 250-

0.5-50

10,000

Must be
readily
soluble in
water or
other
solvent

Condenso >5,000

>1

Table 4 Control options for some inorganic vapours

>10

Inorganic

Absorption

vapour

Removal

Adsorption
Solvent

efficiency (%)
Mercury

95

Removal

Adsorbent

efficiency (%)
Brine/hypochlorite

90

solution

Sulphurimpregnated
activated carbon

Hydrogen

95

Water

98

Sodium

chloride
Hydrogen
sulphide

100

carbonate/water

Ammoniaimpregnated
activated carbon

Hydrogen

85-95

Water

90

Alkali solution

99

Calcined alumina

fluoride
Chlorine

Question 12.
Which of the following is NOT a disadvantage of the electrostatic precipitators as a
particulate control mechanism ...
Multiple Choice (HP)
Answer 1:

Erosive particles may damage the filter

Response 1:
Jump 1:

Next page

Answer 2:

Large space is required

Response 2:
Jump 2:

This page

Answer 3:

Not readily adapted to changing conditions

Response 3:
Jump 3:

This page

5.13 Chimney Dispersion.

One final method of air pollution control, which should only be considered as a control option
when all minimisation and collection technologies have been applied, is dispersion from
chimneys.
As we have seen, in the UKa furnace may not be used unless the height of the chimney
serving it has been approved by the local authority. The height of a chimney determines to
some extent the concentration of combustion products once they return to ground level.
Gravity acts to return larger particles of grit and dust and natural atmospheric turbulence will
also return a proportion of the gases and freely suspended fine particles to ground level.
The higher the point of discharge and the greater the heat of the discharged gases, the more
widespread and diluted the fine particles and gases will be once they do return.
Gases emitted from a chimney have a velocity caused by the fan within the system and will
be buoyant and rise further if they are warmer than the surrounding air.
In the absence of downwash and downdraught, the plume of gases therefore rises above the
height of the chimney due to this momentum and buoyancy. The plume may continue to rise
due to density differences between the hot gases and the atmosphere and the path of the
plume bends over in the direction of the wind.

The plume grows larger by turbulent diffusion and draws air in from the surroundings. It

continues to rise until its buoyancy is outweighed by the turbulence. The effective chimney
height is the actual chimney height plus the plume rise.
Atmospheric conditions have a major role in plume behaviour, as do the effect of turbulence
caused by surrounding buildings. For most buildings, the airflow separates immediately at
the front edge of the building and the resulting region of disturbed airflow surrounds the
building up to twice its height and between five to ten times its height downwind.
Immediately downwind of a building is an area of high turbulence where it is possible that
gases emitted from the chimney may re-enter the building if the chimney was not high
enough. As the height of the eddy on the lee of a building is up to twice the height of the
building, the chimney needs to discharge at this height to avoid re-entry.
It is still possible that the plume may be drawn down to ground level in the lee of the building
in an effect known as downdraught to avoid this, a chimney should be 2.5 times the height
of any building within a radius of twice the chimney height.

Since the chimney itself is a structure which interferes with the wind, a low pressure region is
created immediately downwind of it which may draw in the plume, in an effect known as a

downwash.
Since downwash effectively lowers the height of a chimney, it is avoided by ensuring that the
efflux velocity of the plume is 1.5 times that of the wind speed.
The regulators generally recommend an efflux velocity of at least 15 metres per second.
Question 13.
The advantage of a _____ is that it can control small particles with high efficiency; low
operating costs with low pressure drop; can collect corrosive and tarry mists; low power
requirement for continuous operation; wet precipitators can collect gaseous pollutants.
Multiple Choice (HP)
Answer 1:

Fabric filter

Response 1:
Jump 1:

This page

Answer 2:

Electrostatic precipitator

Response 2:
Jump 2:

Next page

Answer 3:

Venturi scrubber

Response 3:
Jump 3:

This page

Please be advised that the course material is regularly reviewed and updated on the
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Version 1.1c

Element 11 - Water Resources Management.

Overall aims
On completion of this unit, candidates will have knowledge and understanding of:

categorisation of effluents discharged to controlled waters;

specific legislative requirements applying to release of noxious, offensive or polluting
matter to, or abstraction from, controlled waters;
control strategies and measures.

Specific intended learning outcomes

The intended learning outcomes are that candidates will be able to:

describe the characteristics of polluting substances released to water and assess

whether releases are subject to specific legal requirements;
advise on the prevention or control of discharges to controlled water with reference to
relevant legal requirements.

Hours of guided and private study

This unit is expected to involve the candidate in approximately nine hours of guided study,
plus three hours of additional private study.

Relevant statutory provisions:

Salmon and Freshwater Fisheries Act 1975

Environmental Protection Act 1990
Water Resources Act 1991
Environment Act 1995
Groundwater (England and Wales) Regulations 2009
Pollution Prevention and Control Act 1999
Anti-Pollution Works Regulations 1999
Control of Pollution (Oil Storage) Regulations 2001
Surface Waters (Classification) Regulations 1989
Surface Waters (Dangerous Substances) (Classification) Regulations 1998
Surface Waters (River Ecosystem) (Classification) Regulations 1994
Water Act 2003
The Water Environment (Water Framework Directive) (England and Wales)
Regulations 2003 / Water Environment and Water Services (Scotland) Act 2003
Environmental Permitting (England and Wales) Regulations 2010

1.1 Categorisation of Effluents Discharged To Controlled Waters.

Development of Water Pollution Legislation
Legislation to limit water pollution has been in existence in the UK for over 600 years. An Act
dating from 1388 prohibited the dumping of refuse, animal remains and dung into rivers,
ditches and streams due to the great annoyance, damage and peril of the inhabitants. The
penalty of non-compliance with the Act was death. To further protect public health, 150 years
later the people responsible for sewers were given the duty to cleanse and purge the

trenches, sewers and ditches according to the 1531 Bill of Sewers [NSCA, 2006].
Significant legislation specific to water pollution was not forthcoming until Victorian times,
when industrial pollution and the increasing concentration of the population in towns and
cities led to a flurry of new legislation. The first Public Health Act of 1848 provided a system
for local management of water supply and sewerage. The Salmon Fisheries Act 1861 was
specifically aimed at controlling water pollution by making it offence to discharge sewage into
salmon rivers, but it was aimed at protecting the salmon fisheries rather than public health.
Under the Rivers Pollution Prevention Act 1876, it became a criminal offence to pollute water
and it covered pollution with solid matter, sewage and pollution arising from manufacturing
and mining.
As the population continued to become more urbanised and the demand for water
abstraction for both domestic and industrial use increased, local bodies became responsible
for the management of rivers. The River Boards Act 1948 established river boards across
England except for the Thames and London area. These boards were later superseded by
27 river authorities as a result of the River Resources Act 1963. The 1876 Act remained in
force until it was superseded by the Rivers (Prevention of Pollution) Act 1951 which
established a procedure where anyone wanting to discharge effluent into a stream needed to
gain the consent of the river board. Discharge controls were extended by subsequent
legislation in the 1960s and the Water Act 1973 lead to the creation of ten regional water
authorities which were privatised in 1989.
The next major piece of water pollution legislation following the 1951 Act was the Control of
Pollution Act 1974 of which part II extended controls to all inland waters, estuaries, tidal
rivers, the sea within a three mile limit (occasionally beyond) and specified underground
waters (i.e. controlled waters). This act also

prohibited the dumping of poisonous, noxious or other polluting matter into water
through casual or spontaneous acts;
permitted discharges of trade or sewage effluent so long as consent was obtained
and that any conditions were observed;
allowed the water authorities to prevent water pollution or to remedy its effects if it
has already occurred and charge the costs to those responsible.

The Water Act 1989 replaced the 1974 Control of Pollution Act in England and Wales and
saw the establishment of the National Rivers Authority (NRA) to take over the regulatory
functions of the newly-privatised water authorities. Two Acts, the Water Industry Act 1991
and the Water Resources Act 1991 consolidated all legislation covering water previously
spread over 20 statutes. The Water Resources Act 1991 was the principal legislation relating
to pollution of controlled waters.
The Environment Act 1995 established the Environment Agency in England and Wales,
which in 1996 took over the duties of the NRA. The Scottish Environmental Protection
Agency was formed in Scotland and the Environment & Heritage Service in Northern Ireland.
The Groundwater Regulations 1998 were introduced to implement the EC Groundwater
Directive which made it necessary to apply for authorisation to dispose of listed substances
or materials containing listed substances. The regulations were updated in 2009.
The most significant piece of water pollution legislation for several decades is the European
Union Water Framework Directive (2000/60/EC) which came into effect at the end of 2000.
As with all EU Directives, Member States had some discretion as to how the Directive was
implemented within their own country (this differs from an EU Regulation which becomes law

in all member states as soon as it is issued by the European Commission). The Directive
was interpreted by the UK parliament and issued as Statutory Instrument 2003 No. 3242 The
Water Environment (Water Framework Directive) ( England and Wales ) Regulations 2003 at
which point it entered UK law at the end of 2003. It takes an integrated view of water
management by looking at the entire water cycle within a river basin and aims to:

improve and protect inland and coastal waters, especially from diffuse pollution in
urban and rural areas, through better land management;
encourage the sustainable use of water;
improve habitat quality for wildlife which lives in and around water;
improve the quality of life for all;
help to deal with diffuse pollution which remains problematic (now that point source
discharges are improving).

The Environment Agency gave the following timeline on its website:

2006 (December) begin monitoring programmes to allow an overview of the status of each
River Basin District.
2007 (March) report the monitoring networks to the European Union.
2007 (July-January 2008) agree significant water management issues for River Basin
Districts.
2008 (December-June 2009) consult on draft River Basin Management Plans, including an
overview of status and programmes of measures.
2009 (December) first River Basin Management Plans, including the setting of environmental
objectives for each body of water and summaries of programmes of measures.
2009-2012 carry out the plans.
2013-2015 review the plans.
2015 meet Directive objectives for first River Basin Management Plans.
1.2 Designation of Controlled Waters & Water Protection Zones.
According to section 104 of the Water ResourcesAct 1991, controlled waters are designated
as:

territorial waters which extend seawards for three nautical miles from baseline (i.e.
the UK territorial limit),
coastal waters which extend landwards from baseline to the limit of the highest tide
and tidal waters up to the freshwater limit of a river or watercourse,
inland freshwater including rivers and relevant lakes, reservoirs and ponds (a lake is
relevant if it discharges into a relevant river),
groundwater (any water in underground strata).

In addition, the courts have upheld that a river bed can form part of controlled waters, as can
a man-made ditch if it drains into controlled waters. Water supply mains, pipes, sewers and
drains are excluded, but separate controls on discharges apply there.
Under section 93 of the Water Resources Act 1991 the Secretary of State may designate

Water Protection Zones. Within the zone, there is in effect a local law regarding water
pollution allowing a system of special consents to regulate the storage and use of certain
controlled substances by industry. Within the zone, certain activities can be prohibited or
restricted to prevent or control the release of pollution.
The first water protection zone was designated in the UK in 1999 and covers most of the
River Dee catchment. The consents are determined following a risk assessment and
BATNEEC (Best Available Techniques Not Entailing Excessive Cost) principles apply where
there is an appreciable risk of pollution.
Water protection zones are only used in response to industrial point source hotspots and not
to the diffuse pollution from agriculture. They specifically do not cover nitrates arising from
agriculture since this is dealt with in a separate section of the Act (nitrate vulnerable zones).
The Water Environment (Water Framework Directive) (England and Wales) Regulations
2003 state that for each river basin district, a register of protected areas must be maintained.
Protected areas include:
a) water bodies used for the abstraction of drinking water;
b) water bodies requiring special protection under Community laws, including:

those designated for the protection of economically significant aquatic

species,

those designated as recreational waters,

nutrient-sensitive areas,

those designated under the Habitats Directive and the Birds Directive
for the protection of habitats or species where the maintenance or
improvement of the status of the water is an important factor in the
protection of the habitats or species.

Groundwater protection zones

Groundwater provides a third of our drinking water in England and it also maintains the flow
in many of our rivers. In some areas of Southern England, groundwater supplies up to 80%
of the drinking water. The Environment Agency has defined Source Protection Zones for
2,000 groundwater sources such as wells, boreholes and springs used for public drinking
water supply. These zones show the risk of contamination from any activities that might
cause pollution in the area. The closer the activity, the greater the risk. The zones are used
in conjunction with the Groundwater Protection Policy to set up pollution prevention
measures in areas which are at a higher risk and to monitor the activities of potential
polluters nearby.
The shape and size of a zone depends on the condition of the ground, how the groundwater
is removed, and other environmental factors. When a zone is defined, how the groundwater
behaves in that area, what constructions there are to get the water out and the process for
doing this are all considered. From this, a model of the groundwater environment is
developed on which the zones are defined.
Groundwater source catchments are divided into four zones by the Environment Agency as

follows:
Zone 1 (Inner protection zone)
Any pollution that can travel to the borehole within 50 days from any point within the zone is
classified as being inside zone 1 (this applies at and below the water table). This zone also
has a minimum 50 metre protection radius around the borehole. These criteria are designed
to protect against the transmission of toxic chemicals and water-borne disease.
Zone 2 (Outer protection zone)
The outer zone covers pollution that takes up to 400 days to travel to the borehole, or 25% of
the total catchment area whichever area is the biggest. This travel time is the minimum
amount of time estimated that pollutants need to be diluted, reduced in strength or delayed
by the time they reach the borehole.
Zone 3 (Total catchment)
The total catchment is the total area needed to support removal of water from the borehole
and to support any discharge from the borehole.
Zone of special interest
This fourth zone is only defined when local conditions mean that industrial sites and other
polluters could affect the groundwater source even though they are outside the normal
catchment area.
1.3 Water Classification Systems.
The Water Framework Directive (WFD) classifies water using environmental standards to
assess whether environmental conditions are good enough to support life. The following
sections on classification systems and water quality objectives/standards is an amended
version of the Environment Agencys Information Note: Classification and Environmental
Standards in the Water Framework Directive [Environment Agency, 2007]. We start with an
outline of the process of classification and the development of environmental standards in
the UK.
Classification systems are used to assess the state of the environment at any point in time.
They show where the environment is of good quality and where it may require improvement.
Classification systems therefore help in planning what measures are required to create
improvement and may even show how actions have benefited the environment.
Regulatory agencies in the UK previously used classification systems such as the General
Quality Assessment (GQA) scheme which was useful for measuring the quality of rivers and
showing how river quality had improved as a result of investment. However, the directive
requires a more detailed picture of the water environment as a whole, integrating water
quality, quantity and physical habitat with ecological indicators.
Until the directive, the Environment Agency assessed a small number of chemical and
biological indicators, but since they now need to look at the water environment as a whole
they have developed, or are developing, new classification systems for rivers, lakes,
estuaries, coastal waters and groundwaters. The health of the animal and plant groups that
live in surface waters are now the main factor that describes the state of those waters.

The new classification systems

The Environment Agency assesses and classifies the status of water bodies by looking at
ecological, chemical and physical elements, gathered through monitoring programmes. The
directive requires surface water bodies to be classified into one of five ecological status
classes and one of two chemical status classes. Groundwater classification uses two
different systems.
Surface waters include rivers, lakes, lochs, loughs, reservoirs, ponds, streams, canals,
ditches, coastal waters and estuaries. Groundwater is all water which is below the surface
of the ground in the saturation zone (that is, below the water table) and in direct contact with
the ground or subsoil.
One of the main objectives of the directive is to achieve good ecological and chemical
status. Work is ongoing to define the boundaries between each status class and to describe
the extent to which human activities are adversely affecting the health of aquatic
ecosystems. Water bodies of good ecological status should deviate only slightly from the
biological, structural and chemical characteristics that you would expect under undisturbed
conditions.
Environment and conservation agencies in the UK have worked together to identify common
class boundaries, including good status, based on current technical knowledge.
These boundaries were further refined when the results of a European intercalibration
exercise, which aims to ensure consistency across Europe, were made available in mid2007. It focused initially on those biological elements that best relate to the most common
pressures on the water environment (e.g. nutrient enrichment). Since groundwater status
depends in part on surface water status and standards set in other legislation, there is no
separate intercalibration exercise for groundwater.
Classification in more detail
Classification systems exist for both surface waters and groundwaters. Although these
schemes have differences in approach, they are used for the same purpose: to judge current
status and assess whether objectives have been achieved. The table below summarises
these classification systems.
Category
Surface water
(rivers,lakes,
esturies, coastal
waters)

Classification schemes
Ecology, including:

Chemical

Biology quality elements

EQSs for Annex IX and X

substances, including Priority
Physico-chemical quality elements List Substances
Hydromorphological quality
elements

Classes
Groundwater

EQSs for synthetic and nonsynthetic pollutants (from Annex

VIII)
High, Good, Moderate, Poor, Bad
Quantitative, including the effect of

Good, Failing to achieve good

Chemical, including the effect

groundwater abstraction on the

following:

of groundwater chemistry on
the following:

Saline or other intrusions

Surface water ecological status

Groundwater-dependent wetlands

Groundwater abstraction as a
percentage of recharge
Groundwater level

Plus

Classes

Good, Poor

Saline or other
intrusions
Surface water
ecological status
Surface water
chemical status
Groundwaterdependent wetlands

Article 17
Groundwater
Daughter Directive
criteria

Good, Poor

Note: In cases where failure of environmental objectives for surface water status or
significant damage to groundwater dependent terrestrial ecosystems is due to
groundwater, then the groundwater body automatically fails Good Groundwater Status.
Surface waters
The status of each surface water body is judged using separate Ecological classification
and Chemical classification systems. The overall status of the water body will be
determined by whichever of these is the poorer. To achieve good status overall, a water
body must achieve both good ecological and good chemical status.
Ecological classification
The Ecological classification system has five classes (high, good, moderate, poor and bad)
and uses biological, physico-chemical, hydromorphological and chemical assessments of
status.

Biological assessment uses numeric measures of communities of plants and animals

(e.g. fish and rooted plants).
Physico-chemical assessment looks at elements such as temperature and the level
of nutrients, which support the biology.
Hydromorphological assessment looks at water flow and physical habitat.

The chemical assessment within Ecological classification refers to polluting substances that
could adversely affect the ecology. These pollutant standards will be set by the UK
according to the procedure outlined in Annex V of the directive. They are considered less
harmful than the priority polluting substances referred to in the Chemical classification
described below.
The overall ecological status of a water body is determined by whichever of these

assessments is the poorer. So, a water body might pass good status for chemical and
physico-chemical assessments, but be classed as moderate status for the biological
assessment. In this case, it would be classed overall as moderate ecological status.
Chemical classification for priority substances and other pollutants
The Chemical classification system for surface waters, used for the most polluting
substances, has only two classes, good or failing to achieve good. Status is assessed by
checking whether the water meets Environmental Quality Standards (EQSs) for substances
listed in Annex IX (Dangerous Substances Directive and associated daughter directives) and
Water Framework Directive Annex X (List of Priority Substances). These standards are
being set on a Europe-wide basis and are considered a priority because of their high
potential for pollution.
Groundwaters
Groundwater classification uses two systems: Groundwater quantitative status, which
assesses whether there is sufficient water to maintain the health of the ecosystems it feeds,
and Groundwater chemical status, which assesses the chemical quality against certain
criteria.
The directive looks at the way groundwaters and surface waters interact, so a groundwater
body cannot be at good status if it causes an associated surface water body to fail its
ecological or chemical status objective, or causes significant damage to a groundwater
dependant ecosystem. As with surface waters, each groundwater body has to be classified
and two status classes are used: good and poor. Both quantitative and chemical status must
be good before the groundwater body is classified as good.
Question 1.
Groundwater provides what fraction of UK drinking water?
Multiple Choice (HP)
Answer 1:

1/2

Response 1:
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Answer 2:

1/3

Response 2:
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Answer 3:

1/4

Response 3:
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Question 2.
The Environment Agency divides groundwater source catchments into how many zones?
Multiple Choice (HP)
Answer 1:

Response 1:
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Answer 2:

Response 2:
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Answer 3:

Response 3:
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Question 3.
With references to the zones set Environment Agency, Zone 2 is a Total catchment zone
True/False (HP)
Answer 1:

True

Response 1:
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Answer 2:

False

Response 2:
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1.4 Water Quality Objectives & Water Quality Standards.

Environmental quality objectives
In each river basin, quality objectives are defined for each water body using the classification
systems, considering social, environmental and economic factors. The objectives will define
the status the Environment Agency wants the water body to achieve and by what time, and
they are expressed in terms of status; for example the objective may be to achieve good
status.
Alternative objectives may be set if it will not be possible to achieve good status or if it will be
disproportionately expensive to do so, but they need to be justified on the basis of a full
socio-economic and feasibility assessment. A collaborative research programme is
developing methods for assessing alternative objectives on the basis of economic grounds.
Environmental quality standards
Environmental standards are the values for water quality. Water quantity and habitat
structure are defined to ensure that the right environmental conditions are created to support
the biology. The standards relate to and define the class boundaries for Ecological and
Chemical classification schemes and help the Environment Agency decide what measures
need to be taken to protect the water environment. For example, water quality standards
inform one of the quantity of a pollutant that can safely be present in the water environment
without causing harm to the ecology. Success in protecting ecology is assessed by
monitoring animals and plants that show whether the ecosystem is healthy or not.
This approach is used to protect the water environment from pollution, for permitting water
abstraction and discharges, and is being developed for use in protecting the ecology from
other pressures such as damaging engineering works.
In the first River Basin Planning cycle, the Environment Agency will use environmental
standards to refine the risk assessments of the impact of human activity on the water
environment. This will help to target future monitoring at places of most risk and assist in
planning a possible programme of measures or actions required to meet the objectives of
the Water Framework Directive. This will include permits to control the activities that affect

whether a water body meets its objectives, such as discharge consents and Codes of
Practice. Environmental standards will be used to set permit limits and the standards
themselves will be reviewed to check that they are effective in achieving the objectives.
Environmental standards in more detail
Environmental standards will be set for surface waters to support Ecological and Chemical
classification, and for groundwater Chemical and Quantitative classification.
Surface waters

Surface water environmental standards will support biology and will cover:
o morphology (physical structure) and hydrology (flow and water level)
standards for each of the class boundaries (high/good/moderate/poor/bad);
o levels for general physico-chemical elements for each of the class
boundaries(high/good/moderate/poor/bad);
o environmental quality standards for those chemical pollutants (Annex VIII)
that pose a current and high level of risk in the UK.

These are being derived within the UK in a phased approach.

Surface water chemical environmental standards for use in the Chemical

classification are the EQSs in existing EU legislation such as the Dangerous
Substances Directive and the Priority Substances and Priority Hazardous
Substances.

Groundwater
Groundwater environmental standards will include:

limits for saline or other chemical intrusions from other water sources into
groundwater bodies, including values for conductivity;
levels (and associated limits) expressing the water balance in the groundwater body;
thresholds of impact on ecology or status of dependent surface waters and terrestrial
ecosystems;
chemical standards defined under Article 17 of the Water Framework Directive (the
Groundwater Daughter Directive). These include common EU standards for nitrates
and pesticides, together with threshold values defined at Member State level to
protect ecosystems dependent on groundwater.

The environmental standards for some substances were developed from existing standards,
classification systems and regulatory regimes. However, for some substances, the standards
are relatively new with limited monitoring data to support them and they are simply based on
the best scientific understanding of what is needed to protect the water environment.
Question 4.
Water classification systems are used to assess the state of the environment at any point in
time
True/False (HP)
Answer 1:

True

Response 1:
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Answer 2:

False

Response 2:
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Question 5.
Environmental Standards are defined so as to ensure that rich environmental conditions are
created to support biology and are the values for....
Multiple Choice (HP)
Answer 1:

Water quality

Response 1:
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Answer 2:

Habitat structure

Response 2:
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Answer 3:

Water quantity

Response 3:
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Answer 4:

All of the above

Response 4:
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1.5 Types of Substances that are Prescribed for Release to Controlled Waters.
In 1976, the EU Council of Ministers adopted the Framework Directive on pollution caused
by certain dangerous substances discharged into the aquatic environment of the Community
(76/464/EEC), understandably referred to as the Dangerous Substances Directive. It lists
129 substances considered so toxic, persistent or bio-accumulative in the environment that
pollution by them should be prevented as a priority. These compounds were grouped into
two lists, the first list including those substances which were considered to be the most
dangerous and the rest in the second list. These substances are prescribed for release by
the Environment Agency, meaning that any releases have to be controlled and allowed using
a system of permits. Control is achieved by setting Environmental Quality Standards or limit
values.
When the Water Framework Directive was introduced, a change in terminology for several
factors was introduced. The limit values and quality objectives of the Dangerous
Substances Directive are classed in the Water Framework Directive as emission limit
values and environmental quality standards [Annex IX of WFD, 2000]. In the Water
Framework Directive, 33 substances are identified as being a risk to the aquatic environment
and to human health. This list is split into Priority Hazardous Substances and Priority
Substances. Releases of the former are to be phased out within the EU by 2020 and
releases of the latter are to be reduced.
The directives which sit below the Water Framwork Directive and provide specific detail are
commonly referred to as Daughter Directives. The Daughter Directive which covers the
release of dangerous substances to surface waters (76/464/EEC) has two lists of
substances taken from the original Dangerous Substances directive. These lists are referred
to as the Black List or List I, and the Grey List or List II of substances prescribed for release
into surface waters.

It is important to note that these lists do not contain the same substances as the lists
of Priority Hazardous Substances and Priority Substances. The Black and Grey lists
are due to be withdrawn when the Dangerous Substances Directive is repealed by the
Water Framework Directive in 2013. At that point, the Priortiy Hazardous Substances
and Priority Substances lists will take over.
Surface waters
List I / Black list substances for release to surface waters includes 17 substances which are
the most toxic and specific discharge limits according to the type of industry are laid down in
legislation together with quality objectives for the receiving waters. Emission limits and
quality objectives, encouraging the use of best available technology to eliminate pollution,
have been adopted for these substances. They include:

Mercury and its compounds.

Cadmium and its compounds.
Tributyltin and its compounds.
Organohalogens.
Organophosphorous.

List II / Grey list substances are less dangerous but still have a deleterious effect upon the
aquatic environment and pollution by these must therefore be reduced. They include:

Metals such as lead, chromium, arsenic and copper.

Biocides.
Cyanide.
Ammonia.
Any substances which have not yet been given formal Black List (List I) status are
treated as Grey List (List II) substances for regulatory purposes.

Groundwater
The situation is also slightly different for groundwater. The Groundwater Regulations 1998,
which transposed the EU Groundwater Directive into UK legislation, also referred to two lists
(List I and List II) but these are not identical to the List I and List II substances prescribed for
release into surface waters.
List I substances for groundwater are the most damaging and toxic and must be prevented
from entering the groundwater. They include:

Many pesticides.
Many herbicides.
Many solvents.
Mineral oils and other hydrocarbons.
Cadmium and mercury.

List II substances are less harmful but still must be controlled to prevent pollution. They
include:

Many metals such as zinc, lead and copper.

Many biocides.
Phosphorous.
Fluorides.

Ammonia and nitrates.

Basically, anything which will make the groundwater unfit to drink.

It is clearly important to know whether your processes are discharging (or potentially
discharging) effluent to surface waters or to groundwater to enable you to determine
which regulations (and therefore lists) apply. It is also important to bear in mind that
accidental discharges to groundwater through spillages or run-off are also classed as
groundwater discharges and are regulated accordingly.
The Groundwater Regulations require prior authorisation for deliberate discharges or
disposals to land of a range of chemicals. A number of previously unregulated activities,
such as disposal of sheep dip onto land, now require formal authorisation.
Question 6.
Groundwater Environmental Standards include......
Multiple Choice (HP)
Answer 1:

Thresholds of impact on ecology

Response 1:
Jump 1:

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Answer 2:

Limits for saline and other chemicals into groundwater bodies

Response 2:
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Answer 3:

Chemical standards

Response 3:
Jump 3:

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Answer 4:

All of the above

Response 4:
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1.6 The UK Red List & its Relationship to the EU Black & Grey List.
The countries bordering the North Sea meet periodically to discuss ways of reducing
pollution. In 1990, after the second of these North Sea Conferences the British
Government issued a Ministerial Declaration announcing plans to produce a Red List of
dangerous substances. The list was produced in a similar way to the EUs List I by
classifying substances according to their persistence, toxicity and bio-accumilation in the
environment and then selecting the most polluting according to these criteria. All the List I
substances were included, plus a few additional ones, bringing the number of substances on
the list up to 23. The Declaration originally applied only to the North Sea but has since been
extended to include all coastal waters around the UK .

The UK has a Red List of 23 of the most dangerous substances which have been selected
for priority control including through the system of integrated pollution control. Red List
substances are toxic, do not or are very slow to degrade in water and are likely to
accumulate in living organisms. The Red List includes the substances on the EC List I under
the Dangerous Substances Directive and there are statutory Environmental Quality

Standards (EQSs) in place for their discharge into surface waters. Statutory EQSs for a
further 25 substances came into force on 1st April 1998. These deal with substances
produced by manufacturing industry, as well as a number of pesticides applied to crops
[Defra, 1998].
A comprehensive account of the relevant legislation can be found in the current NSCA
Pollution Handbook which is published annually by the Environmental Protection UK
(formerly the National Society for Clean Air and Environmental Protection.)
Question 7.
Substances found on the blacklist for surface waters include ......
Multiple Choice (HP)
Answer 1:

Mercury

Response 1:
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Answer 2:

Ammonia

Response 2:
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Answer 3:

Pesticide

Response 3:
Jump 3:

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Answer 4:

All of the above

Response 4:
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Question 8.
Which substances do not appear on the Grey list (List II)?
Multiple Choice (HP)
Answer 1:

Ammonia

Response 1:
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Answer 2:

Cyanide

Response 2:
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Answer 3:

Organophosphorous

Response 3:
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Answer 4:

Metals such as lead

Response 4:
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1.7 De-Minimis Thresholds.

In order to achieve the Environmental Quality Objectives for a watercourse, Environmental
Quality Standards (EQSs) are set which are expressed in terms of the permitted
concentration of a particular substance in the receiving water.

The two possible ways to control pollution within the Water Framework Directive are:
1. by setting emission limit values to control emissions from individual point sources
which may be a factory outflow;
2. by setting EQSs for the receiving water to manage the cumulative impact of multiple
emissions.
Both approaches have advantages and disadvantages. It is simpler to draw up discharge
consent conditions if uniform discharge limits apply, and it is fairer to industry if the same
standards apply to all factories of a certain type. On the other hand, the EQS system
assesses the environmental impact of a particular discharge. The EQS approach is used
throughout Europe for List II/Grey list substances, but the UK is the only Member State to
adopt it for the List I/Black list substances as well. This was because it matched existing
practice and it was thought to be more beneficial to the environment. EU-wide EQSs have
been set for Black list substances but the Grey list follows national standards.
The Environment Agency limits discharges into a watercourse in order to achieve the EQS,
and the discharge of a particularly dangerous substance to a sewer must also be authorised
and subjected to an emission standard so that the effluent does not lead to a breach of the
EQS. The means of authorisation is through a consents system, and the effluent discharge
is set as emission limit values (maximum concentration and flow rate).
1.8 Principal Types of Water Pollutants.
Almost any solid, liquid or gaseous substance entering surface waters or groundwater could
be a pollutant. This includes chemicals, salt, wash waters, waste products, trade effluents
and fuels. Rainwater that runs across a site can also be classed as a pollutant if it becomes
contaminated by substances from the site. The Environment Agency takes the view that
almost all substances used and disposed of by businesses are unsuitable for discharge to
surface waters or groundwater without prior treatment. Even hot water can be classified as a
pollutant. The regulations apply if:

you discharge or have the potential to discharge anything into surface waters or
groundwater;
there is a chance that substances from your site could enter surface waters or
groundwater accidentally, for example by spillage or run-off.

[NetRegs, 2007].
Water pollutants are generally classed as arising from a point source or a diffuse source.
These are defined as:
Point Source Pollution Pollution arising from a discrete, source e.g. the discharge from a
sewage treatment works.
Diffuse Source Pollution Pollution which originates from various activities, and which
cannot be traced to a single source and which originates from a spatially extensive land use
(e.g. agriculture, settlements, transport, industry). Examples for diffuse source pollution are

atmospheric deposition,
run-off from agriculture,
erosion,
drainage and
groundwater flow.

[Water Framework Directive UK Technical Advisory Group, 2005].

Water pollutants can arise from a wide variety of sources and may be chemical, physical or
biological in nature. Some examples are provided below:

inorganic chemicals such as salts, acids, alkalies arising from industry or sewage
treatment works;
nutrients such as nitrogen or phosphorous arising from fertilisers or detergents;
organic chemicals such as pesticides, detergents, solvents etc or hydrocarbons such
as oils, fats or carbohydrates;
organic particulates arising from manure or sewage treatment works;
suspended solids such as soils, dust, minerals arising from farming or mining;
biological agents and pathogens such as bacteria, viruses or protozoa arising from
sewage treatment works;
heavy metals from industry or mining activities;
radionucleides arising from a nuclear power station;
heat arising from a power station.

Annex VIII of the Water Framework Directive provides the following list indicative of the
main pollutants:

Organohalogen compounds and substances which may form such compounds in the
aquatic environment.

Organophosphorous compounds.

Organotin compounds.

Substances and preparations, or the breakdown products of such, which have been proved
to posses carcinogenic or mutagenic properties or properties which may posses
steroidogenic, thyroid, reproduction or other endocrine-related functions in or via the aquatic
environment.

Persistent hydrocarbons and persistent or bioaccumulable organic toxic substances.

Cyanides.

Metals and their compounds.

Arsenic and its compounds.

Biocides and plant protection products.

Materials in suspension.

Substances which contribute to eutrophication (in particular nitrates and phosphates).

Substances which have an unfavourable influence on the oxygen balance (and can be
measured using parameters such as BOD, COD, etc).
Question 9.
Water pollutants are generally classed as arising from a point or diffuse source. Point
source pollution originates from various activities which cannot be traced to a single source
and originates from spatially extensive land use.
True/False (HP)
Answer 1:

True

Response 1:
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Answer 2:

False

Response 2:

This is the description for diffuse source pollution

Jump 2:

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1.9 Chemical, Physical & Biological Properties.

The effect of a pollutant varies according to the size, temperature, rate of flow and oxygen
concentration of the receiving waters. The geology of the river bed will also have an effect on
the level of pollution a discharge will cause due to its effect on the pH (acidity) of the water,
its ability to buffer pH changes caused by the pollutant and the availability of salts which may
react with the pollutant.
The presence of existing pollutants may also complicate the situation with possible chemical
reactions between different pollutants leading to synergistic effects (the chemical mixture
may have an effect greater than the sum of the individual pollutants). Due to these factors,
every river will have a different response to a certain level of discharge.
Natural events can also affect the impact of a pollution incident in the same river. The water

levels in a river will be lower at times of low rainfall or drought so the pollution will tend to be
more concentrated than if the same discharge had been made during a period of high rainfall
where the river levels were high.
The use made of the water body will have an effect upon deciding whether it can be said to
be polluted and this will affect the attitude of the regulators when setting and enforcing
quality standards. A river used for fishing and water sports will have more stringent
standards set than a river running through an industrial site.
One of the common effects of pollutants entering a water body is an alteration of the levels
of dissolved oxygen in the water, which can lead to problems for certain forms of aquatic life.
This may be due to biological action resulting from the pollutant, or a direct chemical action
of the pollutant itself.
Biological Oxygen Demand (BOD) is a measure of the potential for water de-oxygenation
as the pollutant is metabolised by microbes. Raw sewage has the potential to use 400 mg of
oxygen per litre; river water may hold only 14 mg of oxygen per litre, therefore a small
quantity of sewage can quickly strip the oxygen from a relatively large section of the river.
Silage and even milk have an even higher BOD values of several thousand mg oxygen per
litre. Spillage of such substances into watercourses can lead to large scale fish deaths and is
taken very seriously by the authorities.
Chemical Oxygen Demand (COD) is a measure of the potential of organic and inorganic
chemicals to de-oxygenate water by chemical means.
Nitrates in rivers and groundwater
Nitrate concentrations in rivers and groundwater have increased substantially since the
1940s due to changing agricultural practices, such as using nitrogen fertiliser to grow higher
yielding crops. As more nitrates are put onto the land, more become washed away into rivers
and groundwater. High concentrations were found mostly in the Midlands, Anglian and
Thames Regions, which have some of the largest areas under intense agricultural
production.
Nitrate concentrations in rivers fluctuate and show strong seasonal trends, being low in
summer and high in winter. Typically, nitrate concentrations are greater during times of high
runoff after a dry summer when nitrogen has built up in the soil from fertiliser, deposition
from the air and nitrogen-fixing plants. Nitrogen is soluble so it is more readily lost from a wet
soil than a dry soil.
Nitrate concentrations in underground water stores (known asaquifers) depend partly on the
aquifer type and also farming practices. In some locations, it may take decades for water to
move through the aquifer so the pollution will remain in the aquifer for a long time. Other
aquifers respond more quickly and the retention time within the aquifer is shorter.
A Nitrate Vulnerable Zone (NVZ) is an area of surface water or groundwater that has, or is at
risk of having a high nitrate concentration (greater than 50mg/l). The Environment Agency
designate NVZs, and farmers within an NVZ must reduce their nitrate input within them.
Currently 55% of England is designated as a NVZ, which shows the scale of the problem.
NVZs occur where the most arable farming takes place. Some of the largest are upstream of
drinking water abstraction points, or where groundwater reserves need protecting. The
Environment Agency put in place action programmes within NVZs to change agricultural

practices, which reduces nitrate run off and leaching. Farmers are required to control their
application of nitrate to the land.
Agriculture is the largest source of nitrates in rivers, but sewage-treatment works can also
contribute. Some NVZs fail to meet the 50mg/l standards because of nitrate inputs from
large sewage-treatment works (serving populations greater than 10,000). These are eight
such areas and they are classed as nitrate sensitive areas.
Water companies in these areas must improve water treatment to reduce the amount of
nitrate they discharge. Like all pollutants, the levels of nitrates in the discharge that they
need to reach are set by the Environment Agency.
It is recognised that the current regulations cannot reverse the long-term trend of increasing
nitrate levels in groundwater, and it is unlikely that there will be significant nitrate reductions
in rivers for many years.
Nutrient enrichment of water eutrophication
When a body of water has too many nutrients in it, eutrophication has occurred. Higher than
natural nutrient levels can cause plant growth, especially the growth of algae. Algae remove
oxygen from the water, which makes it difficult for other plants and animals to get enough
oxygen to survive.
Eutrophication happens naturally, but human activity is also causing it in a number of rivers,
lakes, estuaries and coastal waters. The main sources of additional nutrients are sewage
effluents, nutrients washed out of farm land and nitrogen deposited from the air (e.g. from
vehicles exhaust gases and ammonia released by animal manure and urine).
When eutrophication leads to an algal growth, several things can happen:

Algae can make water less clear and block sunlight, which stops water plants from
growing.
Algae photosynthesise (i.e. use sunlight to make food) during the daylight which adds
oxygen to the water. However, algae also consume oxygen at night, which means
that oxygen levels can be very low in the early morning, leading to the suffocation of
fish and other creatures.
When algae and other plants rot, the bacteria causing the decay can remove large
amounts of oxygen from the water.
High concentrations of algae can block filters at water treatment plants and affect the
taste and smell of the water.

Eutrophication is also a problem in waters that are naturally low in nutrients, such as
mountain lakes. Small increases in nutrient levels in these waters can have large impacts on
their plants and animals.
The nutrients most likely to influence algal growth in water are phosphate and nitrate.
Natural phosphate levels in freshwaters tend to be low, which limits algal growth. In seas
and estuaries, nitrate is more important in limiting plant growth because marine plants have
different nutritional needs from freshwater plants. Unnaturally high levels of either nutrient
can lead to eutrophication.
In England and Wales, 408 water bodies have been designated as areas sensitive to
eutrophication. This number includes rivers, lakes and estuaries. These are areas where

eutrophication has disturbed the living organisms in a water body. Any sewage going to into
these sensitive areas must be treated to very high standards to make sure that all
phosphates (nitrates for seas and estuaries) have been removed. The designations are
reviewed every four years.
The Nitrates Directive is designed to protect the water environment against nitrate pollution
from agricultural land. In certain areas vulnerable to eutrophication, farmers are legally
required to reduce nitrate pollution from their land. One way of doing this is to reduce the
amount of fertiliser they use [Environment Agency, 2007].
Groundwater pollution
Pollution of groundwater is regulated by the EC Groundwater Directive (80/68/EEC), enacted
in the UK as the Groundwater Regulations 1998 and 2009. Groundwater forms our largest
source of fresh water and contributes around one third of drinking water in England , much of
it requiring very little treatment before it is fit to drink.
However, it is not only important for this reason. Many rivers and wetlands are completely
dependent upon aquifers as the source of their water and it therefore plays a vital ecological
role. Groundwater is especially vulnerable to long-term pollution because the slow rate at
which underground aquifers are recharged means that any contaminants are likely to persist.
The intimate relationship between groundwater and surface waters and soils mean that
contamination of either can lead to contamination of the groundwater. Also, because of its
location, it is technically difficult and therefore expensive to clean once it has become
polluted.
The Environment Agency document Underground, under threat: the state of groundwater in
England and Wales is recommended reading and is available at
http://publications.environment-agency.gov.uk/pdf/GEHO0906BLDB-e-e.pdf?Lang=_e .
Question 10.
What can happen when eutrophication leads to algal growth?
Multiple Choice (HP)
Answer 1:

Low levels of oxygen in the morning occurs which can suffocate fish and
other creatures

Response 1:
Jump 1:

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Answer 2:

Sunlight is blocked, stopping water plants growing

Response 2:
Jump 2:

This page

Answer 3:

High levels of algae can block filters at water treatment plants and affect
the taste and smell of water

Response 3:
Jump 3:

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Answer 4:

All of the above

Response 4:
Jump 4:

Next page

2.0 Legislative Requirements Applying to Discharges To, Or Abstraction From,

Controlled Waters.
Discharge Consent Procedures for Trade Effluent & Red List substances
If you discharge any sewage, trade effluent or contaminated surface water to controlled
waters, you must have prior written authorisation from your Environmental Regulator in the
form of a discharge consent. You must ensure that the discharge complies with all conditions
given in the discharge consent.
The Environment Agency (in conjunction with the Scottish Environmental Protection Agency
and the Northern Ireland Environment and Heritage Service) has produced a series of
Pollution Prevention Guidelines which are available from the relevant websites. PPG1 gives
a general introduction to pollution prevention.
If you discharge any liquid wastes or effluents to a public sewer you must have prior written
authorisation from the Statutory Sewerage Undertaker in the form of a trade effluent
consent. In most cases, this will be your local water company. You must ensure that the
discharge complies with all conditions given in the trade effluent consent.
What is trade effluent?
Trade effluent is any effluent (liquid waste) that is discharged from any premises being used
for carrying on a trade or industry. Any liquid, with or without suspended particles, which is
wholly/partially produced in the course of any trade or industrial activity carried out at trade
premises will be classed as trade effluent. The only effluents which are not classed as
Trade Effluent are clean, uncontaminated surface water (i.e. clean rainwater which has not
been contaminated when running over your site) and domestic sewage.
Trade effluent can include:

waste chemicals, including oils;

liquid process wastes;
detergents;
condensate water from compressed air installations;
cooling water;
biodegradable liquids;
wash water;
liquid wastes or wash waters, other than domestic sewage, discharged using sinks,
basins or toilets, and
contaminated mine or quarry water.

Trade effluents could potentially be discharged either to foul sewers, to surface waters or to
ground waters. The Water Resources Act 1991 applies if you discharge, intend to discharge
or have the potential to discharge any effluent, other than domestic sewage or clean,
uncontaminated surface water, from a trade or industrial premises into a foul sewer. The
Groundwater Regulations 1998 & 2009 apply if you discharge directly to groundwater or
indirectly by discharging to land (i.e. via a soakaway). The Contaminated Land Regulations
2000 may also apply if the discharge arises from past contamination of land. The
contaminated land regime in England and Wales allow local authorities or the Environment
Agency to serve remediation notices if a discharge has caused, or could cause, significant
harm due to land or groundwater contamination.
Why must trade effluent to foul sewer be controlled?

The majority of foul sewers carry sewage to sewage treatment works. The sewage treatment
works treat the sewage to improve its quality so that it can then be discharged to rivers, land
or the sea. The sewage is usually treated biologically, which means that the sewage is
broken down by micro-organisms.
If unconsented discharges of trade effluent are made to a foul sewer, the effluents
discharged may damage the sewers, generate a health hazard for sewerage workers or the
general public, or inhibit or kill the micro-organisms which carry out the sewage treatment
process. This can result in the sewage not being treated properly, which may lead to poor
quality or even raw sewage being discharged to rivers, land or the sea.
Consent procedures
The system for acquiring consent is set out in the Water Resources Act 1991 and the
Control of Pollution (Applications, Appeals and Registers) Regulations 1996. A consent is
required for each discharge, so if a factory has more than one discharge pipe it will need a
consent for each one. An application for a consent to discharge must be made to the
Environmental Regulator on the appropriate form together with the fee. The application may
need to be advertised in the local press plus the London Gazette depending upon the nature
of the discharge. Copies of the application also need to be sent to the local authorities, water
undertakers, and if the discharge is to coastal waters then the relevant minister, the harbour
authorities and fisheries committees should also be sent a copy as appropriate. Further
details of the application procedure is provided in the Environment Agencys Discharge
Consents Manual.
A period of six weeks is normally allowed for representations and the application must be
considered within four months of receipt; if it is not, and a longer period has not been agreed
with the applicant, it is deemed to have been refused. When considering whether to grant
consent, the Agency will take into account whether statutory water quality objectives will be
met; it will also need to be assured that the discharge will not result in a deterioration of
water quality or adversely effect usage downstream. The Secretary of State may call in an
application as a result of objections and a local inquiry will be arranged.
If consent is granted, then conditions will be included to ensure compliance with the statutory
water quality objectives or absolute limits set for discharges, such as:

the place to which the consent relates;

the nature, origin, composition, temperature, volume and rate of discharge and the
periods during which the discharge can be made;
steps to be taken to minimise the polluting effects of the discharge;
provision of facilities for sampling and monitoring, may include provision,
maintenance and testing of meters for recording discharges;
keeping of detailed records and provision of information to the enforcing authority.

Consents and their conditions are reviewed periodically and the Agency may revoke or
modify the consent conditions, but not usually within four years of a consent being issued
(unless it is a notice revoking the consent). The holder of the consent may apply for it to be
varied or transferred to another person.
An applicant has the right to appeal to the Secretary of State if an application or a variation
for a discharge consent has been refused or revoked.
The Environment Agency is required to maintain a public register which makes publically

available

water quality objectives;

applications for discharge consents;
consents and conditions;
water sample data; and
prohibition and enforcement notices.

2.1 Duties of Operators of Prescribed Processes.

Prescribed processes are processes which may lead to the discharge, or potential
discharge, of prescribed substances. This includes all processes covered by the Pollution
Prevention and Control (PPC) regulations (i.e. sites with a PPC permit) and those
businesses which carry out directly associated activities for a site covered by a PPC permit.
Any person carrying out a prescribed process must obtain authorisation in the form of a
permit from their Environmental Regulator and comply with the conditions in the permit.
Permission in the form of a Trade Effluent Consent or Trade Effluent Agreement must be
obtained from the Statutory Sewerage Undertaker before you do any of the following:

Discharge any surface water run-off from hard surfaces contaminated with oil, such
as car parks or maintenance bays, to foul sewer.
Wash substances such as oils, solvents, chemicals, adhesives, inks or powders into
a foul sewer.
Use a sink, basin, toilet or gully for disposing of any liquid wastes, apart from
domestic sewage, or discharging wash waters.
Discharge or permit the discharge of any trade effluent into a foul sewer.

If a business already discharges any quantity of trade effluent to foul sewer, no matter how
small, and does not have written consent or agreement to do so, the discharge should be
stopped immediately and the sewerage undertaker contacted. Even if you already have a
consent or agreement, you need to get a new consent if your discharge changes and no
longer complies with the consented conditions, or if a discharge has been discontinued for
two years or more and then resumed.
Some effluents will also be subject to prior authorisation by the Environmental Regulator e.g.
effluents from installations subject to control under the PPC regime and certain effluents
containing dangerous substances. The Environmental Regulators requirements may differ
from those of the sewerage undertaker. The most stringent limits of either Regulator will
always apply.
What do I do with effluents which I am not permitted to discharge to foul sewer?
Any effluents that the Sewerage Undertaker will not permit you to discharge to the foul sewer
will be classed as Waste or Hazardous Waste. Wastes must be handled and disposed of
according to the Environmental Protection (Duty of Care) Regulations (or the Controlled
Waste (Duty of Care) Regulations Northern Ireland 2002):
All wastes must be handled in accordance with the Duty of Care. This requires that you
ensure all waste is handled, recovered or disposed of responsibly, that it is only handled,
recovered or disposed of by individuals or companies that are authorised to deal with it and
that a record is kept of all wastes received or transferred through a system of signed Waste

Transfer Notes.
If the material that you are disposing of has hazardous properties, it may need to be dealt
with as Hazardous Waste. There are additional requirements to the Duty of Care when
handling Hazardous Waste.
Management Guidelines are available on the Environment Agency NetRegs website.
Waste Management Licensingand
Hazardous waste
Minimising unconsented discharges to foul sewers
Permission must be obtained from the Sewerage Undertaker before you make any trade
effluent discharges to foul sewers. The following measures will help minimise the chances of
making any discharges accidentally.

Make sure you have an up to date and accurate drainage plan available at all times.
This will identify the locations of all existing drains and sewers in and around your
site, and where they lead. When making a discharge to a drain or sewer, always
check that you are connecting to the correct system all trade effluent and sewage
to the foul sewer; only clean uncontaminated surface water should be discharged to
the surface water drainage system.
Paint drainage system manhole covers, gullies and grilles on site in a recognised
colour coding system (blue for surface water drains and red for foul water drains).
This will help you to identify where any discharge or spillage will end up.
Store and handle raw materials, wastes, chemicals and fuels in a responsible way,
so that they cannot enter the surface and foul drains on your site.
Provide commercial spill kits or absorbent granules/sawdust where spills or leaks of
pollutants could occur and find their way into a drain or sewer. Make sure staff know
where they are and how to use them.
Surround foul drain entry points with an impervious upstand if they may be vulnerable
to receiving polluted effluents (including contaminated surface water) that have not
received consent/agreement from the Sewerage Undertaker.
Make all relevant employees and contractors aware of your procedures for handling,
disposing and discharging liquid wastes and make sure they comply with them.
Explore the possibilities for using alternative materials and practices that do not
produce effluents e.g. reuse of water for a lower grade purpose such as non-critical
rinsing.

In England, if you store oil (including petrol, diesel, vegetable, synthetic or mineral oil) in a
container with a storage capacity of over 200 litres (44 gallons) then you may need to
comply with the Control of Pollution (Oil Storage) (England) Regulations 2001.
These regulations are designed to prevent contamination of water and so are still relevant if
your site is located in Scotland, Wales or Northern Ireland. For further guidance see PPG 2
(Above ground oil storage tanks).
2.2 Duties to Prevent Pollution.
The following good practice advice comes from the Environment Agency
[http://www.netregs.gov.uk/netregs/processes/498944/]:

If any part of your site is within a Source Protection Zone or located on a vulnerable
aquifer, you should consider taking additional precautions, e.g. when storing fuel or
other chemicals you may need to bund all storage tanks and protect surface water
drains. To find out whether your site is in an area where the groundwater is
vulnerable and what additional precautions should be taken, contact your
Environmental Regulator. To find out if you are in a Source Protection Zone in
England and Wales, see the Environment Agencys website under Whats in your
backyard?
All surface water runoff from refuelling areas should be isolated from general yard
drainage and drained to an oil separator or an alternative treatment system. You may
need permission from your Environmental Regulator/water company to discharge the
wastewater from your oil separator.
Store all chemicals in an area where spillages will be contained. Ideally, this will be
an impermeable bund which will contain at least 110% of the volume of the largest
tank or 25% of the total volume likely to be stored, whichever is the greatest. Any
accumulated rainwater should be removed regularly and - if contaminated - it may
need to be dealt with as hazardous waste.
Deliveries of raw materials or fuels to your site should be supervised, to reduce the
risk of overfill and spillage.
Make sure you have a drainage plan available which identifies the locations of all
existing drains and sewers in and around your site and where they lead. When
making a discharge to a drain or sewer, always check that you are connecting to the
correct system all trade effluent and sewage to the foul sewer; only clean
uncontaminated surface water should be discharged to the surface water drainage
system.
Paint drainage system manhole covers, gullies and grills on site in a recognised
colour coding system (blue for surface water drains and red for foul water drains).
This will help you to identify where any discharge or spillage will end up. See also
PPG1.
Have a Pollution Incident Response Procedure for dealing with spillages and use it in
conjunction with your drainage plan. See also PPG 21.
Ensure that you have adsorbent materials and other containment equipment suitable
for the type and quantity of fuel, oil and chemicals you store and use on site.
Static plant and equipment operating near, adjacent to or directly above controlled
waters or drains should be placed on drip trays to prevent oil and diesel spillages
onto the ground, into drains and into controlled waters.
Effective maintenance of drip trays is essential to prevent loss of containment volume
by the build up of spilt oil and water. Sheen on the surface of water within a drip tray
is an indication that oil is present. Oil/diesel present can be removed by using oiladsorbent pads suitable for use on water. Used pads and drip tray contents may
need to be disposed of as a hazardous waste.

For guidelines to help manage the storage and handling of materials on your site in order to
prevent water pollution, and on managing your sites discharges and drainage, see the
NetRegs website set up by the Environment Agency at
http://www.netregs.gov.uk/netregs/275207/275475/?version=1&lang=_e.
2.3 Cost Recovery by the Environment Agency.
The Environment Act empowers the relevant agencies to charge for environmental licenses,
including the permits required for discharging sewage and trade effluent to controlled waters.
The purpose is to allow the Environment Agency to recover the costs of monitoring,
sampling and analysing, plus the administration of the consents procedures. Applications for
a new or revised discharge consent are subject to a standard charge per effluent, plus an
annual fee per effluent. The annual fee is based upon the volume and content of the

discharge (as specified in the consent) and on the nature of the receiving waters, so the total
amount payable is dependent upon the complexity of the discharge and the sensitivity of the
receiving waters. The charges are uniform throughout the country and do not vary locally,
but the charges are reviewed annually.
2.4 Effect of Prohibition Notices Under the Water Resources Act 1991, Section 86, & of
a Works Notice Under Sections 161A - D.
Prohibition is a legal device first introduced by the Water Act 1989 and expanded upon in
section 86 of the Water Resources Act 1991. It covers those cases where the type of
discharge is not necessarily harmful and therefore a consent is not justified. By selectively
prohibiting certain discharges, control is exercised over those situations where it is required.
Prohibition may apply in three situations:

Where the Environment Agency prohibits a discharge of trade effluent from a building
to any land or land-locked waters which fall outside the definition of controlled
waters (includes soakaways).
Where the Environment Agency prohibits a discharge of matter other than trade or
sewage effluent from a drain or sewer. Trade or sewage effluent are automatically
covered by the need for a consent, so the intention here is to restrict such things as
discharges of dangerous substances from a storm drain.
In addition, any such discharges involving substances prescribed by regulations
automatically invoke the prohibition.

In the first two categories, the prohibition can only come into force three months after notice
to the discharger, unless there is an emergency.
Works notices
In England, Wales and Scotland, the environmental regulators have the power to serve a
works notice to prevent or remedy water pollution. Such notices can be served before
pollution has occurred if, in the opinion of the environmental regulator, a polluting substance
is likely to enter surface waters or groundwater. The regulator may also serve a works notice
to ensure that waters are cleaned up after pollution has occurred.
In Northern Ireland, the Environment and Heritage Service (EHS) has the power to serve a
number of notices to prevent or remedy water pollution. Notices can be served before
pollution has occurred if, in the opinion of the regulator, a polluting substance is likely to
enter surface waters or groundwater. EHS may also serve a notice where it is of the opinion
that conditions of a discharge consent are contravened and a further notice to ensure that
waters are cleaned up after pollution has occurred.
The works notice may require preventative measures to be taken; the removal of polluting
matter and the restoration of the environment. Failure to comply with a works notice is an
offence.
A works notice is routinely used by the Environment Agency for recovering investigation and
remediation costs following a significant pollution incident. It is often used before a
prosecution and sometimes is used alone as the potential costs of clean-up may act as a
greater deterrent than a potential fine resulting from a prosecution since the clean-up costs
are usually greater. In 1990, Shell was fined 1million for a major oil leak into the River
Mersey, but it was reported as having paid over 6million in clean-up costs.

Enforcement notices
The environmental regulator may serve an enforcement notice under the Water Resources
Act 1991 section 90B, where it believes that a breach of discharge consent conditions has
occurred or is likely to occur. The enforcement notice specifies the steps to be taken and the
timescale in which they must be carried out. Failure to comply is an offence.
2.5 Duties in Respect of Water Abstraction Licenses or Impounding Licenses.
Without licences, persistent over-abstraction (taking water) could lead to shortages in water
supply, increased river pollution by reducing dilution of pollutants, damage to fisheries and
wildlife habitats and ultimately to the loss of rivers for our recreation and enjoyment. By
licensing, control is exerted on the level of abstraction to protect both water supplies and the
environment. If you want to take more than 20 cubic metres (4,000 gallons) of water per day
from a river, stream or canal, or from an underground source, you will almost certainly need
a licence (one exception being an emergency abstraction to fight a fire).
The Environment Agency assess every application for potential impacts and listen to
representations from members of the public who may be affected by the proposals. They
also have to consider their aims and legal duties, e.g. the Conservation (Natural Habitats)
Regulations 1994.
Before you apply for an Abstraction Licence, you are advised to talk to a local Environment
Agency representative.
Notices of applications for licences to abstract or impound (store) water are
advertised on the Environment Agency website for 28 days and in local newspapers
(unless a publishing exemption or dispensation applies). Representations for and against
can be made in writing, or via email, to the Environment Agency office listed in the notice.
Each notice details how to make representations and the closing date for making them.
Note: Notices for abstraction or impounding licences are no longer placed in the London
Gazette, but press notices for drought orders, drought permits and discharges still are.
How the licenses work
An abstraction licence gives you a right to take a certain quantity of water from a source of
supply (inland water such as rivers or streams or an underground source). It also guarantees
that no one else who applies for an abstraction licence can take the share of water that is
already allocated to you. An abstraction licence does not guarantee the quality of the water
or that the amount authorised for abstraction will always be available. The quality and
quantity will often depend on the weather, climate and other uncontrollable factors.
An abstraction licence will specify the source from which the water can be taken, the
quantities that can be taken and the uses to which the water can be put. It will also have
conditions to protect other water users and the water environment.
Abstraction licences are issued for a time-limited period, normally 12 years. These licences
carry a presumption of renewal; however, you will need to re-apply for your licence and
satisfy the Agency that you still need the water and that you have been using it efficiently.
There are three types of licence, the type of licence you require depends on what you want
to use the water for, and how long for:

Full abstraction licence for most types of abstraction over 20 cubic metres a day;

Transfer licence for moving water from one location to another with no intervening
use;
Temporary licence for abstractions over 20 cubic metres a day over a period of less
than 28 consecutive days.

If you only need a temporary licence, the application procedure is simpler. Further details are
available on the Environment Agency website where you can also download a guide to
getting an abstraction licence.
2.6 Offences Under Water Pollution Law.
It is an offence under the Water Resources Act 1991 to cause or knowingly permit a
discharge of trade or sewage effluent into controlled waters, or discharge effluent through a
pipe from land into the sea outside of controlled waters, unless you have a consent.
Effluent is generally taken to mean a liquid waste. Consequently, a discharge of a material
such as fuel oil which is not a waste is covered by a separate statement in the Act also
making it an offence to cause or knowingly permit any poisonous, noxious or polluting matter
or any solid waste matter to enter any controlled waters. An unlicensed discharge of fuel oil
into controlled waters would be classed as a general pollution offence rather than the
offence of discharging trade or sewage effluent without consent.
It is also an offence to breach any condition attached to a consent and to discharge when a
prohibition is in force. There is no need for the Environment Agency to show that the
discharge has polluted the receiving waters, since the offence is in allowing the discharge
which is not in accordance with the consent.
Question 11.
Trade effluent includes....
Multiple Choice (HP)
Answer 1:

Detergents

Response 1:
Jump 1:

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Answer 2:

Biodegradable liquids

Response 2:
Jump 2:

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Answer 3:

Cooling water

Response 3:
Jump 3:

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Answer 4:

All of the above

Response 4:
Jump 4:

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Question 12.
The Environmental Act empowers the relevant agencies to charge for environmental
licences, including permits required for discharging sewage and trade effluent to controlled
waters.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

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Answer 2:

False

Response 2:
Jump 2:

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3.0 Control Strategies and Measures.

There is a range of engineering and procedural control measures and strategies which can
be applied to eliminate or, where possible, reduce or render harmless releases of polluting
matter to controlled waters. The main engineering control measures are for water treatment
for drinking water and sewage treatment which takes both domestic and industrial effluent
from the foul water drains and cleans it so that it is fit to be discharged back into controlled
waters.
3.1 Water Treatment.
Drinking water in the UK is obtained from rivers, purpose-built reservoirs (which collect
rainwater run-off or water from streams) and groundwater aquifers. All of these sources are
at risk of pollution and in Europe, drinking water has to comply with the EU Drinking Water
Directive (98/83/EC). To ensure it is safe to drink, water undergoes several stages of
purification:

suspended matter is removed and the water made colourless and free of odours and
tastes;
disinfection so that bacterial numbers are reduced to an appropriate level;
chemicals are removed which are harmful to health, and those which could interfere
with domestic or industrial requirements are reduced;
corrosive properties are reduced to protect the pipes;
materials which could encourage biological growth are minimised.

The treatment required will depend upon the quality of the water abstracted. Water drawn
from an underground aquifer may be relatively unpolluted so may only require preliminary
settlement followed by rapid sand filtration and then chlorination. Water drawn from a river,
on the other hand, may require a whole suite of processes to ensure it is fit for use. The
following describes the main stages of water purification, but the quality of the water itself will
determine which stages are used in a water treatment plant.
Preliminary treatment
The abstracted water first passes through a coarse screen to remove leaves and branches
which could damage to the machinery later in the treatment works. A fine screen is then
used to remove smaller material which could block pipe-work. Instead of a fine screen, a
microstrainer may be utilised this consists of a rotating drum covered with a fine mesh
through which the water is passed. The mesh can be fine enough to remove algae and
plankton.
The water passes into a primary settlement tank where it remains for at least seven days (if
the water is from a river) to allow suspended solids to sediment out and any organic matter
to be degraded. This storage also allows variations in water availability and quality to be
smoothed out.
Following settlement, the water may be aerated by allowing it to cascade over a series of
steps, so allowing oxygen to be dissolved and soluble gases such as carbon dioxide or

hydrogen sulphide to be released. This step may also reduce the corrosiveness of water
made acidic by high levels of carbon dioxide forming carbonic acid. Unpleasant tastes
caused by iron and manganese are also reduced as the aeration helps to convert these
metals into hydroxide salts which are insoluble and can be removed by a further filtration
step.
Coagulation and flocculation
Very small particles cannot always be removed by sedimentation or filtration as they do not
readily settle in still water. Clays, metal oxides, microorganisms and organic substances may
give the water a colouration or turbidity. For instance water may be brown when abstracted
from peaty soils. Chemical coagulants with a natural positive charge are added to the water
to cause the negatively charged colloidal particles to aggregate (clump together). Aluminium
and iron salts are commonly used as coagulants although there is a move away from
aluminium due to concerns over its (as yet unproven) link to Alzheimers disease. In some
waters, coagulation is poor so extra coagulant aids are required. These can be clay, silica or
polyelectrlytes (man-made organic molecules which become charged when dissolved in
water).
As the coagulants are added, the water is mixed using turbines in large plants or weirs in
small plants. Once coagulation (clumping) has taken place, a very fine precipitate forms
called a floc to help these flocs to form larger clumps to allow their removal, the water is
gently stirred for 20-45 minutes. This clumping together of the flocs is called flocculation, the
water is now ready for sedimentation.
Sedimentation or floatation
The chemical and physical coagulation and flocculation processes should now enable the
suspended particles to settle to the bottom of sedimentation tanks. To enable this to happen,
the tanks must enable the water to flow through with little turbulence and to allow the sludge
which has settled to the bottom of the tanks to be removed and not to be carried out of the
tank by the flow. Various techniques allow this but one of the favoured methods is to have
the inlet at the bottom of a cone-shaped tank so as the flocculated water rises up the tank
the velocity reduces as it rises. This flow results in the formation of a horizontal layer of floc
forming as the upward flow of water matches the downward fall of the floc. When the blanket
becomes dense, it is removed by bleeding off the excess. The clean water at the top of the
tank is decanted off and moves on to the next step.
An alternative to sedimentation is floatation which uses bubbles of dissolved air. It works by
dissolving air in water at high pressure and then releasing it into the flocculated water. This
releases tiny bubbles which attach to the solid particles. These then rise to the top of the
tank where they can be skimmed off. The advantage is that small particles which would take
a long time to settle out in a sedimentation tank can be removed in a shorter time.
Filtration
The partially treated water is passed through a medium such as sand which acts as a
strainer, retaining the fine organic and inorganic material and allowing the water through.
The action of filters is however, complex and the mechanical straining is only part of the
process with adsorption being the main process by which impurities are removed from the
water.
Slow sand filters use the biological action of a layer of algae and plankton on top of a 1.5

metre deep layer of sand to perform fine filtration and some biodegradation which results in
a reduction of organic matter, nitrate and phosphate in the water. This method is slow,
requires a large amount of space and maintenance (with the filter needing to be drained and
the top layer of sand removed every month or so) and it cannot be used for coagulated
waters due to rapid clogging.
Rapid gravity sand filters are replacing the slow sand filters because they are cheaper and
can treated coagulated water. The faster flow rate means no algal layer forms so no
biodegradation occurs. The filter requires cleaning by backwashing with pressurised air and
water every 24-48 hours. The resultant water has a higher bacterial count than that coming
from slow sand filters which increases the need for disinfection.
Disinfection
Since sedimentation and filtration cannot ensure that all pathogenic micro-organisms are
removed from water before it is passed into the public mains supply, the water is disinfected.
Disinfection involves the inactivation of pathogenic organisms, not the destruction of all
organisms (which is sterilisation).
Chlorine is the most commonly used disinfecting agent for drinking water around the world,
but ozone is gaining in popularity. Chlorine kills most bacteria but not all viruses whereas
ozone is effective against viruses and spores. Chlorine has some additional benefits in that it
is cheap, easy to use and a residual level can be maintained in the water to maintain
protection while the water is in the supply distribution system. Ozone is expensive and
complex to produce and rapidly breaks down into oxygen, leaving no residual protection.
Therefore, after ozone treatment water is sometimes chlorinated prior to being sent into the
distribution network.
Ultraviolet radiation can be used unless any suspended solids are present which could
shield the micro-organisms from being destroyed. UV does not confer any residual
protection and is generally only used in small-scale water treatment plants.
A newer approach involves the electrolysis of a pure sodium chloride solution which
produces a mixture of chlorine dioxide, ozone and hypochlorite. The mixture is separated
and introduced into the water requiring disinfection. These mixed oxidant gases are
generated on demand (hence sometimes referred to as a MOGGOD system) which avoids
having to store chlorine on-site. The pure sodium chloride is relatively cheap but the method
requires skilled maintenance of the electrolysis systems.
In developing countries, solar disinfection using sunlight to kill bacteria is generating
interest.
Extra treatments
As a result of the quality standards set in the EU Drinking Water Directive, it is sometimes
necessary for water to undergo additional treatments.
Nitrate removal
Nitrates in drinking water is an increasing problem due to intensive agricultural practices and
the EU Directive sets a maximum admissible concentration of 50 g per cubic metre. High
levels can cause cyanosis and methaemoglobinaemia in babies (blue baby syndrome). Ion
exchange techniques are used in some water treatment plants to remove nitrates and

reverse osmosis, which is used in removing trace organics and salts, could also be used.
3.2 Sewage Treatment.
The Urban Wastewater Treatment Directive 1991 was transposed into UK legislation at the
beginning of 1995. Its objective is to protect the environment from the adverse effects of
sewage discharges and it does this by specifying the levels of treatment required by the
amount of sewage discharged and the sensitivity of the receiving waters.
The directive requires:

collection systems and treatment plants for domestic and industrial waste water i.e.
foul water drains and sewage treatment works (STW);
methods for limitation of pollution from storm water overflows (when storm waters are
allowed to bypass the STW to avoid overflow and damage);
minimum standard of treatment for significant discharges;
regulation of discharges of treated waste water from STW to controlled waters;
more stringent controls on discharges to eutrophic sensitive areas;
STW covering a population of 2,000 - 15,000 must have secondary treatment;
STW covering a population of 15,000 100,000 must have tertiary treatment
processes;
STW covering populations of over 100,000 also have tertiary treatment but with
tighter discharge water quality targets.

Preliminary treatment
This involves removing debris that would cause damage such as sticks, plastic bags, rags
etc. This involves the use of mechanical screens, mesh traps or maceration to remove solid
matter. The screens themselves are automatically cleaned using rakes triggered by
electrodes or timers. The debris removed is currently taken to landfill.
Grit, which is washed down the sewers from roads, is then removed by reducing the flow to
less than 0.3 metres per second by either the use of a type of flow reduction channel or a
vortex technique (called a detritor) which removes around 85% of the grit.
Pre-treatment of industrial wastes
Some additional chemical pre-treatment of the effluent entering a STW may be necessary if
there is a significant proportion of industrial effluent in order to prevent the bacteria, which
perform a vital role in the later secondary treatment, from being harmed. Examples include:

neutralisation of acids arriving from a nearby steel works by adding sodium hydroxide
or calcium carbonate;
neutralise alkalies such as ammonia from a coking plant by adding sulphuric or
hydrochloric acids;
high levels of salts may cause damage, e.g. sulphates can react with the concrete of
the sewers themselves so it can be precipitated out (removed) using calcium
hydroxide;
toxic heavy metals can be precipitated out by different acidity levels;
cyanide arising from a steel works can be removed by chemical techniques such as
alkaline chlorination;
toxic forms of chromium arising from a textiles plant can be converted to a less toxic
form then precipitated out by chemical means.

Other methods include:

Emulsions and colloidal materials can be made to clump together and coagulate by
adding chemicals.
Oils and fats can be removed by floatation.
Toxic organic compounds from the pharmaceutical industry can be adsorbed by
activated carbon.
Solvents can be removed by distillation or air stripping techniques.

Primary treatment
Removes suspended solids by settling and/or floatation in primary settling tanks. The
effluent spends 5 8 hours in a circular tank and rotating blades scrape the scum off the
surface and settled solids from the base of the tank. Primary treatment generally achieves
the following:

reduces suspended solids by 40-75%;

decreases BOD (biological oxygen demand) by 20-80% (usually 30-40%);
reduces bacteria by 10%;
reduces nutrients by 5-15%.

Secondary treatment
Uses biological means to treat both the effluent and the sludge leaving the primary
settlement tanks. By providing suitable oxygenated conditions for the micro-organisms to
operate, organic material is removed by aerobic bacteria which lead to oxidation of the
carbon (organic C to CO2) and nitrification (organic N to NO3-). Several different technologies
are utilised to achieve these conditions trickling filters and activated sludge techniques are
the most commonly used for the effluent.
Trickling filter beds are large circular tanks 1-3 metres deep, containing a uniformly sized
(3-10cm) substrate of rock, gravel clinker or plastic. The effluent is slowly trickled onto the
top of the loosely-packed substrate from rotating arms. The effluent percolates downwards
and air which enters the bottom of the filter bed passes upwards by convection, keeping the
beds aerated. The loose packing of the rocks allows for a high proportion of air spaces in the
filter bed, so increasing the availability of oxygen for the bacteria. Natural communities of
bacteria, fungi and protozoa live on the surface of the rocks and perform the biological
decomposition of the organic material in the effluent. These communities create themselves
naturally and arrive with the sewage; the balance of the community is usually set within the
first few days of the filter bed starting use. During those first few days, it is normal to have a
reduced flow of effluent through the bed to allow the biological activity of the microbial
community to develop.
Trickling filters usually achieve:

reduction in suspended solids by 80-90%;

reduction in BOD by 60-90%;
reduction in nutrients of 30-50%.

In some situations, depending upon the nature of the incoming effluent, it may be necessary
to provide additional nutrients to allow the bacterial communities to survive. Biological
activity is temperature dependent and is most effective in the summer (but river volumes are
often higher during the winter months so the effluent is more dilute). Some STW have in-built

spare capacity to allow for slower activity during the colder months.
Road spills of toxic chemicals can have a serious impact upon the operation of a STW if the
chemicals are washed down the sewers by the fire brigade or rain. The toxins arriving at the
STW may kill the bacterial communities and put it out of action for several days. It is
therefore vital that STW are informed of major spills so that the contamination can be
diverted away if necessary.
Activated sludge is an alternative technique in which effluent is placed into aeration tanks
and an inoculum of bacteria is added from a sample of settled sludge. Air is bubbled through
the tank to ensure there is enough oxygen for the biological decomposition, usually for 6-8
hours (the retention time of effluent in the trickling filter beds is 20-35 minutes). A secondary
sedimentation conducted in a settlement tank is then required to remove clumps of bacteria
and protozoa. The efficiency of the activated sludge technique is:

reduction of BOD by greater than 90% (60-90% with trickling filters);

reduction of ammonia by greater than 90% (50-90% with trickling filters);
reduction of bacteria by greater than 90% (greater than 70% with trickling filters).

As a result of the increased efficiency of the activated sludge technique, plus the reduction in
land required, many STW in the UK are converting to activated sludge systems.
In accordance with the requirements of the Urban Wastewater Treatment Directive, since
1998 sewage sludge from the primary and secondary settlement tanks is no longer dumped
at sea. Instead, it now undergoes biological digestion which removes, or at least reduces,
the harmful organic material and reduces the sludge volume by 70%. The first stage of the
digestion takes from 7 to 30 days and is conducted anaerobically (without oxygen) in a warm
environment. This is then followed by 20-60 days of digestion under aerobic conditions at
ambient temperatures. The two types of digestion favours different sets of micro-organisms
which breakdown different parts of the sludge i.e. fats and proteins are digested during the
first stage whereas organic carbon is digested during the second stage.
The digested sludge is then either dried and compressed and sent to landfill or for
incineration, or is used as a fertiliser or soil improver on agricultural land. For those
concerned by the latter, there are strict guidelines on the use of sewage sludge on
agricultural land in terms of the timing of application, the crops which can be grown and the
livestock which can feed on any pasture so treated.
Tertiary treatment
Tertiary treatment is a polishing treatment it is only used in very large STW or where the
receiving waters are sensitive and so require the effluent to be very clean.
Tertiary treatments may involve physical/chemical processes:

Polishing filters such as rapid sand filters, microstrainers/membrane filtration (with

a mesh of 45 thousandths of a millimetre) to filter out suspended solids to further
reduce BOD; ultrafiltration using high pressure and a mesh of 0.01 thousandths of a
millimetre to remove bacteria and viruses.
Fluidised beds beds of sand and activated carbon similar to trickling filters, allow
increased area for bacterial attachment to further reduce BOD and dissolved organic
molecules.
Ultra Violet radiation to destroy microbes and break down some organic materials

Phosphate stripping use chemicals to react with the phosphates in the effluent
causing them to precipitate out of solution so they can be removed. Useful in areas
where the effluent is contaminated with agricultural chemicals or detergents.
Ammonia stripping use chemicals to react with the ammonium in solution and drive
it off as a gas.

Biological processes may be used instead or in addition:

Reedbeds these are built on a slope, effluent is added to the top of the reedbed
and it percolates through the root-zone where microbes degrade organic matter and
phosphates, nitrogen and heavy metals are absorbed by the reeds. They are 92-99%
efficient in decreasing suspended solids, pathogens, BOD, organic nitrogen and
phosphorous and are being used more and more at small STW but there are
problems during winter months when plant and microbial growth is retarded.
Lagoons/artificial wetlands use floating plants such as water hyacinth in warmer
climates which can remove six tons of nitrogen per hectare per year, and duckweed
in temperate climates. There is, however, the need to harvest the plants frequently to
remove the nutrients.
Stabilisation ponds these are 1-1.5 metre deep ponds where the effluent is retained
for 10-15 days. Suspended solids sediment is taken out. At the interface of the
resulting sludge/water, nitrates are removed by natural chemical reactions,
phosphates and heavy metals are also precipitated out and are removed.
Stabilisation ponds are also referred to as oxidation ponds, maturation ponds or river
purification lakes.

The nature of the effluent dictates the treatment required at each STW.
Storm tanks
During storms, when flows are in excess of what the STW can cope with, the excess water is
diverted into a sequence of storm tanks. These are effectively settlement tanks which return
the water to the main flow after the storm has abated. However, they are designed in such a
way as to ensure that if high flows persist for a long time and they overflow, then it is settled
storm water which is discharged to the river.
4.0 References and Web Links.
Defra (1998). Marine: Cleaner Seas Report. Inputs from land. Waste entering the sea.
Environment Agency (2007). Water Framework Directive.
NetRegs (2007). Water pollution guidelines
NSCA (2006). Pollution Handbook 2006. National Society for Clean Air and Environmental
Protection. Brighton.
Water Framework Directive UK Technical Advisory Group (2005 ). European Common
Implementation Strategy Glossary of Terms, available at
http://www.wfduk.org/wfd_concepts/
WFD (2000). Water Framework Directive 2000/60/EC of the European Parliament and of the
Council.

Please be advised that the course material is regularly reviewed and updated on the
elearning platform. SHEilds would like to inform students downloading these printable notes
and using these from which to study that we cannot ensure the accuracy subsequent to the
date of printing. It is therefore important to access the elearning environment regularly to
ensure we can track your progress and to ensure you have the most up to date materials.
Version 1.1c

Element 12 - Control of Environmental Nuisance.

Overall aims
On completion of this unit, candidates will have knowledge and understanding of:

basic environmental acoustics theory;

specific legislative requirements applying to environmental noise and nuisance;
control strategies and measures.

Specific intended learning outcomes

The intended learning outcomes are that candidates will be able to:

describe the characteristics of noise and advise on measurement and assessment of

environmental noise levels;

advise on the control of environmental noise with reference to relevant legal

requirements.

Hours of tuition and private study

5 hours of tuition
2 hours private study

Relevant statutory provisions:

Control of Pollution Act 1974

Control of Noise (Codes of Practice for Construction and Open Sites) Orders 1984,
1987 and 2002
Environmental Protection Act 1990, Part III
Noise and Statutory Nuisance Act 1993
Noise Act 1996
Noise Emission in the Environment by Equipment for Use Outdoors Regulations
2001
Anti-social Behaviour Act 2003
The Fireworks Regulations 2004
Clean Neighbourhoods and Environment Act 2005

1.0 Definition of Noise.

Noise is often described as unwanted sound. The reasons why a particular sound is
considered unwanted are varied, but the main ones are that it can cause physical injury to
the body, be distracting or cause annoyance. Occupationally it can lead to possible ill-health
or become a contributory factor in causing a physical accident. However, it must be
remembered that we obtain a considerable amount of useful information from noise.
Complete silence can cause distress, even to the extent that mental breakdown may occur.
Unwanted sound is also a relative term; a warning car horn may be useful to those at risk,
but to someone sleeping nearby it causes considerable disturbance and annoyance.

The basic concepts of sound

Very simply, sound is the vibration of any substance. The substance can be air, water, wood,
or any other material, and in fact the only place in which sound cannot travel is a vacuum.
When these substances vibrate or rapidly move back and forth, they produce sound. Our
ears gather these vibrations and allow us to interpret them.
To be a little more accurate in our definition of sound, we must realise that the vibrations that
produce sound are not the result of an entire volume moving back and forth at once. If that
were the case, the entire atmosphere would need to shift for any sound to be made at all.
Instead, the vibrations occur among the individual molecules of the substance and the
vibrations move through the substance in sound waves. As sound waves travel through the
material, each molecule hits another and returns to its original position. The result is that
regions of the medium become alternately more dense (condensations) and less dense
(rarefactions).

Sound waves are often depicted in graphs like the one below, where the x-axis is time and
the y-axis is pressure or the density of the medium through which the sound is travelling.

There are four main parts to a sound wave:

wavelength
period,
amplitude, and
frequency.

In this section, we will discuss each one of these parts. Also, we will talk about pitch and its
relation to the frequency of a sound wave.

1.1 Wavelength and Period.

The wavelength is the horizontal distance between any two successive equivalent points on
the wave. That means that the wavelength is the horizontal length of one cycle of the wave.
The period of a wave is the time required for one complete cycle of the wave to pass by a
point. So, the period is the amount of time it takes for a wave to travel a distance of one
wavelength.

Amplitude.
The amplitude of a sound is represented by the height of the wave. When there is a loud
sound, the wave is high and the amplitude is large. Conversely, a smaller amplitude
represents a softer sound. A decibel is a scientific unit that measures the intensity of sounds.
The softest sound that a human can hear is the zero point. When the sound is twice as loud,
the decibel level goes up by six. Humans speak normally at 60 decibels.

Frequency.
Every cycle of sound has one condensation, a region of increased pressure, and one
rarefaction, a region where air pressure is slightly less than normal. The frequency of a
sound wave is measured in hertz. Hertz (Hz) indicate the number of cycles per second that
pass a given location. If a speaker's diaphragm is vibrating back and forth at a frequency of
900 Hz, then 900 condensations are generated every second, each followed by a
rarefaction, forming a sound wave whose frequency is 900 Hz.

Sound power is sound pressure multiplied by the area over which the sound pressure is
measured.
Most sounds are a mix of different frequencies. These sounds are often referred to as broadband sounds. The graph below shows the intensity of the different frequencies of an aircompressor.

1.2 Pitch.
How the brain interprets the frequency of an emitted sound is called the pitch. We already
know that the number of sound waves passing a point per second is the frequency. The
faster the vibrations the emitted sound makes (or the higher the frequency), the higher the
pitch. Therefore, when the frequency is low, the sound is lower.
The Speed of Sound.
Sound travels at different speeds depending on the substance or medium through which it is
travelling. Of the three media (gas, liquid, and solid) sound waves travel the slowest through
gases, faster through liquids, and fastest through solids. Temperature also affects the speed
of sound.
Gases.
The speed of sound depends upon the properties of the medium through which it is passing.
When we look at the properties of a gas, we see that only when molecules collide with each
other can the condensations and rarefactions of a sound wave move about. So, it makes
sense that the speed of sound has the same order of magnitude as the average molecular
speed between collisions. In a gas, it is particularly important to know the temperature. This
is because at higher temperatures, molecules collide more often, giving the sound wave
more chances to move around rapidly. At freezing (0 Celsius), sound travels through air at
331 metres per second (about 740 mph). At 20C, room temperature, sound travels at 343
metres per second (767 mph).
Liquids.
Sound travels faster in liquids than in gases because molecules are more tightly packed. In
fresh water, sound waves travel at 1,482 metres per second (about 3,315 mph), over four
times faster than in air. Several ocean-dwelling animals rely upon sound waves to
communicate with other animals and to locate food and obstacles. The reason that they are

able to effectively use this method of communication over long distances is that sound
travels so much faster in water.
Solids.
Sound travels fastest through solids. This is because molecules in a solid medium are much
closer together than those in a liquid or gas, allowing sound waves to travel more quickly
through it. In fact, sound waves travel over 17 times faster through steel than through air.
The exact speed of sound in steel is 5,960 metres per second (13,332 mph) This is only for
the majority of solids. The speed of sound in all solids are not faster than in all liquids.

Constructive and Destructive Interference of Sound Waves.

Two speakers are situated at the exact same distance (3 metres) away and each speaker is
emitting the same sound. The wavelength of the sound is 1m. Finally, and most importantly,
the speakers' diaphragms are vibrating synchronously (moving outward and inward
together). Since the distance from the speakers is the same, the condensations of the wave
coming from one speaker are always meeting the condensations from the other at the same
time. As a result, the rarefactions are also always meeting rarefactions. One principle of
sound is linear superposition, which states that the combined pattern of the waves is the
sum of the individual wave patterns. So, the pressure fluctuations where the two waves meet
have twice the amplitude of the individual waves. An increase in amplitude results in a louder
sound. When this situation occurs, it is said to be "exactly in phase" and to exhibit
"constructive interference".

But, if one of the variables is slightly changed, the resulting sound is nearly the opposite of
what it was. If one of the speakers is moved 0.5m (1/2 of the wavelength) further away,
assuming that the volume on this speaker is turned up so that the amplitude remains
constant, the movement causes the condensations from one speaker to meet the
rarefactions from the other sound wave and vice versa.
Again referring to the principle of linear superposition, the result is a cancellation of the two
waves. The rarefactions from one wave are offset by the condensation from the other wave
producing constant air pressure. A constant air pressure means that no sound can be heard
coming from the speakers. This is called "destructive interference" where two waves are
"exactly out of phase".

Question 1.
The _____ of a sound wave is measured in Hertz (Hz).
Multiple Choice (HP)
Answer 1:

wavelength

Response 1:
Jump 1:

This page

Answer 2:

period

Response 2:
Jump 2:

This page

Answer 3:

frequency

Response 3:
Jump 3:

Next page

Answer 4:

amplitude

Response 4:
Jump 4:

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Question 2.
The time required for a complete cycle of a wave to pass by a point is known as the .....
Multiple Choice (HP)
Answer 1:

Frequency

Response 1:
Jump 1:

This page

Answer 2:

Period

Response 2:
Jump 2:

Next page

Answer 3:

Amplitude

Response 3:
Jump 3:

This page

1.3 Beats.
The previous section showed what happened when two sound waves with the same
frequency overlap. What happens when two sound waves with different frequencies
overlap? Two instrument tuners are placed side by side, one set to emit a sound whose
frequency is 440 Hz and the other set to emit a sound whose frequency is 438 Hz. If the two
tuners (which have the same amplitude) are turned on at the same time, a constant sound
will not be heard. Instead, the loudness of the combined sound rises and falls. Whenever a
condensation meets a condensation or a rarefaction meets a rarefaction, there is
constructive interference and the amplitude increases.
Whenever a condensation meets a rarefaction and vice versa, there is destructive
interference, and nothing can be heard. These periodic variations in loudness are called
beats. In this situation, the loudness will rise and fall 2 times per second because 440438=2. So, there is a beat frequency of 2 Hz. Musicians listen for beats to hear if their
instruments are out of tune. The musician will listen to a tuner that has the correct sound and
plays the note on his instrument. If the musician can hear beats, then he knows that the
instrument is out of tune. When the beats disappear, the musician knows the instrument is in
tune.

Diffraction.
An obstacle is no match for a sound wave; the wave simply bends around it. For example, if
a stereo is playing in a room with the door open, the sound produced by the stereo will bend
around the walls surrounding the opening. This bending of a wave is called diffraction. All
waves exhibit diffraction, not just sound waves. Without diffraction, the sound from the stereo
could only be heard directly in front of the door. Instead, the air in the doorway is set into
longitudinal vibration by the sound waves from the stereo. This means that each air molecule
is a source of a sound wave itself. This results in each molecule producing a sound wave
and emitting it outward in a spherical fashion. The final result is the diffraction of the sound
wave around the doorway.

The sound outside of the room has varying intensity depending on position. Directly in front
of the centre of the doorway the intensity is a maximum. The further away the centre is, the
more the intensity decreases until it is at zero, then increases to a maximum, falls to zero,
rises to a maximum and so on. Each maximum gets progressively softer further away from
the centre. Waves diffract differently depending on the object around which they are
bending. If angle x is the location of the first minimum intensity point on either side of the
centre, W is the wavelength, and D is the width of the doorway, the equation

gives x in terms of the wavelength and the width of the doorway. For a circular opening, the
equation is slightly different. Angle x, W for wavelength, and D for width are all still the same.
The equation looks like this:

So, looking at these two equations the extent of the diffraction depends on the ratio of the
wavelength to the size and shape of the opening. If the ratio of W/D is large, then x is large.
In this case, the waves are said to have a wide dispersion and the sound waves are spread
out wider through the opening. Conversely, if the ratio of W/D is small, then x is small and
the waves are said to have a narrow dispersion and the sound waves go through the
opening without spreading out very much. So, it makes sense that lower-frequency sounds
typically have a wide dispersion and sounds with small wavelengths have a narrow

dispersion.
1.4 The Doppler Effect.
As an ambulance approaches, the sound of its sirens is rather high in pitch. This is because
the sound waves in front of the vehicle are being squashed together by the moving
ambulance. This causes more vibrations to reach the ear per second. More vibrations per
second results in a higher pitched sound. When the ambulance passes, the sound becomes
lower in pitch. Behind the ambulance there are fewer vibrations per second, and a lower
sound is heard. This change in pitch is known as the Doppler Effect. This is named after an
Austrian physicist Christian Doppler (1803-1853) who proposed the idea in 1842.
When a vehicle travels faster than the speed of sound, about 330 metres per second, a
sonic boom can be heard. As the vehicle overtakes its own sound, the sound waves spread
out behind in a shockwave
The Intensity of Three-Dimensional Waves:
A two-dimensional sound wave looks like a series of concentric circles that get bigger as
they move further away from their origin. These circles are called wavefronts. In real life,
sound waves grow in three dimensions. Three-dimensional waves move out in all directions
away from their origin in wavefronts that are concentric spherical surfaces. The space in
between wavefronts is the wavelength. Rays indicate the motion of a set of wavefronts. Rays
are lines perpendicular to the wavefronts that originate at the source of the sound and follow
the wavefronts outward. If the sound is emitted evenly in all directions, the energy at a
distance r from the source will be uniform on the spherical shell. If P equals the original
power the sound has when emitted from the source, the intensity per unit area (the surface
area of a sphere is the denominator) at a distance r from the source will be:

The intensity level of sound is measured in decibels (dB). Decibels are units of intensity that
are based upon a logarithmic scale. This means that a sound with an intensity of 20 dB is
ten times as loud as one with an intensity of 10 dB, 30 dB is ten times as intense as 20 dB,
and so on. The reason for this logarithmic scale is that humans hear intensity on a similar
logarithmic scale. So, while a 20 dB sound is ten times as intense as a 10 dB sound, we
perceive it as only twice as loud. The hearing threshold (level at which humans begin to
perceive sound) is 0 dB. When a sound reaches upwards of 120 dB, it is above the threshold
of pain (point at which most people begin feeling pain). Everything in between can be heard
by a human with normal hearing.

However, these levels are not constants. What a human perceives as loud or soft depends
on the frequency as well as the intensity of the sound. The graph below displays intensity
levels compared with the frequencies for sounds of equal loudness for humans. The bottom
line is the threshold of hearing. At a 1 kHz frequency, the hearing threshold is 0 dB, but at 60
Hz the decibel level is 50. Only one percent of all human beings can hear sounds this low,
so the lower line is mainly for those with very good hearing. The next line up is the hearing
threshold for the majority of people. The top line is the pain threshold. Other than at one
point, about 4 kHz, this line varies little. All of the other lines also dip down at 4 kHz. The
graph shows that the human ear is most sensitive at about 4 kHz.

The overall hearing range

Besides a threshold level of hearing, there is also a threshold level of pain. If the sound level
is too large, then it starts to hurt.
Sound Characteristics
Knowing about the different characteristics of sound waves will assist understanding of
different sound patterns and why they differ. Frequency plays an important role in sound with
frequency being the number of cycles a sound wave completes in a given amount of time.
Pitch is also important because it is a property of sound that is perceived as higher and
lower tones. Frequency and pitch are directly related to each other. Pitch can also be given a
musical note on a musical scale. Pitches are actually a sound composed of many
frequencies that vibrate at multiples of fundamental tone.
The next aspect of sound is tonal quality. This refers to the relationship between pitches and
usually to the specific system of pitch relationships that refer to a central pitch or tone. Tonal
quality is also the characteristic of sound that allows the ear to distinguish between tones
created by different kinds of sounds, even if the sound waves are identical in amplitude and
frequency. Tones are sound waves that evoke a sensation of pitch while overtones are the
additional components in a wave that vibrate in simple multiples of one base frequency.
Question 3.
The bending of a sound wave is called diffraction
True/False (HP)
Answer 1:
Response 1:

True

Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

1.5 The Decibel (dB) & A-weighting (dB(A)).

The name 'decibel' honours the inventor of the telephone, Alexander Graham Bell, in
recognition of his work in acoustics. Sound intensity levels are frequently specified using
decibels.
The human ear can detect sound levels ranging over a factor of a trillion (1,000,000,000,000
= 1012).
The intensity in decibels is

Example: What is the Intensity in dB for a sound of intensity 4.0 10-5 W/m2?

To convert a sound in decibels to normal, we use

Adding sound levels

The intensities of two sound levels can be added. However, the intensity of two sound levels
expressed in dB cannot be added in dB.
To add sound levels in dB

convert sounds levels in dB back to ordinary sound intensities;

add the sound intensities together;
convert the sound levels back to dB.

Example: suppose two sound levels of 84 dB and 92 dB are to be added together, what is
the intensity of the sound level in dB?

So I1 + I2 = 0.00158+0.00025=0.00183 W/m2

Pressure and decibels

Sometimes the sound level is given in terms of a pressure difference.
However, the intensity of a sound wave is proportional to the square of the pressure
difference. In terms of pressure differences, we could write

where p0 = 20 10-6 Pa. (Pa = Pascal)

Adding and subtracting decibels graphically

Determine difference between two sound levels in dB. Then add the number read from the
graph to the higher sound level.
If the two sound levels are different by more than 10 dB, the weaker sound levels will hardly
have any effect.
1.5.1 What Does a Decibel Mean?.

Question 4.
The intensity level of sound is measured in...
Multiple Choice (HP)
Answer 1:
Response 1:

Hertz

Jump 1:

This page

Answer 2:

Decibels

Response 2:
Jump 2:

Next page

Answer 3:

Waves

Response 3:
Jump 3:

This page

1.6 What are A-weighted Decibels?.

The sensitivity of the human ear to sound depends on the frequency or pitch of the sound.
People hear some frequencies better than others. If a person hears two sounds of the same
sound pressure but different frequencies, one sound may appear louder than the other. This
occurs because people hear high frequency noise much better than low frequency noise.
Noise measurement readings can be adjusted to correspond to this peculiarity of human
hearing. An A-weighting filter which is built into the instrument de-emphasises low
frequencies or pitches. Decibels measured using this filter are A-weighted and are called
dB(A). Legislation on workplace noise normally gives exposure limits in dB(A). Table 2 lists
examples of typical noise levels.
A-weighting serves two important purposes:
1. gives a single number measure of noise level by integrating sound levels at all
frequencies;
2. gives a scale for noise level as experienced or perceived by the human ear.
Table 2
Typical Noise Levels
Noise Source

dB(A)

pneumatic drill at 1 metre

115

hand-held circular saw at 1 metre 115

textile room

103

newspaper press

95

power lawn mower at 1 metre

92

lorry at 50 kmh at 20 metres

85

car 60 kmh at 20 metres

65

conversation at 1 metre

55

quiet room

40

What are basic rules of working with decibel (dB) units?

The decibel [dB, and also dB(A)] is a logarithmic scale. For mathematical calculations using
dB units, logarithmic mathematics must be used. However, in day-to-day work, such
calculations are not needed.
The use of dB unit makes it easy to deal with the workplace noise level data, provided a set

of simple rules is used, summarised in Table 3.

Table 3
Decibel (dB) basics
Change in dB Change in sound energy
3 dB increase

Sound energy doubled

3 dB decrease Sound energy halved

10 dB increase Sound energy increased by factor of 10
10 dB decrease Sound energy decreased by factor of 10
20 dB increase Sound energy increased by factor of 100
20 dB decrease Sound energy decreased by factor of 100
How are noise levels added?
Sound pressure levels in decibels (dB) or A-weighted decibels [dB(A)] are based on a
logarithmic scale. They cannot be added or subtracted in the usual arithmetical way. If one
machine emits a sound level of 90 dB, and a second identical machine is placed beside the
first, the combined sound level is 93 dB, not 180 dB.
Table 4 shows a simple way to add noise levels.
Table 4
Addition of Decibels
Numerical difference between two
Amount to be added to the higher of
noise levels [dB(A)]
the two noise levels [dB or dB(A)]
0
3.0
0.1 - 0.9
2.5
1.0 - 2.4
2.0
2.4 - 4.0
1.5
4.1 - 6.0
1.0
6.1 - 10
0.5
10
0.0
Step 1 : Determine the difference between the two levels and find the
corresponding row in the left-hand column.
Step 2 : Find the number [dB or dB(A)] corresponding to this difference in
the right-hand column of the table.
Step 3 : Add this number to the higher of the two decibel levels.
For instance, using the example of two machines each emitting a noise level of 90 dB:

Step 1: The numerical difference between the two levels is 0 dB (90-90= 0), using the
first row.
Step 2: The number corresponding to this difference of 0, taken from the right hand
column, is 3.
Step 3: Add 3 to the highest level, in this case 90. Therefore, the resulting noise level
is 93 dB.

When the difference between two noise levels is 10 dB(A) or more, the amount to be added

to the higher noise level is zero. In such cases, no adjustment factor is needed because
adding in the contribution of the lower in the total noise level makes no perceptible difference
in what people can hear or measure. For example if a workplace noise level is 95 dB(A) and
another machine is added that produces 80 dB(A) noise, the workplace noise level will still
be 95dB(A).
Sound Pressure Level Calculations.
Sound pressure level in decibels is defined in the following way:
dB = 20 log (Sound Pressure/Reference Pressure)
The "log" or logarithm of a number is a mathematical manipulation of the number, based on
multiples of 10. It is the exponent that indicates the power to which the number 10 is raised
to produce a given number. For example, the logarithm of 10 is 1 since 10 is multiplied by
itself only once to get 10. Similarly, the logarithm of 100 is 2 since 10 times 10 is 100. The
logarithm of 1000 is 3 since 10 times 10 times 10 is 1000.
Therefore:
log(1) = 0 Since 10 to the exponent 0 = 1,
log(10) = 1 since 10 to the exponent 1 = 10,
log(100) = 2 since 10 to the exponent 2 = 100,
log(1000) = 3 since 10 to the exponent 3 = 1000
The logarithm scale simply compresses the large span of numbers into a manageable range.
In other words, the scale from 10 to 1000 is compressed, by using the logarithms, to a scale
of 1 to 3.
The decibel scale for sound pressures uses as the reference pressure the lowest noise that
the healthy young person can hear (0.00002 Pa). It divides all other sound pressures by this
amount when calculating the decibel value. Sound pressures converted to the decibel scale
are called sound pressure levels, abbreviated Lp. So, the sound pressure level of the
quietest noise the healthy young person can hear is calculated in this way:
Lp = 20 log ( 0.00002/ 0.00002) = 20 log (1) = 20 X 0 = 0 dB
The sound pressure level or Lp in a very quiet room, where the sound pressure is 0.002 Pa,
is calculated:
Lp = 20 log (0.002/ 0.00002) = 20 log (100) = 20 X 2 = 40 dB
The sound pressure level of a typical petrol-powered lawn mower, which has a sound
pressure of 1 Pa, is calculated
Lp = 20 log (1/0.00002) = 20 log (50 000) = 20 X 4.7 = 94 dB
Sound Power Level Calculations

Sound power levels or Lw are determined by the following formula:

Lw = 10 log (Sound Power Level / Reference Power Level )
The reference power is one trillionth of a watt (0.000000000001 W). Therefore
Lw = 10 log (Sound Power Level / 0.000000000001)
Thus, the sound power level associated with an average whisper, which has a sound power
of 0.0000001 W, is calculated
Lw = 10 log (0.0000001/ 0.000000000001) = 50 dB
1.7 Noise Level Curves.
Humans have different sensitivities to noise of different frequencies. A number of criteria
have been developed to quantify this leading to a variety of Noise level curves. These are
the Noise Criteria (NC), the Preferred Noise Criteria (PNC) and Noise Rating (NR) curves.

The NR rating for a particular sound source is defined as for a particular sound source is
deemed to be the same as the lowest NR curve which is not exceeded at any frequency by
the spectrum of the source.
A more detailed NR curve
A sound source has the following intensity spectrum for the various octaves.
f (Hz)
62.5
125

dB
41
45

250
500
1000
2000
4000
8000

48
50
46
42
40
38

What would the NR value be for the tabulated sound spectrum?

What does an NR level mean?
Noise Rating
20-25
30-35
40-45
50-55
> 60

Perception
Very quiet
Quiet
Moderately Noisy
Noisy
Very Noisy

The dBA and NR are both single digit estimates of the loudness of the background noise.

The dBA is a weighted average over frequency.

The NR gives an upper limit to the spectrum.
Converting between NR and dBA is not the most rigorous procedure, because they both
depend on the shape of the spectrum. However, there are two approximate rules
dBA = NR + 10
NR = dBA - 5
Some recommend NR levels
NR curve
25
30
35
40
45
50
60
70

Activity or location
Concert halls, broadcasting and recording studios, churches
Private dwellings, hospitals, theatres, cinemas, conference rooms
Libraries, museums, court rooms, schools, hospitals operating
theatres and wards, flats, hotels, executive offices
Halls, corridors, cloakrooms, restaurants, night clubs, offices,
shops
Department stores, supermarkets, canteens, general offices
Typing pools, offices with business machines
Light engineering works
Foundries, heavy engineering works

Question 5.
An increase in 3 decibels means sound energy.....
Multiple Choice (HP)
Answer 1:

Doubles

Response 1:
Jump 1:

Next page

Answer 2:

Triples

Response 2:
Jump 2:

This page

Answer 3:

Halves

Response 3:
Jump 3:

This page

Question 6.
If a machine emitting 60 dB is joined by another machine also emitting 60 dB, the total noise
level will be....
Multiple Choice (HP)
Answer 1:

60 dB

Response 1:
Jump 1:

This page

Answer 2:

63 dB

Response 2:

Jump 2:

Next page

Answer 3:

120 dB

Response 3:
Jump 3:

This page

1.8 So Why is Noise an Important Workplace Hazard?.

As we mentioned at the beginning of this element, noise is one of the most common
occupational health hazards. In heavy industrial and manufacturing environments, as well as
in farms and cafeterias, permanent hearing loss is the main health concern. Annoyance,
stress and interference with speech communication is the main concern in noisy offices,
schools and computer rooms.
When considering hearing damage by noise, the concept of sound physics is quite
sophisticated, requiring knowledge of the noise dose (level and duration) required to produce
a hearing damage response over the range of susceptible individuals. Knowledge of the
concepts of sound physics is extremely important in the evaluation of occupational noise.
We hope the above - although in depth - has given you knowledge of the basic concepts of
sound physics. We will shorthly look at environmental noise and nuisance.
Now time for a quick play
http://www.cdc.gov/niosh/topics/noise/abouthlp/noisemeter_flash/noiseMeter.swf
1.9 Noise at Work.
Systematic studies in occupational deafness were first carried out in the late 19th century, in
America, Germany, Russia, and Scotland. The studies by Gottstein and Kayser, in 1881 in
Germany and by Barr in 1886 in Scotland, are identified as the two principal landmarks. The
physicians who carried them out should be seen as occupying a place in the mainstream of
development of industrial medicine.
Gottstein and Kayser's study of personnel in a railway works reflected a contemporary
concern about railway safety; Barr's, of boilermakers, a feeling for the difficulties in hearing
in the everyday world experienced by the victims of occupational deafness.
The protection of workers hearing is covered in the Health and Safety at Work, etc. Act
1974 and particularly, the prevention of damage to hearing in the Control of Noise at Work
Regulations 2005. The methods used for measuring the noise exposure of workers is welldocumented in the Applied Code of Practice, and the training of technicians for carrying out
these measurements is described in the HSE Code of Practice EH 14 Level of Training for
Technicians Making Noise Surveys. It is recommended that hearing tests are carried out
periodically for workers in industries where noise is an issue.
Assessing Environmental Noise and Potential for Complaint
In order to assess the impact of industrial noise on mixed residential and industrial areas, the
British Standards Institution have published BS 4142 1997: Method for rating industrial Noise
affecting mixed residential and industrial areas. This standard sets out a method for
assessing industrial noise against the existing background noise to determine the likelihood
of complaints from surrounding residents. Whilst the standard has no statutory force, it is
widely used by the Environmental Health Departments in deciding whether a statutory noise
nuisance exists or not (see Environmental Protection Act 1990, Part III). Clearly, where
complaints are received by the management of a manufacturing plant or an environmental
health department and the industrial noise level, as assessed using BS 4142 is such that the

standard predicts that complaints are very unlikely, then the complaint may be regarded as
representing only a small percentage of community opinion and therefore, unlikely to be
regarded authoritatively as a statutory noise nuisance. However, there are other issues
relating to the common law and nuisance.
The method used in BS 4142 involves making measurements of the background noise
levels, if possible, when the factory process or particular item of plant being assessed is not
operating. The intrusive factory noise level under investigation is then measured when the
process is operating and adjustments are added to take account of the intermittent or tonal
nature of the industrial noise. This is called rated noise. The difference between the rated
noise and the background noise levels is used to assess whether complaints are
likely.
The measurement of background noise is made using environmental or statistical noise
analysers complying with Type 2 of BS 5969. The measurements of the factory noise are
made using an integrating or averaging sound level meter complying with Type 2 of BS 6698
or better, or a sound level meter complying with Type 2 of BS 5969. The units used are Aweighted decibels, dB(A).
Ideally, the measurements of both background noise and industrial noise are made at the
buildings or site which will be affected by the industrial noise. The period over which the
measurements are taken should be sufficient for the results to be representative of the
actual situation.
Background Noise
Background noise levels vary with the nature of the area, from rural to mixed residential and
industrial, together with local factors such as main roads or railways. The background noise
levels experienced in these areas may also vary from 30 dB(A) in rural areas at night, to
levels nearer 65 dB(A) or more in industrial areas during the day.
Where the background reading is steady and continuous, any industrial noise added would
make a greater impact than if the background noise fluctuated. Corrections are therefore
made to background noise levels measured to take a slightly lower figure for comparison
when the normal noise levels are steady.
Industrial Noise Rating
The industrial noise is measured when the factory, process or particular item of plant is
operating. The results include the industrial noise plus the background noise. It is recognised
that intermittent noises, such as clatters, bumps, clicks and occasional bangs, are
particularly annoying, especially at night. This is the well-known waiting for the other shoe to
drop syndrome. It is true, even when the actual measured noise level is not significantly
raised by those events. Consequently, a correction is applied to increase the noise level for
comparison with the background. Similarly, industrial noises with a high tonal element, such
as whines, hums, screeches and hisses, are also intensely irritating and this factor is
recognised.
Where industrial noise has intermittent or tonal elements, a factor of 5 dB(A) is added to the
actual noise level measured. The rated industrial noise is the actual measured level plus
a correction factor.

Complaint Assessment
In order to assess whether complaints are likely, the corrected background noise level is
subtracted from the industrial noise rated noise level. If the difference between the two is
more than 10 dB(A), then complaints are likely. If the difference is between 5 dB(A) and 10
dB(A), the situation is marginal and some complaints may be received. When the difference
between the two is less than 5 dB(A), then complaints are most unlikely.
For instance, consider the noise from a factory measured at 39 dB(A) at a house 100 m from
the factory, and there is a fan producing a distinctive whine. The background noise level is
measured at 34 dB(A):
Industrial noise level measured at house 39 dB(A)
Correction for tonal component +5 dB(A)
Corrected industrial noise level 44 dB(A)
Background noise level 34 dB(A)
Difference between the rated noise and the background noise is 10 dB(A). A difference of
+10 dB(A) indicates that some complaints are to be expected.
2.0 Legislative Requirements Applying to Environmental Noise & Nuisance.
There are a number of statutes which have been passed by the UK government in order to
control noise levels from different sources. The main statutes containing noise control
provisions are as follows:
Environmental Protection Act 1990, Part III.
Control of Pollution Act 1974 (as amended)
Town and Country Planning Act 1990.
Health and Safety at Work, etc. Act 1974.
Noise and Statutory Nuisance Act 1993.
Noise Act 1996.
2.1 Environmental Protection Act, Part III Statutory Nuisances and Clean Air.
This part of the Environmental Protection Act 1990 brings together and streamlines many
nuisance provisions of previous legislation. In particular, it replaced the relevant sections of
the Public Health Act 1936 and the Public Health (Recurring Nuisances) Act 1969. It
also replaces the noise nuisance provisions contained in the Control of Pollution Act 1974
(as amended). The Clean Neighbourhoods and Environment Act 2005 amended the
Environmental Protection Act 1990 to include two further statutory nuisances.
The issues that are defined to be statutory nuisances are now brought together in one set of
regulations under a unified system of treatment. These issues are specified as follows. The
phrase prejudicial to health or a nuisance appears several times in relation to statutory
nuisances and the meaning of this phrase has been refined by case law. Prejudicial to
health relates to the potential to generate a health hazard, impose a disease risk or expose

neighbours to vermin and other pests.

However, the nuisance may arise solely in relation to an interference with personal comfort.
The definition of nuisance may, therefore, be rather subjective. To illustrate how complex
case law can be on this subject, the following statement was made in relation to a nuisance
provision in the Public Health Act of 1936:
To be within the spirit of the Act, a nuisance to be a statutory nuisance had to be one
interfering materially with the personal comfort of the residents, in the sense that it materially
affected their well-being, although it might not be prejudicial to their health. Thus, dust falling
on motor cars might cause inconvenience to their owners; it might even diminish the value of
their motor car but this would not be a statutory nuisance. In the same way, dust falling on
gardens or trees, or on stock held in a shop would not be a statutory nuisance. But dust in
eyes or hair, even if not shown to be prejudicial to health, would be so as an interference
with personal comfort.
It will be noted that several of the nuisances appear to relate to issues which are rather
dated. In fact, many of the nuisances date back as far as the Public Health Act of 1875.
The following are statutory nuisances:

Any premises in such a state, as to be prejudicial to health or a nuisance.

Smoke emitted from premises, so as to be prejudicial to health or a nuisance.

Fumes or gases emitted from premises, so as to be prejudicial to health or a

nuisance. This provision appears for the first time in the Environmental Protection
Act 1990 and relates only to fumes and gases from private dwellings. However,
similar emissions from industrial or manufacturing premises are covered by the next
paragraph.

Any dust, steam, smell or other effluvia arising on industrial, trade or business
premises and being prejudicial to health or a nuisance. Clearly, this class of
nuisance relates specifically to industrial or manufacturing premises. This applies to
all premises, not only those operating processes which are prescribed under Part I of
the Environmental Protection Act 1990 (now replaced by the Pollution
Prevention and Control Act 1999).

Any accumulation or deposit, which is prejudicial to health or a nuisance.

Any animal kept in such a place or manner, as to be prejudicial to health or a

nuisance.

Noise emitted from premises, so as to be prejudicial to health or a nuisance.

Any other matter declared by any enactment to be a statutory nuisance.

Noise emitted from Vehicles, Machinery and Equipment from streets.

Any insects emanating from relevant industrial, trade or business premises and
being prejudicial to health or a nuisance. (from April 2006, inserted by the Clean
Neighbourhoods and Environment Act 2005).

Artificial light emitted from premises so as to be prejudicial to health or a nuisance.

(from April 2006, inserted by the Clean Neighbourhoods and Environment 2005).

Noise Nuisance
Under the Environmental Protection Act 1990, Part III, Section 79(1)(g), a noise may be
defined as a statutory nuisance by an environmental health officer who is able to confirm a
subjective interference with activities normally carried out by a receptor and demonstrate the
level of intrusiveness by making comparisons with acceptable criteria.
At first sight, the decision as to whether a noise constitutes a statutory nuisance may appear
to be quite subjective. Indeed, it is true to say that the response to noise within a community
will vary from individual to individual. Where some people may find a steady low level hum
from a fan quite acceptable and will ignore it completely, others will become annoyed,
complaining that it is intrusive and interferes with concentration or sleep.
Noise nuisance may be caused by a variety of activities including

commercial,
industrial,
entertainment,
leisure,
domestic,
transportation and
emergency activities.

Due to the often incompatible association of industrial and domestic premises, it is not
surprising that noise caused by industrial processes has received the greatest attention.
However, the noise generated from industry has an impact not only on the workers, but also
on the community living around industrial plants. The noise levels perceived in the
neighbourhood surrounding a plant will almost certainly be below the levels which will cause
damage to hearing, but nevertheless may be of concern to the people subjected to it. The
noise may be

the sound of compressors,

fans,
trip hammers,
transformers and refrigeration plant,
vehicles delivering to the plant or collecting finished product,
forklift trucks,
tannoy systems,
radios, or
simply the noise of workers on the site.

Where such noise is considered sufficiently intrusive and annoying, it is referred to as a

noise nuisance.
Penalties for Statutory Nuisance
Local authorities are required to inspect their areas periodically and investigate any
complaints they receive regarding statutory nuisances. Where the local authority is satisfied
that a statutory nuisance exists, or is likely to exist, it must serve an abatement notice.

Failure to comply with an abatement notice issued by the environmental health officer is a
criminal offence subject to an unlimited fine in a Crown Court and up to 20,000 in a
Magistrates Court. Fines can be issued on a daily basis for as long as the nuisance
continues. The Clean Neighbourhoods and Environment Act 2005 amended the
Environmental Protection Act 1990 to allow a seven-day grace period before serving an
abatement notice in relation to noise. It is envisaged that, within the seven days, informal
methods will be used to try to alleviate the nuisance before a notice is served.
In the case of industrial or business premises, there is a potential daily fine of 500. Failure
to comply with the notice is an offence. It is important to note that an abatement notice may
be served where the environmental health officer is satisfied that a statutory nuisance is
likely. In other words, an abatement notice can be served before the nuisance has actually
occurred, where the circumstances are such that a nuisance is likely. This could apply where
construction work is planned, or a new process about to begin.
Actions against statutory nuisances may also be brought by private individuals who feel
aggrieved about a particular nuisance. Aggrieved persons can apply to a magistrates court
for a statutory nuisance order which has much the same effect as an abatement notice.
For industrial management teams, a defence against an abatement notice or order is to
show that the best practical means were employed to prevent or reduce the nuisance.
There are also appeal procedures outlined in Schedule 3 of the Environmental Protection
Act 1990 and in the Statutory Nuisance (Appeals) Regulations 1995.
If an abatement notice is not complied with, the local authority has the power to abate the
nuisance themselves and charge the costs to those responsible for the nuisance. This power
may be exercised whether or not criminal proceedings are pursued for failure to comply with
the abatement notice.
This part of the Environmental Protection Act 1990 does not apply to Scotland. However,
there are some modifications made to the Public Health (Scotland) Act 1897.
2.2 Planning and Noise.
The supported view is that prevention is better than cure. This is particularly true
concerning noise control, which has been deemed a substantive issue when determining
whether a new road, industrial factory, housing development, night club or other land use is
environmentally acceptable in the proposed location. The Town and Country Planning Act
1990 and the Town and Country Planning (Use Classes) Order 1987 provide a system
whereby unacceptable noise developments in a quiet area or noise sensitive developments
in any existing noisy area may be refused planning permission.
The Use Classes Order defines 16 different classes of use.
Class A1. Shops
Class A2. Financial and professional services
Class A3. Food and drink
Class B1. Business
Use for all or any of the following purposes
(a) as an office other than a use within class A2 (financial and professional services),

(b) for research and development of products or processes, or

(c) for any industrial process,
Class B2. General industrial
Class B3. Special Industrial Group A (see the full text of the order for precise details)
Class B4. Special Industrial Group B (see the full text of the order for precise details)
Class B5. Special Industrial Group C (see the full text of the order for precise details)
Class B6. Special Industrial Group D (see the full text of the order for precise details)
Class B7. Special Industrial Group E - use for carrying on any business or trades using
animal byproducts
Class B8. Storage or distribution
Class C1. Hotels and hostels
Class C2. Residential institutions
Class C3. Dwellinghouses
Class D1. Non-residential institutions - any use not including a residential use
Class D2. Assembly and leisure
A change of land use, e.g. from a house to a late-night-refreshment establishment may be
deemed a change of use for which planning permission from the local planning authority
would be required. In such circumstances, the opportunity to exert control over the
development by refusing the planning application or incorporating conditions enables noise
control provisions to be at least one of the determining factors.
In order to apply planning noise controls on an objective and consistent basis, it is important
to adopt suitable criteria. The development of centralised planning policy guidance is how
this is carried out. Planning Policy Guidance: Planning and Noise (PPG 24) provides
guidance on how noise controls should be applied and includes examples of planning
conditions for a variety of noise sources. PPG 24 refers to noise from

road traffic,
aircraft,
railways,
industrial and commercial developments,
construction and waste disposal sites,
sports events,
entertainment and leisure activities, and
mixed sources.

Noise exposure limits for assessing new residential developments near to a noise source are
determined according to the category within which the noisy premises or activity falls.
Developments are divided into categories and the recommended exposure limits for
Category A-type developments are considerably less stringent than those which fall within

Category D.
Duties for Industrial Premises Best Practical Means
The law recognises that in relation to industrial noise, there is a limit to what can reasonably
be achieved. Whilst a factory may be asked to take all reasonable action to control noise, the
operator has a defence against any statutory noise nuisance enforcement action, which
protects the company against having to spend disproportionately high levels of capital to
abate the nuisance. This defence is the use of Best Practicable Means.
The use of the Best Practicable Means (BPM) defence is available to any trade or business.
However, the onus is on the operator to prove that BPM has been applied in relation to the
circumstances, which means that the company has to prove that it had taken some action in
relation to the design, installation, maintenance and manner of, or period of, operation of the
plant and equipment and the type of building or acoustic enclosure, in order to offset the
enforcement action and avoid further expenditure.
2.3 Duties in Respect of Construction Site Noise.
Control of Pollution Act 1974
Construction and demolition activities are inherently noisy and may be particularly intrusive
to office workers and residential occupiers. They often take place in sensitive areas near
residential developments with low background noise levels. It is not unusual for noisy
construction activities, such as building a railway bridge and operating drainage pumps, to
occur at night, or for some contractors to operate jackhammers on a Sunday morning.
Section 60 of the Control of Pollution Act 1974 gives local authorities the power to serve a
notice imposing requirements relating to noise controls and the duration and manner in
which construction activities are carried out. Under Section 61 of the same Act, a developer
or contractor may apply in advance for consent to carry out types of building activities, such
as the construction and maintenance of buildings and roads, the breaking up of roads and
demolition or dredging works.
Due to the relatively short term and transient nature of most construction activities, local
authorities are prepared to adopt a less stringent approach to noise control than if it were
emitted from a fixed and permanent development. In this respect, the controls imposed by
local authorities under Section 60 and 61 of the Control of Pollution Act 1974 are not
necessarily viewed as being intended to obviate a noise nuisance, but rather to mitigate the
effects of necessary noisy activities during specific daytime and/or night time periods.
Note: work carried out in an emergency by a statutory undertaker (such as a gas or water
utility) should not incur abatement notices.
The Control of Noise (Codes of Practice for Construction and Open Sites) Orders 2002
(there are three orders, one each for England, Wales and Scotland) were made under
Section 71 of the Control of Pollution Act 1974 and give approval to the following BSI
Codes of Practice on noise and vibration minimisation methods; they apply to all
construction and other open sites:

BS 5228: Part 1: 1997 (with Amendment 1), covering works falling under Section 60
of the Control of Pollution Act 1974, e.g. building and road works, demolition,
dredging and other works of engineering construction.

BS 5228: Part 3: 1997, covering opencast coal extraction.

BS 5228: Part 4: 1992 (with Amendment 1), also covering Section 60 works.

BS 5228: Part 5: 1997, covering opencast mineral extraction other than coal.

British Standards 5228 Noise Control on Construction and Open Sites provides guidance to
local authorities in the determination of reasonably acceptable noise levels from specific
items of plant and activities. It is not unusual in such cases for local authorities to impose
controls which may result in activities in the local area increasing the background noise level
by 10-15 dB(A) over limited time periods and for overall site noise levels to increase to 70
dB(A) Leq (12 hours).
In regard to vibration, Regulation 3(4) of the Control of Vibration at Work Regulations
2005 places an employer under a duty to include in his risk assessment any other person
(i.e. non-employees) who may be affected by the work he carries out.
Entertainment Noise
Noise nuisance may be readily caused by the operation of sound systems at clubs,
discotheques and open-air festivals. Noise may equally cause problems to residents in
proximity to sporting events, such as motor car racing circuits or open-air music concerts,
which are often located in quiet, rural areas.
Codes of Practice have been prepared or drafted in relation to

Clay Pigeon Shooting,

Flying Model Aircraft,
Ice Cream Chimes,
Organised Off-Road Motor Cycle Sports events and
Environmental Noise Control at Concerts.

Limits may be set in relation to the number of times such events are permitted, the distance
from noise-sensitive premises, the amplitude of music from loudspeakers and the time and
duration of such events.
One of the most common causes of neighbourhood noise nuisance is that caused by noisy
house parties. Many local authorities have now established out-of-hours teams of noise
control officers who are authorised to warn and, where necessary, issue noise abatement
notices under the noise nuisance procedures of the Environmental Protection Act 1990.
Another option is available to the Local Authority under the Local Government
(Miscellaneous Provisions) Act 1982. Public entertainment also requires a licence under
the Private Places of Entertainment (Licensing) Act 1967. In both cases, the local
authority can specify noise limits on the event.
Enforcement is the responsibility of the Local Authority; absence or infringement of a licence
can lead to a fine of 20,000. Additionally, under the Entertainment (Increased Penalties)
Act 1990, Magistrates can confiscate the proceeds of an event when these exceed 10,000.
2.4 Noise Act 1996.
This Act came into force on 18th July 1996 as the result of a private member's bill designed
to deal with the type of problem described above. It deals with noise nuisance, particularly
with night-time noise from domestic properties. Sections of the Act dealing with night-time

nuisance are adoptive, that is the local authority must decide to implement the provisions of
the Act in their area (although the Secretary of State can order the local authority to
implement these sections).
Section 10 of the Act concerns confiscation of noisy equipment and applies to every
authority.
As a result of the nature of this Act, particularly with regard to adoption of the Act by the local
authorities, it is currently under review by DEFRA to make it easier to tackle the problems
from night-time noise.
In Scotland, similar powers are available through the Civic Government (Scotland) Act
1982.
In the Act relating to night-time noise, nuisance is defined as taking place between 11.00 pm
and 07.00 am. The permitted level of noise at night has been defined by the Secretary of
State as 35 dB(A) where background noise does not exceed 25 dB(A), and 10 dB(A), where
background noise is over 25 dB(A).
Warning notices can be issued by the local authority. An offence is committed if the noise
when measured in the complainants house exceeds the permitted level after a warning
notice has been given. A fixed penalty and forfeiture of any related equipment can also be
issued. Prosecution can follow and may lead to a fine, not exceeding 1,000.
Seizure of Noise-Making Equipment
Under the Criminal Justice and Public Order Act 1994, the police may confiscate sound
amplification equipment from illegal parties, dances or raves, where the music is
characterised by repetitive beats. The local authority or another authorised office may also
use Section 10 of the Noise Act to remove noise-making equipment on production of a
warrant. Equipment may be seized for 28 days, or until court proceedings have been dealt
with.
Noise in the Street
The introduction of the Noise and Statutory Nuisance Act 1993 enhanced the powers
available to local authorities to control noisy loudspeakers in the street, from noisy car
repairs, car radios and parked refrigerator vehicles. Noise from the continuation of audible
intruder alarms may also now be controlled under the same Act. Where keyholders are not
available or there is no organised response to the audible alarm then the local authority may
gain entry to the property, if necessary with a Magistrates warrant to turn off the alarm.
2.5 Noise Outdoors.
Noise in the street
The Noise and Statutory Nuisance Act 1993 makes noise in the street a statutory nuisance.
Traffic noise, noise made by military forces, or from campaigning demonstrations is
excluded. The following are included:
Vehicles
Noise emitted from a vehicle, caused by it or by car repairs, car radios, car alarms and
parked refrigerator vehicles.

Loudspeakers
The use of loudspeakers in the streets is banned between 9.00 pm and 8.00 am (the police,
ambulance and fire brigade are exempt). Local authorities can license use outside these
hours e.g. for entertainment but not for advertising purposes or electioneering. Vehicles
selling perishable foods may use loudspeakers between 12.00 noon and 7.00 pm and these
times can be varied with local authority consent. Complaints about loudspeakers or chimes
should be made to the environmental health department.
Burglar Alarms
Under the Clean Neighbourhoods and Environment Act 2005, local authorities in England
and Wales can designate all or part of their area as an "alarm notification area". If an alarm
notification area is designated, a notice will be published in a local newspaper and all
affected addresses notified. Anyone responsible for premises in a designated area where an
intruder alarm is installed must nominate a key holder and notify the local authority. The key
holder should live nearby, be able to gain access and know how to silence the alarm if it
goes off accidentally. Failure to register a key holder may result in a fine. If an alarm
(whether in a designated area or not) has been sounding continuously for 20 minutes or
intermittently for more than an hour, and is judged to be giving reasonable cause for
annoyance, (and, in a designated area, reasonable steps have been taken to contact the
nominated key holder) an authorised officer of the local authority can enter the premises to
silence the alarm. If entry can only be gained by force, a warrant will be required.
Night-time noise
The Anti-social Behaviour Act 2003 amended the Noise Act 1996 and enables local
authorities in England and Wales to tackle night time noise emitted from dwellings and
gardens between the hours of 11.00 pm and 7.00 am. To enforce these powers, local
authorities must ensure that an environmental health officer takes reasonable steps to
investigate complaints about noise emitted from dwellings. If the officer is satisfied that noise
exceeds the permitted level, a warning notice may be served on the person responsible. If
the warning is ignored, the officer may issue a fixed penalty notice of 100, enter the
dwelling and confiscate the noise-making equipment (obstructing confiscation carries a fine
of up to 1000), or prosecute (fine up to 1000). In Scotland similar action can be taken
under the Anti-Social Behaviour (Noise Control) (Scotland) Regulations 2005. An extension
of the Noise Act came into force in February 2008, enabling local authorities in England and
Wales to tackle night time noise from licensed premises.
Fireworks
Recently fireworks have become an increasing noise problem for people and pets. They are
let off not only for traditional celebrations such as Bonfire Night, New Year and Diwali, but
year round to mark public and private celebrations. The Fireworks Regulations 2004 prohibit
anyone under 18 from possessing a firework, and anyone except professionals from
possessing display fireworks. They also prohibit the use of fireworks between 11.00 pm and
7.00 am except for Chinese New Year, Diwali, New Year's Eve and Bonfire Night. Since
January 2005, only licensed traders can supply fireworks year round. Unlicensed traders can
only sell them for short periods around the festivals mentioned above.
Noise Emission in the Environment by Equipment for Use Outdoors Regulations 2001
Manufacturers of 35 categories of equipment intended for use outdoors are required to

attach a label showing its guaranteed sound power level. A further 22 categories have to
be guaranteed to meet specified sound levels.
Equipment manufactured before 2nd January 2002 is exempt, but the new noise levels
which came into force in January 2006 had even stricter noise levels applied. The Vehicle
Certification Agency (VCA) enforces legislation in the UK.
International Descriptions of Environmental Noise
Environmental noise measurements are required to assess and describe noise impact from
several sources including rail or road vehicles, aircraft and industrial noise. Many of these
applications have required different measurements and assessment systems. However, in
order to standardise these measurements, the International Standards Organisation (ISO)
have published the ISO 1996 series of standards. The new series of standards are entitled
ISO 1996 Acoustics - Description and Measurement of Environmental Noise. The Standard
is published in three parts:

Part 1: Basic quantities and procedures.

Part 2: Acquisition of data pertinent to land use.
Part 3: Application to noise limits.

The ISO Standard 1996 is published in the UK as British Standards BS 7445. Under these
standards, the preferred noise descriptor for the specification of noise limits is given as an
equivalent continuous Aweighted sound pressure level or rating level, during given
reference intervals.
2.6 Noise Complaints Received by Environmental Health Officers.
England and Wales: 1984/5-2004/5

Number per million people

1984/5 1995/6 2000/1 2001/2 2002/3 2003/4 2004/5
Domestic Premises

1,244 4,895 5,001 5,540 5,573 5,973 5,903

Industrial/Commercial premises 636

1,466 1,382 1,273 1,315 1,480 1,260

Road works and construction

98

229

325

347

325

335

343

Road traffic

41

66

44

37

36

32

Aircraft

15

48

26

101

105

120

Although noise complaints are increasing, this does not necessarily mean that there has
been an increase in actual noise levels.
Domestic premises are the largest cause of complaints about noise, accounting for around
three quarters of all complaints in recent years. Between 1984/5 and 2004/5, complaints
about noise from this source increased almost fivefold. Complaints about roadworks and
construction noise were 3 times greater in 2004/5 than 1984/5, while complaints about
noise from industrial and commercial premises doubled in the same period.
Complaints about road traffic rose until 1997/8, but there have been fewer than in 1984/5 in
most years since then.
The information reported to the EHOs is considered to give, at best, only a very approximate
indication of the trend in noise complaints from these sources. For 2004/5 about 69 per cent
of local authorities responded.
2.7 Monitoring of Nuisance - Noise.
For the most part, noise measurements are ultimately an attempt to objectively quantify a
subjective response. There are exceptions, of course: measurement of noise for health and
safety purposes is an attempt to quantify the amount of sound energy to which a person is
exposed. Other objective measurements may be made to define the sound attenuating
performance of items such as partitions and enclosures. In general, noise tends to be
measured for the following reasons:

to check on compliance with conditions that may have been set with regard to
planning, licensing or IPPC;
to check compliance with regulations (e.g. the Noise at Work Regulations);
to make comparisons with predicted noise levels;
to describe and characterise the baseline situation as the first stage towards an
impact assessment; and
to assist in solving a problem.

The decision on what to measure depends on the purpose of the measurements. For
compliance or comparison monitoring, the parameter, units, measurement period,
measurement location and time of measurement should already be stated in the licence
condition. Baseline monitoring and problem solving require consideration to be given to the
features of the noise that are of interest.
Although the noise level is important, there are other features of noise that can be important
and that need to be reflected in what is measured. The table below shows different features

of noise and how they might be captured during monitoring.

Different characteristics of noise and their measurement
Feature
What to measure
Continuous noise at constant level Short sample only needed to characterise it.
Continuous noise that fluctuates in Statistical sampling needed (L10 , L90) ; or
level
Total energy in representative measurement
period, T, (Leq.T) .
Intermittent noise
Total energy of an individual event (SEL); or
Average energy of a number of events over
period, T, (Leq.T) ; or
Average maximum level of the events (Lmax); or

Frequency content of noise

Time of day noise occurs

How the maximum compares with the noise

between the events ( Lmax (of the events)
compared with Leq, or L90 (no events)); or The
number of events in a period.
Linear or A-weighting. (C-weighting may be useful
if the noise has a strong low frequency
component);
Octave or 1/3rd octave frequency bands.
Time of day of interest (although it is sometimes
possible to extrapolate results from one time of
day to another).

Other issues that need to be considered with regard to noise measurements include the
following:

A microphone is indiscriminate. It will measure the noise from all sources and not just
the source of interest. The degree of potential interference will depend on the noise
source being investigated and the noise parameter being used to define it.
The weather conditions, including wind speed and direction and temperature
gradients, will affect propagation - especially over longer distances. Adverse weather
conditions can also directly affect the measurements: measurements in wind speeds
of more than 5m per second are not likely to be valid, even if the microphone is fitted
with a windshield.
The type of meter used in terms of accuracy, frequency response and dynamic
range.
Being aware of the uncertainty of the results. Guidance on this has been published
recently.

3.0 Control Strategies & Measures.

The strategy of Source-Pathway-Receptor applies equally well to noise as to other forms of
environmental pollution.
The noise reduction strategy should follow the equivalent of other forms of waste reduction,

i.e. primacy should be given to minimisation or reduction at source. Following this,

substitution, followed by isolation and the provision of various barriers. Ear defenders
(Personal Protective Equipment) should be considered as a last resort in respect of noise
reduction. Consideration should always be given to reduction, by design, followed by
isolation/containment of the noise source.
The noise specification of equipment should always be considered and quiet equipment
purchased wherever practicable. It is always more effective to fit noise abatement equipment
during manufacture than as a retrofit.
Identify noisy operations, such as metal on metal impact. Reduce the drop height, and
provide impact cushioning by lining chutes, etc. by rubber or similar materials.
3.1 Noise Sources - Isolation and Enclosure.
Sound emitted from a point source can travel in all directions and travel at different speeds
through different materials.
Noise sources can be point sources (which can radiate equally in all directions) such as a
lawn mower or linear sources such as a pipe

Noise Spread from Point Source

Pathways
Noise travels at different rates through different materials. The sound heard by the recipient
will therefore vary according to a number of factors, such as the distance between the
source and the receptor, any barriers or buildings, the type of ground (hard or soft), and the
weather, including the wind speed and direction.
Noise Attenuation
In the open air, sound decreases by 6 dB for every doubling of the distance away from the
source, for example:

Distance
1 metre
2 metres
4 metres
8 metres

Noise Level
112 dB
106 dB
100 dB
94 dB

The effect of distance is to decrease the intensity of the sound as the sound travels further
from the source.
3.2 Barriers.
In the workplace, sound barriers may comprise acoustic screens, enclosures and silencers.
The issues of access and creation of new workplace hazards should be considered when
developing enclosures. In certain workplaces, the provision of noise refuges is the most
practical answer to a noise problem.
For environmental noise, the same principles apply in that sound contained cannot escape
into the environment. However, there are other considerations to be taken into account.
The design of acoustic barriers is a specialist subject requiring the assistance of a qualified
sound engineer. The following notes give general information and guidance on the subject.
Barrier Material
Proprietary damping compounds may be purchased and used to reduce noise. An enclosure
made from a sandwich comprising two separate skins of material separated by an
absorbent compound will provide improved sound deadening.
Material
Plasterboard
Double-glazed window
Brick
200 mm Concrete

Sound Insulation
15-20 dB
40 dB
45 dB
50 dB

Typical Values of Sound Insulation

There is a British Standard BS 8223: 1987 Sound Insulation and Noise Reduction for
Buildings, which gives more detail on this subject.

Purpose-Designed Double-Skinned Insulation Panels

3.3 Relationship Between Inside Noise to Outside Environment.
Noise levels of 85-95 dB(A) inside a building can be related roughly to expected noise
outside for a given set of circumstances. Taking an average level of building insulation,
such as that provided by lightweight single-skin cladding and open doorways, the noise will
be reduced over distance but will still be appreciable, especially if work takes place at night
or in the early morning or late evening when noise levels would normally be expected to be
lower.
Noise levels inside
85 dB(A)
98 dB(A)

100 metres
52 dB(A)
62 dB(A)

Noise levels outside

200 metres
400 metres
46 dB(A)
40 dB(A)
56 dB(A)
50 dB(A)

(Adapted from Reducing Noise from Forges and Foundries, Bob Davis, 2002)
Environmental Noise Barriers
Screening the noise source is a common way of preventing noise spread. Suitable barriers
could be high walls or fences, purpose-built earth berms or bunds, or other buildings in the
vicinity of the noise source. Although noise in some ways resembles the behaviour of light, in
others it does not and noise can be refracted round obstacles, literally travelling round
corners.
Therefore hiding a piece of noisy equipment from view will not stop the noise as, unlike light,
noise can travel round corners. Placing a barrier such as a wall or fence will only have a
limited effect. This is particularly the case with low-frequency sounds. High-pitched noises
tend to behave more like light and can be screened more effectively.
Screens may reduce noise from a small piece of equipment by preventing the noise
escaping in a particular direction. Screens should be placed near to the source, as shown in
the following sketch. The greater the angle, the better the noise reduction. Such a screen
could reduce noise.

An Acoustic Barrier (which should be close to the source or receiver and as high as
possible, to increase angle a for more noise reduction).

(Source: Reducing Noise from Forges and Foundries, Bob Davis, 2002.)
Equipment Fans, Ventilation, Openings, etc.
Factories were often laid out with the noisiest equipment on their boundary. Often the
nuisance is exacerbated by new developments, particularly residential developments
growing up nearby, and inevitably results in sometimes noisy equipment and houses being
in proximity.
Changes in the layout of buildings or equipment may be possible, even if total reorganisation
is not practicable. Some practical solutions which may be applicable, are:

shutting off public address systems and preventing use of radios;

repositioning doorways and compressor houses away from residential housing;
relocating stockyards away from houses;
resurfacing yards, particularly if forklift movements are involved.

3.4 Examples of Outdoor Noise Control.

Outdoor Noise Reduction Barrier Wall
The three-sided outdoor barrier wall is manufactured for
schools using standard galvanised construction with
specialised structural support to meet wind load
requirements and is approximately 45" x 24 "x 30" x 10"-16"
(H). The large barrier wall is installed on roof enclosing
chiller units. It provides the noise reduction necessary to
accommodate close neighbours and meets most city noise
level requirements.
Custom Soundproof Noise Control Barrier Wall for
Chiller Unit
The pharmaceutical companies need this outdoor noise
control barrier wall in front of their chiller units to reduce
noise from protruding to their neighbours. It is a two-sided
16 Ga. Galvaneal outdoor barrier wall measuring
approximately 8"x24"x16" (H). The outer skin can be
painted with standard industrial enamel paint to match
existing building. The structural supports are also painted
with matching paint.
Acoustical Pump Noise Reduction Enclosure
This pump enclosure is made for pump manufacturers and
is constructed with 18 Ga. Galvaneal outer solid skin (to
allow for paint adhesion) with 22 Ga. Galvanised perforated
inner skin to provide noise reduction. It is pre-assembled
with structural supports to allow entire enclosure to be lifted,
so enclosure can be easily placed over pumps as needed at
various job site locations. The custom designed enclosure
allows for acoustical treatment of pumps. Also notice the
access doors located where hoses need to penetrate
through enclosure allowing for easy connection of hoses to

pumps in the field.

Acoustical Pump Noise Reduction Enclosure
This pump enclosure is made for pump manufacturers and
is constructed with 18 Ga. Galvaneal outer solid skin (to
allow for paint adhesion) with 22 Ga. Galvanised perforated
inner skin to provide noise reduction. It is pre-assembled
with structural support to allow entire enclosure to be lifted,
so enclosure can be easily placed over pumps as needed at
various job site locations. The custom designed enclosure
allows for acoustical treatment of pumps. The noise
reduction enclosure is manufactured with a frame structure
for lifting the entire enclosure at once (shown being lifted via
boom truck).

Acoustical Pump Noise Reduction Enclosure

This pump enclosure is made for pump manufacturers and
is constructed with 18 Ga. Galvaneal outer solid skin (to
allow for paint adhesion) with 22 Ga. Galvanised perforated
inner skin to provide noise reduction. It is pre-assembled
with structural support to allow entire enclosure to be lifted,
so enclosure can be easily placed over pumps as needed at
various job site locations. The custom designed enclosure
allows for acoustical treatment of pumps. This pump
enclosure is painted and placed over pumps in the field.
Notice hoses have been connected to pumps and are
penetrating through the enclosure.
Acoustical Noise Control Pipe Wrap
The acoustical pipe wrap is used by cement companies and
industrial plants to control noise through indoor and outdoor
ductwork.

Noise Reduction Curtain System

This is a two-tier curtain barrier wall system used in
industrial installations to reduce the noise between
production departments. The curtain system uses a double
track on the bottom tier and a single track on the top tier.
Notice the lower level consists of viewing windows at the
appropriate height.

Outdoor Soundproof Noise Control Curtain System

This is a two-sided heavy-duty acoustical curtain system,
measuring approximately 28"x16"x12"(H) used mainly by for
industrial installations where reduction of noise control from
chiller units protruding towards their neighbours is
necessary. The curtain system is installed at ground level
with a structural system that is anchored into concrete
pillars using wind flaps in curtain panels for relief of high
winds.

Outdoor Soundproof Noise Control Curtain System

This three-sided rooftop acoustical noise control curtain
system is used by schools with two chiller units to reduce
noise for their neighbours. It is a heavy-duty system with
structural support and top valance.
3.5 Example Checklist for Noise Reduction on Construction Sites.
Noise
Change the working method to use equipment or modes of
operation that produce less noise. For example:
In demolition works use hydraulic shears in place of hydraulic
impact breakers
In driving steel sheet piles, consider the jacking method (subject
to soil conditions, eg cohesive soils), which produce only a
fraction of the noise of conventional hammer-driven piling
When breaking out pavements, consider other methods than
pneumatic breakers and drills, including chemical splitters or
falling weight breakers
Reduce the need for noisy assembly practices, e.g. fabricate off
site
Keep noisy plant as far away as possible from sensitive
receptors
Adopt working hours to restrict noisy activities to certain periods
of the day

Arrange delivery times to suit the area daytime for residential

areas, perhaps night time for inner-city areas
Route construction vehicles to take account of the need to
reduce noise and vibration
Keep haul roads well maintained
Use mufflers or silencers to reduce noise transmitted along pipes
and ducts
Minimise the drop height into hoppers, lorries or other plant
(reducing the drop height by a factor of 10 reduces noise by
about 10 dB)
Consider using rubber linings on tippers in very sensitive sites
Liaise with nature conservation bodies to minimise noise
disturbance (disruption) to any sensitive wildlife
Screens
Where possible, place sources of noise away from sensitive
receptor
Avoid sound-traps that amplify noise
Erect the screen close to the source of noise
Build the screen from materials with density of 7kg/m2 or higher,
with panels stiffened to prevent drumming
For the most effective results, build the screen about 1 m above
the highest sight line
Seal all gaps and openings, including gaps at the bottom of the
screen
Glaze any public observation openings in perimeter hoardings
with Perspex (protected with wire mesh or similar) if sensitive
receptors are lower than the height of the hoarding
Consider placing additional screens close to sensitive receptors
but not parallel to nearby walls
Question 7.
Noise reduction should follow any other hierarchy of control and the first step should be .....
Multiple Choice (HP)
Answer 1:

Isolation

Response 1:
Jump 1:

This page

Answer 2:

Ear defenders

Response 2:
Jump 2:

This page

Answer 3:

Minimise or reduce at source

Response 3:
Jump 3:

Next page

Answer 4:

Barriers

Response 4:
Jump 4:

This page

Question 8.
In the open air, doubling the distance away from the source causes a sound decrease of.....

Multiple Choice (HP)

Answer 1:

3 dB

Response 1:
Jump 1:

This page

Answer 2:

6 dB

Response 2:
Jump 2:

Next page

Answer 3:

10 dB

Response 3:
Jump 3:

This page

4.0 Other Nuisances.

The solution to the problem of many of the other nuisances is often less problematical than
that of noise. However, those of odour or dust are equally capable of being the cause of
complaint.
4.1 Odour.
Odour is a difficult problem to solve as - like many nuisances - it can be subjective. However,
the development of air locks to prevent the escape of noxious odours from a building, or the
absorption of odours onto carbon filters, for example, may be a solution. The techniques for
odour control are largely those of air emission abatement, which was dealt with previously.
4.2 Dust.
Dust problems can be of a nuisance nature, but can also have serious health and safety
implications.
Dust can also be a nuisance in other situations, such as open sites, landfill sites or builders
yards, where stored materials such as sand can be whipped by the wind, causing a
nuisance on and off site. A control strategy involving regular observation of meteorological
conditions (often a condition of an authorisation or permit), and having a strategy such as
spraying with water from a water bowser in dry, windy conditions, may be used to solve
potential complaints.
4.3 Dust Emissions & Odours: Avoid Causing a Nuisance (A Construction Site
Example).
Avoiding dust generation
Haul routes
Select suitable haul routes away from sensitive receptors if
possible
Reduce the length and width of haul roads (while still allowing
two way traffic) to minimise surface area from which dust may
be produced
Pave heavily used areas or use geotextiles, eg around
batching plant or haul routes. Sweep these regularly
Sweep public roads regularly using a vacuum sweeper
Limit vehicle speeds the slower the vehicles, the less the
dust generation
Damp down
Demolition

Use enclosed chutes for dropping demolition materials that

have the potential to cause dust. Regularly dampen the
chutes
Consent, under EPA 1990, is required for the use of mobile
plant for crushing materials such as bricks, tiles and concrete
Locate crushing plant away from sensitive receptors
Do not use drills that are powered by compressed air as these
generate large amount of dust
Plant and vehicles
Clean the wheels of vehicles leaving the site so that mud is
not spread on to the highways
Ensure that exhaust fumes are directed upwards and not
directly at the ground
Retractable sheeted covers on vehicles must be used to cover
material to enclose dust
Ensure all plant and vehicles are in good working order with
an up-to-date maintenance log
Vehicles must keep to site speed limits to reduce the risk of
dust clouds
Materials handling and storage
Locate stockpiles out of the wind (or provide wind breaks) to
minimise the potential for dust generation
Keep the stockpiles to the minimum practicable height and
use gentle slopes
Compact and bind stockpile surfaces (in extreme cases). Revegetate long-term stockpiles
Minimise the storage time of materials on site
Store materials away from the site boundary, main site access
roads and downwind of sensitive receptors
Ensure all waste skips are enclosed or covered by tarpaulin
Minimise the height of materials
Damp down earthworks during dry weather
Concrete batching
Mix large quantities of concrete or bentonite slurries in
enclosed areas to avoid generating dust
Cutting/grinding/grouting/packing
Minimise cutting and grinding on site where possible
On cutters and saws, use equipment and techniques such as
dust extractors to minimise dust. Consider a wet cutting saw
or use vacuum extraction or block splitters
Spray water during cutting of paving slabs to minimise dust
Preventing emissions and odours
Vehicles and plant
Keep vehicles and plant used on site well maintained and
regularly serviced. Ensure that all vehicles used by contractors
comply with MOT emissions standards at all times
Control deliveries to site to minimise queuing
Make sure that engines are switched off when they are not in

use
Keep refuelling areas away from the public
No fires on site
The only known exception to this is the burning of Japanese
Knotweed with consent.
Waste storage
To avoid odours, use covered containers for organic waste (eg
weeds and other vegetation) and remove frequently
Chemicals on site
To avoid odours:

Take account of the wind conditions when arranging

activities that are likely to emit aerosols, fumes, odours
and smoke

Position site toilets away from residential areas

Question 9.
Odour nuisances can be controlled by....
Multiple Choice (HP)
Answer 1:

Carbon filters

Response 1:
Jump 1:

This page

Answer 2:

Emission abatement

Response 2:
Jump 2:

This page

Answer 3:

Air locks

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

Question 10.
To prevent dust being a nuisance, a control strategy involving regular observation of
meteorological conditions and water spraying may be used.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:
5.0 Summary.

This page

The subject of noise is a technical one and we have only touched the surface. We have
looked at noise from the point of view of nuisance. Noise is one of the main reasons why a
factory may receive complaints from the public.
Noise is also an important subject from the health and safety viewpoint, as the results of
noise-induced hearing loss are severe. However, the two subjects are related and high noise
levels within a building often indicate potential noise problems outside the building too.
The control strategies taken to manage a noise problem, with the objectives of reduction and
minimisation, are essentially the same as for any other environmental problem, even though
the solutions are different.
To combat the effects of noise, a subject with which the public is becoming increasingly
concerned, the authorities have developed a wide range of legislation. However, obtaining a
speedy resolution to a problem is often difficult. The development of statutory nuisance
assists the local authorities in taking action in the case of nuisances, although there are
other situations - such as entertainment - and some preventative rather than reactive actions
can be taken by the local authority.
Little use has been made by the authorities of Noise Abatement Zones, although this may
change in the future, and many local authorities are now engaged in developing noise maps
of their areas. The development of residential property in proximity to industry has
exacerbated many problems with noise nuisance.
Noise has become part of our everyday lives, but with higher population densities, more
solutions have to be found to problems caused by noise, and these solutions may be both
technical and managerial in nature.

Please be advised that the course material is regularly reviewed and updated on the
elearning platform. SHEilds would like to inform students downloading these printable notes
and using these from which to study that we cannot ensure the accuracy subsequent to the
date of printing. It is therefore important to access the elearning environment regularly to
ensure we can track your progress and to ensure you have the most up to date materials.
Version 1.1c

Element 13 - Hazardous Substances.

Overall aims
On completion of this unit, candidates will have knowledge and understanding of:

specific legislative requirements applying to control of supply, storage, use and

transport of hazardous substances;
legislative requirements applying to the control of pesticides.

Specific intended learning outcomes

The intended learning outcomes are that candidates will be able to:

advise management on the environmental aspects of the legal requirements affecting

supply, storage, use and transport of hazardous substances;

advise management on the legislation affecting use of pesticides.

Hours of tuition and private study

7 hours of tuition.
3 hours private study.

Relevant statutory provisions:

Notification of Installations Handling Hazardous Substances Regulations 1982 and

2002
Dangerous Substances (Notification and Marking of Sites) Regulations 1990
Environmental Protection Act 1990, s.140
Planning (Hazardous Substances) Act 1990
Notification of Cooling Towers and Evaporative Condensers Regulations 1992
Chemicals (Hazard Information and Packaging for Supply) Regulations 2002
EC Regulation on control of ozone depleting substances 1804/2003
Control of Major Accident Hazards Regulations 1999
Environmental Protection (Controls on Dangerous Substances) Regulations 2003
Restriction of the Use of Certain Hazardous Substances in Electrical and Electronic
Equipment Regulations 2006 (RoHS)

1.1 Introduction.
Chemicals play a major role in everyday life. They are used extensively throughout industrial
sectors as well as in private residences. Products from the chemical industry provide the
foundations for nearly all manufacturing activities. They are found in the making of a wide
variety of products ranging from pesticides to man-made fabric and even include cosmetics.
With the amount and wide variety of hazardous substances used for industrial and domestic
activities, the scope of concern has been extended. It has become apparent that not only

does their impact on the health of people need to be taken into account but also their
environmental impacts have to be controlled as well. Any management system introduced
has to ensure all the health, safety and environmental aspects of a hazardous substance are
included. This would comprise the full life cycle from production to use to disposal. An
important aspect of the disposal phase is what happens when the product breaks down. The
product itself may have a limited impact on the environment but its constituents, once broken
down, may be very harmful.
As people have become more aware of the impacts that such chemicals have on peoples
health and the environment, new and more stringent standards have been introduced to
ensure their impacts are reduced to a safe level. This legislation covers all aspects of
hazardous substances - use, supply, transportation and storage.
1.2 Classification of Hazardous Substances Including those Hazardous to the
Environment.
It is a legal requirement for employers to prevent ill-health to employees and others as a
result of exposure to hazardous substances. Compliance with the Control of Substances
Hazardous to Health Regulations 2002 (COSHH) will ensure this requirement is met.
In order to fully understand the actions required it is firstly necessary to ensure that the term
hazardous substance is understood. The COSHH Regulations define a hazardous
substance as any substance, including preparation which is:

a Substance or mixture of substances classified as dangerous to health under the

Chemicals (Hazard, Information and Packaging for Supply) Regulations 2002;
a Substance with a workplace exposure limit as approved by the Health and Safety
Commission;
biological agents (bacteria and other micro-organisms), if they are directly connected
with the work or if exposure is incidental, such as with farming, sewage treatment or
healthcare;
any kind of dust in a concentration in air of more than 10 mg/m3 as a time-weighted
average over an 8 hour period of inhalable dust or 4 mg/m3 as a time-weighted
average over an 8 hour period of respiratable dust;
any other substance which has comparable hazards to peoples health, but which for technical reasons - may not be specifically covered by CHIP e.g. some pesticides,
medicines, cosmetics or substances produced in chemical processes.

Hazardous substances include substances used directly in work activities or substances

produced during work activities. This grouping all includes substances occurring in nature,
such as grain dusts.
Hazardous substances can be found in nearly all working environments from factories and
farms to offices and have differing effects depending on the nature of the product. Some
hazardous substances can cause mild irritations whilst some can cause occupational
asthmas and cancers. So it is imperative that people are made aware of the hazardous
nature of the substances. This is achieved through various methods including:

product classification and labelling;

hazardous substance warning signs;
material safety data sheets.

1.3 Examples of Chemicals and Their Impact on the Environment.

Type of Chemical Released
Heavy metals, lead and mercury

Chlorinated pesticides, e.g. DDT

PCBs
CFCs
SOx, Nox

Release of dioxins from uncontrolled

incineration of certain substances
Non-biodegradable detergents

Impact
Health effects include neurological damage
and effects on mental development,
particularly in the young
Concentrate in food chains, causing egg shell
thinning in birds, leading to failure of
reproduction
Suspected human carcinogens, impact on
aquatic environment and chronic effects
Reduction in stratospheric ozone leading to
higher levels of ultraviolet light to the surface
Acidification of upland lakes and rivers,
decline in fish population due to changes in
pH levels and disruption of ecological balance
Cancer and reproductive anomalies

Foaming in rivers and toxic effects on aquatic

life
Oestrogenic activity of some chemicals, such Effects on reproduction, including viability of
as phthalates
male fish and possible effects on humans
Question 1.
A hazardous substance is defined by the COSHH regulations as.....
Multiple Choice (HP)
Answer 1:

A substance with a workplace exposure limit

Response 1:
Jump 1:

This page

Answer 2:

Substances/mixes classified as dangerous to health under CHIP

regulations

Response 2:
Jump 2:

This page

Answer 3:

A biological agent directly connected with work or if exposure is incidental

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

Question 2.
People are made aware of the hazardous nature of substances through ......
Multiple Choice (HP)
Answer 1:

Hazardous substance warning signs

Response 1:
Jump 1:

This page

Answer 2:

Material safety data sheets

Response 2:
Jump 2:

This page

Answer 3:

Product classification and labelling

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

1.4 Introduction to CHIP and REACH.

It is now time to look at these regulations in more detail, as well as the use of risk and safety
phrases and the application of safety data sheets in preventing ill-health arising from the use
of chemicals.
CHIP refers to the Chemicals (Hazard Information and Packaging for Supply) Regulations
2009, which came into force on 6th April 2009. These regulations are also known as CHIP 4.
CHIP is the law that applies to suppliers of dangerous chemicals. It is intended to protect
people and the environment from the effects of those chemicals by requiring suppliers to
provide information about the dangers, and to ensure that they are safely packaged.
CHIP requires the supplier of a dangerous chemical to:

identify the hazards (dangers) of the chemical, a process known as classification;

give information about the hazards to their customers; suppliers usually provide this
information on the package itself (e.g. a label); and
package the chemical safely.

NOTE: Safety data sheets (SDS) are no longer covered by the CHIP regulations. The laws
that require a SDS to be provided have been transferred to the European REACH regulation.
Supply means making a chemical available to another person. Manufacturers, importers,
distributors, wholesalers and retailers are all examples of suppliers.
CHIP applies to most chemicals, but not all. The details of those to which it applies are set
out in the regulations. Some chemicals, such as cosmetics and medicines, are outside the
scope and have their own laws.
The CHIP Regulations have been amended because of the adoption of the European
Regulation on the Classification, Labelling and Packaging of Substances and Mixtures,
known as the CLP Regulation. The CLP Regulation is the European Unions adoption of the
internationally-agreed Global Harmonised System on the classification and labelling of
chemicals, known as the 'GHS'. CLP will be covered later in this unit.
The CLP Regulation was published on 31st December 2008 and entered into legal effect on
20th January 2009.
1.4.1 Overview of CHIP4.
The new CHIP 4 Regulations entered into force on 6th April 2009.
Although the CLP Regulation will be directly acting on Member States, without the need for
transposition, the proposed amendments will allow CHIP to be aligned with the transitional

period of the CLP Regulation. This will ensure that the provisions of the CLP Regulation can
be enforced in Great Britain, both throughout the transitional period and beyond.
The CHIP 4 Regulations allow chemical suppliers to apply the requirements of the CLP
Regulation (as an alternative to those in CHIP) in line with its transitional arrangements.
These arrangements comprise a two-stage process whereby substances have to be
reclassified and relabelled by 1st December 2010, and mixtures (previously called
preparations), by 1st June 2015. Substances and mixtures already on the shelves on these
dates can continue to be supplied until 1st December 2012 and 1st June 2017 respectively.
At the end of the transitional period, the CLP Regulation will eventually replace all existing
European classification, labelling and packaging of chemicals legislation. The primary source
for the obligations under the CLP Regulation will be the Regulation itself, with the exception
of the enforcement provisions set out in the CHIP 4 Regulations.
CHIP 4 provides for the enforcement of the CLP Regulation in Great Britain. Although the
CLP Regulation is directly acting on all EU Member States, it requires member states to
appoint enforcing authorities to enforce its provisions and to introduce penalties for noncompliance.
The scope of the CLP Regulation is broadly the same as those parts of the Dangerous
Substances Directive and Dangerous Preparations Directive it replaces, and the existing
enforcing authorities (mainly HSE and local authorities) for CHIP 4 will be the same as those
for CHIP 3. CHIP 4 also discharges the UKs obligation to appoint an enforcing authority to
enforce the duties in the CLP Regulation. The enforcing authorities (Health and Safety
Executive, local authorities, the Environment Agency and the Scottish Environment
Protection Agency), penalties and sanctions remain the same. Northern Ireland implemented
these provisions through regional legislation later in 2009.
CHIP 4 will also make a few minor editorial amendments, including arrangements to ensure
that the legislation keeps track of future changes to the CLP Regulation without the timeconsuming need to make new regulations.
1.4.2 REACH.
REACH is a new European Union regulation concerning the Registration, Evaluation,
Authorisation and restriction of CHemicals. It came into force on 1st June 2007 and replaces
a number of European Directives and Regulations with a single system.
Aims.
REACH has several aims:
To provide a high level of protection of human health and the environment from the use of
chemicals.
To make the people who place chemicals on the market (manufacturers and importers)
responsible for understanding and managing the risks associated with their use.
To allow the free movement of substances on the EU market.
To enhance innovation in and the competitiveness of the EU chemicals industry.
To promote the use of alternative methods for the assessment of the hazardous properties
of substances e.g. quantitative structure-activity relationships (QSAR).
No data, no market.
A major part of REACH is the requirement for manufacturers or importers of substances to
register them with a central European Chemicals Agency (ECHA). A registration package

will be supported by a standard set of data on that substance. The amount of data required
is proportionate to the amount of substance manufactured or supplied.
If a manufacturer does not register their substances, then the data on them will not be
available and as a result, they will no longer be able to manufacture or supply them legally,
i.e. no data, no market.
Scope and exemptions.
REACH applies to substances manufactured or imported into the EU in quantities of 1 tonne
per year or more. Generally, it applies to all individual chemical substances on their own, in
preparations or in articles (if the substance is intended to be released during normal and
reasonably foreseeable conditions of use from an article).
Some substances are specifically excluded:
Radioactive substances.
Substances under customs supervision.
The transport of substances.
Non-isolated intermediates.
Waste.
Some naturally occurring low-hazard substances.
Some substances, covered by more specific legislation, have tailored provisions, including:
Human and veterinary medicines.
Food and foodstuff additives.
Plant protection products and biocides.
Other substances have tailored provisions within the REACH legislation, as long they are
used in specified conditions:
Isolated intermediates.
Substances used for research and development.
Pre-registration.
It is estimated that there are around 30,000 substances on the European market in
quantities of 1 tonne or more per year. Registering all of these at once would be a huge task
for both industry and regulators. To overcome this, the registration of those substances
already being manufactured or supplied is to take place in three phases. These phases are
spread over 11 years. To benefit from these phased-in deadlines, manufacturers or
importers needed to pre-register their substances from 1st June to 1st December 2008.
Registration.
Registration is a requirement on industry (manufacturers/importers) to collect and collate
specified sets of information on the properties of those substances they manufacture or
supply at or above 1 tonne per year. This information is used to perform an assessment of
the hazards and risks that a substance may pose and how those risks can be controlled.
This information and its assessment is submitted to the European Chemicals Agency in
Helsinki. Further information on registration can be found on the ECHA website.
Joint registration and data sharing.

This is the principle that for any one substance, a single set of information on its intrinsic
properties is produced that is shared by all those companies that manufacture or supply that
substance. Business specific (e.g. company name) and business sensitive (e.g. how it is
used) information is submitted separately by each company. The Companies will work
together to get an agreement on information sharing through a Substance Information
Exchange Forum (SIEF). It is the responsibility of the businesses involved in the SIEF to
work out the details of how the information is shared. A role for national authorities in this
aspect of REACH is not foreseen. Companies who submit joint registrations via a SIEF
benefit from a reduced registration fee.
Evaluation.
Dossiers submitted in support of registration will be subject to evaluation under REACH as
follows:
Compliance checking: This is a check of the quality of the information submitted by
industry. It will be undertaken by the European Chemicals Agency (ECHA) in Helsinki and
will be on a sample (at least 5%) of dossiers submitted at each tonnage level.
Dossier Evaluation: For substances registered at the highest tonnage levels (=100
tonnes/annum) a proposal is made by the registrant detailing those animal tests they
consider are required from the list of standard tests in Annexes IX and X of REACH. The
ECHA will evaluate these testing proposals to prevent unnecessary animal testing.
Substance evaluation: This is undertaken by national Competent Authorities on substances
that have been prioritised for potential regulatory action because of concerns about their
hazardous properties. A key regulatory outcome of evaluation could be the imposition of
restrictions on the manufacture, supply or use of a substance. Substance evaluation may
also lead to a substance being added to the priority list for authorisation, or a proposal to
change the classification and labelling.
All dossiers will undergo an automated completeness check to ensure that all the relevant
pieces of information are present. This completeness check will not assess the quality or
suitability of the information. Further details on evaluation can also be found on the ECHA
website.
Authorisation.
In order to place on the market or use substances with properties that are deemed to be of
very high concern, industry must apply for an authorisation. The European Chemicals
Agency (ECHA) in Helsinki will publish an initial list containing substances to be considered
for the authorisation process by 1st June 2009. A company wishing to market or use such a
substance must submit an application to the ECHA for an authorisation. Decisions on
authorisation are made by the European Commission, taking advice from the ECHA and
member states. Applicants will have to demonstrate that risks associated with uses of these
substances are adequately controlled or that the benefits of their use outweigh the risks.
Applicants must also analyse whether there are safer suitable alternatives or technologies. If
there are, then they must prepare substitution plans and if not, then they should provide
information on research and development activities if appropriate.
Restrictions.
If any substance poses a particular threat and it is deemed to require Community-wide
action, it can be restricted. Restrictions take many forms, from a total ban to not being
allowed to supply it to the general public. Restrictions can be applied to any substance,
including those that do not require registration. This part of REACH takes over the provisions
of the Marketing & Use Directive.

Classification and labelling.

An important part of chemical safety is clear information about any hazardous properties of a
substance. The classification of different chemicals according to their characteristics (for
example, those that are corrosive, or toxic to fish, etc.) currently follows an established
system, which is reflected in REACH. The CLP regulation deals with this and dovetails with
REACH.
Substances of Very High Concern.
Some substances have hazards that have serious consequences, e.g. they cause cancer, or
they have other harmful properties and remain in the environment for a long time and
gradually build up in animals. These are substances of very high concern. This category
also includes substances shown to be of equivalent concern, such as endocrine disruptors.
One of the aims of REACH is to control the use of such substances via authorisation and
encourage industry to substitute these substances for safer ones.
Information in the supply chain.
The passage of information along the supply chain is a key feature of REACH. Users should
be able to understand what manufacturers and importers know about the dangers involved
in using chemicals and how to control risks. However, in order for suppliers to be able to
assess these risks, they need information from the users. REACH provides a framework in
which information can be passed both up and down supply chains.
REACH adopts and builds on the previous system for passing information - the Safety Data
Sheet (see section 1.5). This needs to accompany materials down through the supply chain,
providing the information users require to ensure chemicals are safely managed. In time, it is
intended that these safety data sheets will include information on safe handling and use.
Preparing for REACH.
REACH will impact most businesses in the UK in some way. It is important to understand
what your role is in REACH, and what you can do now to be sure you are prepared.
Compile an inventory.
An inventory of every chemical that comes into, is part of, or goes out of the business needs
to be compiled.
You need to know all the substances you use. For preparations, you need to find out what
the ingredients are. Keep a record of each one, and include essential information, for
example the name of the chemical and the percentage in any preparations. You can use this
information to determine the tonnage per year.
Additionally, you need to know whether you produce or import articles. If you do, establish if
any substance (which is intended to be released under normal or reasonably foreseeable
conditions of use) is present in these articles in quantities totalling over 1 tonne.
Once this inventory has been established, you can begin to understand what substances
you rely on, and consider the impact on your business should REACH influence the supply
(or for registrants, the production or import) of a substance. Consider contingencies, for
example alternative supply routes, chemicals or processes, or supporting suppliers in their
REACH obligations, etc.
Prioritise.
Every business using chemicals that are not exempt from REACH needs to understand how

valuable these substances are to them, and plan to make effective business decisions based
on this knowledge. Consider the importance of each substance to your business. Ask
yourself the following sorts of question:
For what is it used?
Are the uses to which you put chemicals going to be supported by their registrants?
How much of it do you use?
Are there any alternative substances or processes that could replace this?
Will your supplier/s maintain supply of important substances if REACH impacts the
commercial viability of doing so?
What will be the impact for you if the price increases or the supply drops, and what can you
do about it?
Do you want to share information back to registrants about the use to which you put
chemicals, or is this information so sensitive that you would prefer to compile risk
assessments yourself, and submit these directly to the European Chemicals Agency? What
will this involve?
Identify any chemicals that may be 'substances of very high concern'.
Determine your role in relation to each substance on the inventory.
Build relationships.
You need to establish a relationship with your suppliers and any downstream users. You
need to know how REACH is going to affect your supply chain before you can decide what
to do about it. An appropriate person within your organisation needs to be designated as the
main REACH contact and made the focus for communications with suppliers and customers.
1.5 Labelling.
The European Commission proposed the European Regulation (EC) No 1272/2008 on the
Classification, Labelling and Packaging of Substances and Mixtures (known as the CLP
Regulation). This was considered in detail during negotiations between Member States, the
Council and the European Parliament, between July 2007 and June 2008. The UK was
represented by the HSE throughout the negotiations.
The CLP Regulation was published in the European Unions Official Journal on 31st
December 2008 and entered into legal effect on 20th January 2009, subject to a lengthy
transitional period (see below).
http://ec.europa.eu/enterprise/sectors/chemicals/documents/classification/index_en.htm#h2clp-regulation-(ec)-no-1272/2008
Transitional periods.
The Regulation provides a transition period to allow a gradual migration from the existing
system to the new regime. This transition period is up to 7 years (the Regulation will apply
to the classification of substances from 1st December 2010, and to the classification of
mixtures from 1st June 2015). The transitional period will end on 1st June 2015 when the
CLP Regulation enters fully into force.
Over time, the CLP Regulation will replace the:
Dangerous Substances Directive (67/548/EEC)
Dangerous Preparations Directive (1999/45/EC)
Impact on the CHIP regulations and the proposed new CHIP 4.
These Directives have been implemented in the UK as CHIP 4, which will need to be
adjusted slightly to include the necessary enforcing regulations to deal with the CLP

Regulation, and to ensure that domestic law continues to be current with the changes at
European level during the transitional period.
http://guidance.echa.europa.eu/docs/guidance_document/clp_introductory_en.pdf
This pdf, although quite long, gives excellent guidance as to the application of CLP
regulations and the way in which they vary from the current, outgoing scheme.
This article from SHP by Douglas Leech, Technical Manager of the Chemicals Business
Association, gives an in-depth assessment of the CLP regulations and is well worth the time
taken to read it.
The dream of global harmonisation (GHS) of the classification, labelling and packaging
(CLP) of chemicals, originally conceived by the United Nations, came closer to fruition on
31st December 2008, when the European Union published Regulation (EC) 1272/2008,
heralding the introduction of European CLP1. While the long-term aims of these provisions
are welcome - facilitating international trade, reducing costs, and improving the flow of
information throughout the chemical supply chain - the new provisions will involve significant
changes and costs for industry over a relatively short period of time.
The key dates in the process are: 1st December 2010, when substances must be
reclassified and labelled in line with the new global system; and 1st June 2015, when the
same process will be applied to mixtures (formerly called preparations).
Each element of the chemical supply chain - manufacturer, importer, downstream user, and
distributor - has specific duties under the new provisions, as well as a responsibility to
cooperate with other suppliers in respect of the classification, labelling and packaging of
substances.
The United Nations has been developing the new system since the Rio Earth Summit in
1992. The Summits Agenda 21 included the mandate to create a globally harmonised
hazard classification and labelling system, including Safety Data Sheets and easily
understood symbols.
Under the GHS each hazard class and category is a building block. The EU will implement
the vast majority of the available blocks (77 out of 84) and has introduced harmonisation by
making the legislation a directly-acting Regulation, so EU member states do not have to
pass domestic legislation. Individual countries can simply select which blocks they wish to
implement.
Thus, the new system implies increased centralisation at EU level through directly-acting
regulations and the operations of the European Chemicals Agency (ECHA). The latter is
responsible for developing methodologies, tools and technical guidance through REACH
Implementation Projects (RIPs). For example, RIP 3.6 has been developing guidance on the
classification and labelling under the proposed GHS-based Regulation, and the proposals
were discussed at the 16th-17th June meeting of the Competent Authority for REACH and
Classification And Labelling (CARACAL).
The EU claims it has designed the GHS-based Regulation to dovetail with other European
chemical legislation particularly REACH, which came into force in June 2007. The resulting
system aims to provide one, global framework for identifying and describing chemical
hazards. This framework is complemented by a single system for communicating these
hazards through symbols, labels and Safety Data Sheets.
The UK has consolidated all previous amendments to its Chemicals (Hazard Information and

Packaging for Supply) Regulations (CHIP) as well as introducing provisions to enforce the
EU CLP Regulation into CHIP 4 (Statutory Instrument 791/2009), which came into force on
6th April 2009. The UK CHIP Regulations will be repealed when the implementation of the
CLP Regulation is complete in June 2015.
Classification.
The classification hierarchy used by the new provisions is as follows: Explosive; Gases;
Flammable; Other Flammable Materials; Oxidising Substances and Organic Residues; Toxic
and Infectious Substances; Radioactive Materials; Corrosives; and Miscellaneous
Dangerous Substances. The Regulation also contains more than 7000 translated
classifications in the form of Annex VI table 3.1. This, along with table 3.2, replaces the list of
substance classifications within the previous Directives Annex I, the approved supply list.
Annex VII of the CLP Regulation incorporates a translation table, which can be used to
convert classifications under the current Dangerous Substances Directive to new
classifications made by applying the GHS criteria. If there is no direct equivalent, the least
severe classification is assigned. The supplier has a duty to decide if a more severe
classification is required.
The EU has said its intention is to help suppliers or importers of substances and mixtures
comply with their obligations under the new Regulation without having to reclassify, as long
as the chemical has already been classified under the existing system. However, if a
supplier or importer decides not to use the translation table they must fully re-evaluate the
substance or mixture using the criteria in the Regulation.
The new CLP Regulation therefore creates a substance classification and labelling inventory
that will be populated by classifications determined by industry. Much of the information
provided on these classifications will be submitted as part of the suppliers REACH
registration for those substances placed on the market.
The classification of mixtures is a slightly more complex process owing to the fact that they
can contain numerous substances of different hazard classes. The regulation provides three
alternative methods for the classifier to choose from:
* Test the mixture to determine classification; or
* Read across, as per Article 61; or
* Acute toxicity estimates (ATE), as per Annex I part 3.1.
The first option is usually impracticable owing to the sheer level of testing required, and the
cost of compliance. The tests are the same as those required for registration under REACH.
The third option, acute toxicity estimates, requires more information and is labour-intensive.
It requires a different skill set and the services of a toxicologist. This method is generally
assumed to be an accurate calculation method but, at present, the level of information and
data available to guarantee an accurate calculation is not readily to hand. However, this
process will become easier as REACH gathers pace.
Labelling.
In labelling terms, the provisions introduce two signal words: Danger designates more
serious hazard categories; Warning is used for less severe hazard categories. The first
stage of the labelling matrix is below:
Name, address, and telephone number of supplier;
Any relevant signal words;
Nominal quantity of substance or mixture in package;

 Any relevant hazard statements;

Product identifiers (name, CAS number, etc.);
Any relevant precautionary statements;
Any relevant hazard pictograms;
Any supplementary information.
The regulation does not specify a label format, just a set of label elements that must be
included.
With regard to substances and mixtures sold to the general public the existing provisions
(i.e. in the Dangerous Substances and Dangerous Preparations Regulations) for Tactile
Warnings of Danger (TDW) and Child-Resistant Closures and Fastenings (CRC/CRF) have
been retained in the new Regulation. The only change is to align the current applicable
hazard classes to correspond with the new designations under CLP. Details of these
requirements can be found in Article 35 and Annex II, Sections 3.1 & 3.2, of the Regulation.
Packaging.
The CLP Regulation retains the existing level of basic features with which packaging for
supply to the general public market should comply. First and foremost, it should be designed
and constructed so that its contents cannot escape; the packaging must be compatible with
the contents; it must be able to withstand the stress and strains of handling; it should not
attract the attention of children; or mislead consumers.
In addition, its fastenings should not loosen during handling and it should be capable of
being refastened repeatedly without leakage.
However, CLP also introduces special rules pertaining to the labelling of outer, inner and
single packaging (see Article 33). These rules allow for the removal of duplicate information
when packages are labelled in accordance with both CLP and transport regulations. The
rules are as follows:
Where a package consists of an outer and an inner packaging, together with any
intermediate packaging, and the outer packaging meets labelling provisions in accordance
with the rules on the transport of dangerous goods, the inner and any intermediate
packaging shall be labelled in accordance with the CLP Regulation. The outer packaging
may also be labelled in accordance with the Regulation. Where the hazard pictogram(s)
required by this Regulation relate to the same hazard, as in the rules for the transport of
dangerous goods, the hazard pictogram(s) required by this Regulation need not appear on
the outer packaging.
Where the outer packaging of a package is not required to meet labelling provisions in
accordance with rules on the transport of dangerous goods, both the outer and any inner
packaging, including any intermediate packaging, shall be labelled in accordance with the
CLP Regulation. However, if the outer packaging permits the inner or intermediate
packaging labelling to be clearly seen, the outer packaging need not be labelled.
Single packages that meet the labelling provisions in accordance with the rules on the
transport of dangerous goods shall be labelled both in accordance with the latter and the
CLP Regulation. Where the hazard pictogram(s) required by the CLP Regulation relate to
the same hazard, as in rules on the transport of dangerous goods, the hazard pictogram(s)
required by this Regulation need not appear.
The article makes a very good point at its conclusion in that it recommends that businesses
who will be affected should investigate the implications of the new legislation in plenty of

time. Those who delay risk accruing substantial disadvantages when the regulations take full
effect.
1.6 Hazardous Substance Danger Symbols/Signs.
Hazardous substances can also be identified by their danger symbols. These are noted in
the regulatory information section within a material safety data sheet and can, in most cases,
be found on the product container.
Examples of the more common danger signs can be found below

Harmful

Explosive

Flammable

Corrosive

Toxic

Chemicals that can have a negative impact upon the environment, should they be misused
or disposed of incorrectly come under the Dangerous for the Environment Classification.
Any product with this symbol requires particular care to be taken when disposal occurs. This
category was introduced under the Chemicals (Hazard Information & Packaging for Supply)
Regulations 2002 according to directive 67/548/EWG by the European Chemicals Bureau.
The symbol for this particular hazard is shown below.

Hazard Warning Label - "Dangerous for the Environment"

The primary objective of classifying substances and preparations as dangerous for the
environment is to alert the user to the hazards these substances and preparations present to
ecosystems. Although the present criteria refer largely to aquatic ecosystems, it is
recognised that certain substances and preparations may simultaneously or alternatively
affect other ecosystems whose constituents may range from soil microflora and microfauna
to primates.
For the purposes of classification and labelling and having regard to the current state of
knowledge, such substances and preparations are divided into two groups according to their
acute and/or long-term effects in aquatic systems or their acute and/or long-term effects in
non-aquatic systems.
Risk ratings associated with each of the two categories can be found listed below.
Question 3.
Classification of hazardous substances for supply is concerned only with acute effects of
substances and preparations.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:

Hazardous substances for supply are concerned with both acute and long
term effects.

Jump 2:

Next page

Question 4.
Regulation 8 of the CHIP regulations states information on labels should include......
Multiple Choice (HP)
Answer 1:

Safety phrases

Response 1:
Jump 1:

This page

Answer 2:

Risk Phrases

Response 2:
Jump 2:

This page

Answer 3:

Symbols and general indications of danger

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

Question 5.
Risk phrases give advice on necessary precautions
True/False (HP)

Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:

This description is of safety phrases.

Jump 2:

Next page

1.7 Aquatic Environment.

R50 Very toxic to aquatic organisms and
R51 Toxic to aquatic organisms and
R52 Harmful to aquatic organisms
R53 May cause long-term adverse effects in the aquatic environment
Non-aquatic environment
R54 Toxic to flora
R55 Toxic to fauna
R56 Toxic to soil organisms
R57 Toxic to bees
R58 May cause long-term adverse effects in the environment
R59 Dangerous for the ozone layer
The safety phrases associated with the Dangerous for the Environment symbol are as
follows:
S35 This material and its container must be disposed of in a safe way
S56 Dispose of this material and its container to hazardous waste collection point
S57 Use appropriate containment to avoid environmental contamination
S59 Refer to manufacturer/supplier for information on recovery/recycling
S60 This material and its container must be disposed of as hazardous waste
S61 Avoid release to the environment. Refer to special instructions/safety data sheet
Final choice of R- and S-phrases
Although the final choice of the most appropriate R- and S-phrases is primarily governed by
the need to give all necessary information, consideration should also be given to the clarity
and impact of the label. With clarity in mind, the necessary information should be expressed

in a minimum number of phrases.

Question 6.
Substances must show the appropriate hazard/danger symbol on the supply label - this
should be a black symbol printed on an orange/yellow background.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

1.8 Material Safety Data Sheet (MSDS).

Safety Data Sheets (SDS) have now been transferred from CHIP to the new REACH
legislation. Suppliers of substances are required, under REACH, to provide safety data
sheets.
The purpose of the safety data sheet is to give information to users of the substance to
enable them to take the necessary measures to protect health and safety and the
environment.
You need to provide a SDS if:
1. You supply a substance or a mixture (see definitions section below) that is either:
(a) classified as dangerous under Dangerous Substances Directive 67/548/EEC or
Dangerous Preparations Directive,1999/45/EC; or
(b) (b) persistent, bioaccumulative and toxic (PBT), or very persistent and very
bioaccumulative (vPvB) as defined in Annex XIII of REACH; or
(c) included in the European Chemicals Agencys 'Candidate List' of substances of very high
concern (SVHC see definitions section below) for reasons other than (a) and (b) given here.
2. You are a supplier and your customer requests a SDS for a mixture that is not classified
as dangerous under Directive 1999/45/EC, but contains either:
(a) a substance posing human health or environmental hazards in an individual
concentration of = 1 % by weight for non-gaseous mixtures or = 0.2 % by volume for
gaseous mixtures; or
(b) a substance that is persistent, bioaccumulative and toxic, or very persistent and very
bioaccumulative as defined in Annex XIII of REACH in an individual concentration of = 0.1 %
by weight for non-gaseous mixtures; or
(c) a substance on the 'Candidate List' of substances of very high concern (for reasons other
than those listed above), in an individual concentration of = 0.1 % by weight for non-gaseous
mixtures; or
(d) a substance for which there are Europe-wide workplace exposure limits, e.g. a substance
that has indicative occupational exposure limit value (IOELV).
3. Although not required by REACH, if you are a supplier to EU countries other than the UK,
then you may need to supply a SDS for mixtures that are not classified as dangerous but
that contain substances with national workplace exposure limit values in other EU countries.
(You would need to approach individual Member States for this information.)
You do not need to provide a SDS:
1. If you offer or sell dangerous substances or mixtures to the general public and you provide
sufficient information to enable users to take the necessary measures as regards safety and

the protection of human health and the environment, unless a SDS is requested by a
downstream user or distributor.
2. If the substances/mixtures are supplied in the UK and not classified as dangerous.
3. For certain products intended for the final user, e.g. medicinal products or cosmetics.
What information needs to be provided on a SDS?
The safety data sheet shall be dated and shall contain the following headings.
1. Identification of the substance/mixture and of the company/undertaking.
2. Hazards identification.
3. Composition/information on ingredients.
4. First-aid measures.
5. Fire-fighting measures.
6. Accidental release measures.
7. Handling and storage.
8. Exposure controls/personal protection.
9. Physical and chemical properties.
10. Stability and reactivity.
11. Toxicological information.
12. Ecological information.
13. Disposal considerations.
14. Transport information.
15. Regulatory information.
16. Other information.
Guidance on how to compile a SDS is detailed in Annex II of REACH.
REACH has introduced a few changes to the information required in a SDS. The main ones
are:
Headings 2 and 3 swap around.
An email contact address should be included in section 1, for competent person(s) able to
respond with appropriate advice.
A SDS should be supplied in an official language of the Member State(s) where the
substance or mixture is placed on the market (unless the relevant Competent Authority in the
Member State(s) concerned has indicated otherwise).
In addition, SDS for substances or mixtures containing substances that have been fully
registered under REACH will require:
Inclusion of registration numbers where appropriate (see also section on confidentiality
provisions).
Inclusion of exposure scenarios including any risk management measures where required
in an annexe to the SDS. The information on the SDS should be consistent with the
information in any chemical safety assessment (CSA) for that substance, or a mixture if a
CSA for the mixture is available.
How and when should a SDS be provided?
A SDS should be provided to the recipient free of charge on paper or electronically, e.g. by
postal delivery, fax or email. A system that merely requires customers to download a SDS
from a company's website or from a catalogue of SDS is not considered appropriate. A SDS
should be provided either before, or at the time of, first delivery of the substance or mixture.
Where a customer re-orders substances or mixtures, then the supplier only has to provide
the SDS once (provided the sheet contents have not changed).

When should an SDS be updated?

The SDS needs to be updated:
1. as soon as new hazard information or information that may affect the risk management
measures becomes available; or
2. once an Authorisation under REACH is granted or refused; or
3. once a restriction under REACH has been imposed.
The new dated version of the SDS, identified as Revision: date shall be supplied to all
customers (of the substance/mixture in question) from the preceding 12 months.
Confidentiality provisions.
As a substance's registration number and the registrant's identity may be made publicly
available on the internet, some suppliers may be concerned that this will allow their
customers to bypass them in the supply chain.
A registrant can request for this information to be withheld from the internet (as long as this
can be justified), so suppliers of SDS may wish to discuss this issue with the registrant(s) in
their supply chain(s).
Enforcement.
The SDS requirements in REACH became law on 1st June 2007. This means the changes
detailed in this leaflet under What information needs to be provided on a SDS? should
already be implemented now. However, as the requirements for SDS in REACH are similar
to those they replace, enforcement of these new requirements in the UK is currently
pragmatic. New prints of SDS should conform to the new standards.
If new information on hazards or risk management measures becomes available, the SDS
should be updated without delay and the new format should be used. In addition, if new
information has been generated from the registration process (including the production of
exposure scenarios) the SDS should again be updated without delay in the new format. In
other cases, suppliers should seek to update their SDS as soon as is practicable.
Future of SDS
There is a new Regulation regarding the classification, labelling and packaging of
substances and mixtures, the CLP Regulation (Regulation (EC) No 1272/2008). The
Regulation will be the means by which the United Nations' Globally Harmonised System
(GHS) of Classification and Labelling of Chemicals will be implemented in the EU. This
Regulation will change the way in which hazard classification and labelling is expressed and
will in turn lead to further changes to SDS. If a substance or mixture is classified in
accordance with the CLP Regulation before 1st December 2010, then that classification may
be provided in the SDS along with the classification in accordance with either Directive
67/548/EEC or 1999/45/EC.
1.9 Use & Storage of Hazardous Substances.
The control of substances in the workplace is dealt with under two sets of legislation: The
Control of Substances Hazardous to Health Regulations 2002 (COSHH) and the Dangerous
Substances and Explosive Atmospheres Regulations 2002.
COSHH requires that risk assessments are made on the hazardous substances used and/or
created within a workplace and how they are likely to affect people. They require adequate
controls to be put in place to minimise any likely outcome. These regulations require that

plans and procedures be developed to deal with accidents, incidents and emergencies
involving the hazardous substances.
For the vast majority of commercial chemicals, the presence (or not) of a warning label will
indicate whether COSHH is relevant.
The Dangerous Substances and Explosive Atmosphere Regulations 2002 (DSEAR) require
the avoidance or minimising of the release of a dangerous substance. Where this cannot be
achieved, the release of a dangerous substance at the source must be controlled. These
regulations also ensures that any release of a dangerous substance which may give rise to
risk is suitably collected, safely contained, removed to a safe place, or otherwise rendered
safe, as appropriate.
These regulations will require measures to be put in place to prevent or minimise accidental
release. Such measures include:

a minimum amount of dangerous substances to be present on site;

substances only used by those trained to do so;
storage of products in labelled cabinets or bunded areas.

Question 7.
Material safety data sheets must be provided if you are selling a product that ....
Multiple Choice (HP)
Answer 1:

Is not classified as dangerous but contains small amounts of dangerous

substance

Response 1:
Jump 1:

This page

Answer 2:

Is deemed a dangerous substance or preparation

Response 2:
Jump 2:

This page

Answer 3:

All of the above

Response 3:
Jump 3:

Next page

Question 8.
The Dangerous Substances & Explosives Atmosphere Regulations 2002 (DSEAR) requires
measures to be put in place to prevent or minimise accidental release - these measures
include.....
Multiple Choice (HP)
Answer 1:

Substances only used by those trained to do so

Response 1:
Jump 1:

This page

Answer 2:

Storage in labelled cabinets or bunded areas

Response 2:
Jump 2:

This page

Answer 3:

A minimum amount of dangerous substances to be present on site

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

2.0 Controls Applying to Ozone Depleting Substances.

Introduction to Ozone Depletion
Ozone is a vital protection component to life on earth; it filters out the cell-damaging
ultraviolet light received from the sun. However, above Antarctica in 1985 evidence was
found of a large hole in this layer as a result of ozone depletion.
The main cause of this ozone depletion has now been accepted as chlorine and bromine
released from man-made compounds such as chlorofluorocarbons. Chlorofluorocarbons or
CFCs are non-toxic, non-flammable and non-carcinogenic and were used within a variety of
both industrial and domestic appliances, as demonstrated in the pie chart below.

Ozone Depletion Chart

Once released, CFCs are transported into the stratosphere where they release chlorine as a
result of being broken down by UV rays. Calculations show that about 80% of the ozone
depletion over the last 30 years has occurred due to CFCs.
CFCs are not the only substances that causes the depletion of the ozone layer. Compounds
known as halocarbons which include carbon tetrachloride (CCl4) and halons, also feature
quite highly.
Carbon tetrachloride (CCl4) has had many uses over the years since its introduction in the
1900s as a means to extinguish fires. It has been used as a solvent, a fumigant and as a
pesticide despite the fact that it is a toxic substance.
To combat the growing concerns with carbon tetrachloride, a substitute, Methyl chloroform
(1,1,1 trichloroethane) was derived. Unfortunately since its introduction in the 1950s, it has

also been accountable for ozone depletion.

Other chemicals which have adverse effects on the ozone layer include Halons and Methyl
Bromide. Halons were used in fire extinguishers but despite being phased out are still a
major problem due to their long atmospheric lifetimes. Methyl bromide has been widely used
as a pesticide since the 1960s. The reason for their destructive nature is the presence of the
ozone-depleting substance bromine.
International research into the ozone layer and its current destruction was established in
1985 during the Vienna Convention. In response to the noted hole in the ozone layer and an
increased fear of further ozone depletion, the Montreal Protocol on Substances that Deplete
the Ozone Layer was implemented.
In 1987, this protocol was negotiated and signed by 24 countries and by the European
Economic Community. This was a legally-binding international treaty which required all
participating nations to reduce the use of ozone depleting substances by restricting
manufacture and supply of these damaging substances, leading to their eventual phasing
out. An EU Directive was also agreed which was binding on all Member States and incurred
stiff penalties for non-compliance.
To ensure compliance with the protocol, trade barriers to control the supply of these
substances were put in place. This has led to developed nations ceasing production of new
ozone-depleting substances and, where possible, re-using and recycling existing CFCs.
The importation of newly-produced ozone-depleting substances from developed countries
has already been banned. However, in order to avoid undue stress on developing countries
economies, they have been granted a grace period up until 2010 to comply with the Montreal
Protocol, providing that their use of CFCs does not increase significantly.
To ensure that developing countries are using new and more ozone-friendly substances and
technologies, financial assistance was given in the form of an International fund. So far the
Montreal Protocol has ensured:

the prohibition of the use of carbon tetrachloride in developed countries since the
beginning of 1996;
the prohibition of the use of methyl chloroform in developed countries since the
beginning of 1996;
the prohibition of the production and consumption of new halons (ODCs containing
bromine);
the immediate ban on sale and use of most CFCs, carbon tetrachloride and 1,1,1Trichloroethane from 1st October 2000.

Immediate bans were placed on the use of HCFCs in certain applications and their use in
most new refrigeration and air-conditioning equipment was prohibited from 1st January
2001. The production and sale of methyl bromide, used in soil fumigation and as a pesticide,
were prohibited from January 2005.
2.1 The Montreal Protocol Timetable.
Montreal Protocol (1987)
CFCs (11, 12, 113, 114, 115): Phase down 1986 levels by 20% by 1994; 50% by 1999.
London Amendment (1990)
CFCs 13, 111, 112, 211, 212, 213, 214, 215, 216, 217: Phase down 1989 levels 20% by
1993; 85% by 1997; 100% by 2000.

Halons (1211, 1301, 2402): Phase down 1986 levels 50% by 1995; 100% by 2000.
Carbon Tetrachloride: Phase down 1989 levels 85% by 1995; 100% by 2000.
Copenhagen Amendment (1992)
CFCs: phase out by 1995
Halons: phase out by 1993
Carbon Tetrachloride: phase out by 1995
HCFCs: phase down 1989 levels 35% by 2004; 90% by 2019; 100% by 2029.
The Montreal Protocol has been further adjusted in Vienna (1995), Montreal (1997) and
most recently in Beijing (1999). The Beijing Amendment (1999) introduced a freezing of
HCFC production by 2003
As part of the Montreal Protocol, Britain introduced The Environmental Protection Act in
1990. This act ensures that when ozone-depleting substances are discarded or removed
and become waste, they are disposed of as carefully as possible in order to prevent any
additional release to the atmosphere.
Question 9.
Chlorofluorocarbons (CFCs) have been found most commonly from
Multiple Choice (HP)
Answer 1:

solvents

Response 1:
Jump 1:

This page

Answer 2:

aerosols

Response 2:
Jump 2:

This page

Answer 3:

foams

Response 3:
Jump 3:

This page

Answer 4:

refrigerants

Response 4:
Jump 4:

Next page

2.2 Prohibitions & Restrictions Affecting Supply & Use of Hazardous Substances.
The Secretary of State for Environment, Food and Rural Affairs has the power to make
regulations in relation to the protection of the ozone layer and measures relating to
substances that deplete the ozone layer as granted under Section 140 (1), (2), (3) (b), (4)
and (9) of the Environmental Protection Act (EPA) 1990.
After consultations with the committee, established under the EPA, the Secretary of State
made the The Environmental Protection (Controls on Ozone-Depleting Substances)
Regulations 2002. These regulations came into force on 31st March 2002 and were put in
place for the purpose of preventing the substances and articles specified in them from
causing pollution of the environment and harm to human health and to the health of animals
and plants
These regulations impose restrictions on importation, exportation, landing and unloading of
ozone-depleting substances. To undertake such activities, a licence needs to be issued by

the Commission. If no licence is held, this can lead to products being detained and liable to
forfeiture. The act also requires the disposal of the products/substances/equipment without it
causing environmental pollution or harm to flora and fauna or otherwise render it harmless.
The act states that it is an offence for a person to produce or allow/cause someone else to
produce any ozone-depleting substance other than as specified by the authorisation issued
to them by the Secretary of State. A person who commits such an offence, depending on
where the breach in regulations occurs, will receive a fine, either not exceeding level 5 on
the standard scale or a fine up to the statutory maximum.
The Schedule attached to this act states the timeframes and designated reduction rates
which must not be exceeded for the specific chemicals associated with ozone depletion.
Unless authorisation has been given, a person producing/causing/permitting the production,
in excess of those stated in the schedule, is committing an offence.
3.0 Requirements for Notification, Permits & Marking of Sites where Hazardous
Substances are Present.
There are numerous pieces of legislation that require notification and marking of sites where
dangerous substances are present and exceed the designated maximum quantity. These
regulations include the; Dangerous Substances (Notification and Marking of Sites)
Regulations 1990 (NMS), The Planning (Hazardous Substances) Act 1990 and the
Control of Major Accident Hazards Regulations (amendment) 2005.
The Dangerous Substances (Notification and Marking of Sites) Regulations (NMS)
came into force on 1st September 1990
The basis of these regulations relates to sites containing 25 tonnes or more of dangerous
substances. Under these regulations are the requirements to:

inform both the fire and enforcing authorities;

display safety warning signs at access points to alert people to presence of
dangerous substances

These requirements ensure that firefighters and enforcing authorities have the information
necessary to prioritise inspections and are warned of the presence of dangerous substances
before and on arrival at site.
If the amount of dangerous substances on site cannot be kept below 25 tonnes, then the
person in control of the site must ensure notification to the above mentioned groups is
undertaken. It is a requirement that this notification process takes place before the 25 tonne
limit is reached estimates based on the maximum anticipated quantity must be made.
Notifications must be updated if any changes occur, such as

a site previously notified as having less than 25 tonnes that now exceeds the limits or
a site that had previously ceased to contain dangerous substances and is now being
returned to a notifiable status.

Where 25 tonnes of more of dangerous substances are present, the person in charge of the
site must ensure that safety signs are displayed at places which give adequate warning to
fire fighters before entering a site in an emergency such as at access points.
Safety warning signs must be prominent and kept clean and free from obstruction so that

fire-fighters can see them and easily recognise the symbols and text upon arrival.
Safety signs must meet the requirements as defined in BS 5378 : Part 1 (1980) and with the
Health and Safety (Safety Signs and Signals) Regulations1996 a triangle edged in
black, yellow background and correct black symbol. The person in control of the site has the
responsibility for deciding on the number and positioning of signs.
Below is the suggested layout of notification for sites with dangerous substances as found in
Appendix 2 of The Dangerous Substances (Notification and Marking of Sites) Regulations
1990.

Question 10.
The Dangerous Substances (Notification & Marking of Sites) Regulations relates to sites
containing how much dangerous substance?
Multiple Choice (HP)
Answer 1:

Under 20 tonnes

Response 1:
Jump 1:

This page

Answer 2:

20 tonnes

Response 2:
Jump 2:

This page

Answer 3:

25 tonnes or more

Response 3:
Jump 3:

Next page

3.1 The Planning (Hazardous Substances) Act 1990.

Under this act, the Secretary of State specifies hazardous substances and determines the
controlled quantity of each substance, creating a requirement for any site where these
quantities are reached or exceeded to acquire hazardous substance consent from the
Hazardous Substance Authority, which in most cases is likely to be the district council or the
relevant London Borough Council.
To obtain a hazardous substance consent, an application must be made to the local
hazardous substance authority, which - after consultation with organisations such as the
HSE and Environment Agency - will consider the application. Once the authority is satisfied
with all the arrangements of how the substance is to be stored and used, the Hazardous
Substances Consent is granted. This can be either unconditionally or with conditions
imposed.
Consents are given on specified amounts and uses so if these have changed, notification
must be made to the local hazardous substances authority. If this authority discovers that the
specifications within the hazardous substance consent have been exceeded or are no longer
valid due to changes in the processes, the consent can be revoked. If found guilty of noncompliance with consents, fines not exceeding the statutory maximum as well as fines for
each day in which the contravention is continued up to 200 per day - can be imposed.
The local authority keeps a register, which is available to the public, of all hazardous
substance applications, consents and refusals, including any imposed conditions.
4.0 Environmental Protection.
The Environmental Protection, England and Wales : The Pollution Prevention and
Control (England & Wales) Regulations 2000
These regulations came into effect on 1st August 2000 and aim to control or reduce the
emissions created by installations and mobile plant on the environment.
The installations and mobile plant for the purpose of these regulations are divided into two
parts A & B.
With Part A installations and mobile plant, the regulations aim to control or reduce the
emissions, both direct and indirect from the release of substances, vibration, noise, heat into

the air, water or land.

With part B, the regulations aim to control or reduce direct or indirect emissions from the
release of substances or heat into the air.
The purpose of these regulations is to achieve high levels of environmental protection, in
particular preventing or - where that is not practicable - reducing emissions into the air, water
and land.
Emissions that these regulations take into account (if they have fixed emission values) are:
FOR AIR
1. Sulphur dioxide and other sulphur compounds.
2. Oxides of nitrogen and other nitrogen compounds.
3. Carbon monoxide.
4. Volatile organic compounds.
5. Metals and their compounds.
6. Dust.
7. Asbestos (suspended particulates, fibres).
8. Chlorine and its compounds.
9. Fluorine and its compounds.
10. Arsenic and its compounds.
11. Cyanides.
12. Substances and preparations which have been proved to possess carcinogenic or
mutagenic properties or properties which may affect reproduction via the air.
13. Polychlorinated dibenzodioxins and polychlorinated dibenzofurans.
FOR WATER
1. Organohalogen compounds and substances which may form such compounds in the
aquatic environment.
2. Organophosphorus compounds.
3. Organotin compounds.
4. Substances and preparations which have been proved to possess carcinogenic or
mutagenic properties or properties which may affect reproduction in or via the aquatic

environment.
5. Persistent hydrocarbons and persistent and bioaccumulable organic toxic substances.
6. Cyanides.
7. Metals and their compounds.
8. Arsenic and its compounds.
9. Biocides and plant health products.
10. Materials in suspension.
11. Substances which contribute to eutrophication (in particular, nitrates and phosphates).
12. Substances which have an unfavourable influence on the oxygen balance (and can be
measured using parameters such as BOD, COD, etc.).
In order to control these emissions, the regulations stipulate the requirement for the person
in control of the site to acquire a permit, where necessary, for installations and mobile plant
undertaking activities in the following industries and activities:
1. Energy Industries:
a. Combustion activities.
b. Gasification, liquefaction and refining.
2. Production and Processing of Metals:
a. Ferrous metals.
b. Non-ferrous metals.
c. Surface treating metals and plastic materials.
3. Mineral Industries:
a. Production of cement and lime.
b. Activities involving asbestos.
c. Manufacturing glass and glass fibre.
d. Production of other mineral fibres.
e. Other mineral activities.
f. Ceramic production.

4. Chemical Industry:
a. Organic chemicals.
b. Inorganic chemicals.
c. Chemical fertiliser production.
d. Plant health products and biocides.
e. Pharmaceutical production.
f. Explosives production.
g. Manufacturing activities involving Carbon Disulphate or Ammonia.
h. Storage of chemicals in bulk.
5. Waste Management:
a. Disposal of waste by incinerator.
b. Disposal of waste by landfill.
c. Disposal of waste other than by incinerator and landfill.
d. Recovery of waste.
e. Production of fuel from waste.
6. Other activities:
a. Paper, pulp and board manufacturing activities.
b. Carbon activities.
c. Tar and bitumen activities.
d. Coating activities, printing and textile treatments.
e. Manufacturing of dyestuffs, printing inks and coating materials.
f. Timber activities.
g. Activities involving rubber.
h. Treatment of animal and vegetable matter and food industries.
i. Intensive farming.
Permits for these activities are granted by the local authority. They can be granted

unconditionally, have restrictions imposed or can be refused.

The principles of the permits are to ensure that no significant pollution is caused and all the
appropriate preventative measures are taken to protect against pollution, in particular
through the application of the best available techniques.
4.1 Best Available Techniques.
Examples of Best Available Techniques (BAT) include:
1. the use of low-waste technology;
2. the use of less hazardous substances;
3. recovery and recycling of substances generated and used in the process and of waste,
where appropriate;
4. comparable processes, facilities or methods of operation which have been tried with
success on an industrial scale;
5. technological advances and changes in scientific knowledge and understanding;
6. the consumption and nature of raw materials (including water) used in the process and the
energy efficiency of the process;
7. the information published by the Commission pursuant to Article 16(2) of the Directive or
by international organisations.
An application for a permit should include the following information:
1.the name of the applicant and contact details;
2. the address of the site of the installation or mobile plant and its national Grid reference, a
map or plan showing that site and the name of any local authority;
3. a description of the installation or mobile plant, the activities to be carried out, any other
directly associated activities to be carried out on the same site as the installation which could
have an effect on pollution;
4. the raw and auxiliary materials and other substances and the energy to be used in or
generated by the carrying out of the activities;
5. the nature, quantities and sources of foreseeable emissions into each environmental
medium, and a description of any foreseeable significant effects of the emissions on the
environment;
6. the proposed technology and other techniques for preventing or, where that is not
practicable, reducing emissions;
7. the proposed measures to be taken to monitor the emissions;
8. a description of the measures to be taken for the prevention and recovery of waste

generated by the operation;

9. any additional information which the applicant wishes the regulator to take into account in
considering the application.
The operator of the site will have the permit in their name which makes them responsible for
any conditions imposed. One such condition is the requirement to notify the relevant
authority, without delay, of any accident or incident which is causing or may cause significant
pollution.
These permits ensure that installations and mobile plant are operated in such a way that
waste production is preferably avoided or - where it is produced - recovered or disposed of in
a means which avoids or reduces its environmental impact. It ensures that energy is used
efficiently and that measures are taken to prevent accidents and limit the consequences
should one occur.
To ensure compliance with the permits, the relevant authority may request the reports or
results from any emission monitoring undertaken by the site (emission monitoring may be a
stipulation within the permit) as it is the authority's responsibility to ensure compliance with
the conditions of the permit.
The Secretary of State makes the plans for setting limits on the total amount, or total amount
in any period, of emissions from all or any sources within England and Wales and allocates
quotas in relation to such emissions.
The Secretary of State may also give directions to the authorities as to specific conditions
which may need to be included in permits; such conditions may be the imposing of limits on
the amount or composition of substances produced or used during operations.
Notification must be given to the relevant authorities to inform them of any changes that are
to be made to installations or mobile plant which have previously been granted a permit. This
notification must be given in writing 14 days before and changes are made. Permits are also
subject to review:

if the authorities believe they have not been complied with (enforcement
notices can be issued in these circumstances);

if an accident occurs;

if substantial changes in the best available techniques occur which make it

possible to reduce emissions without imposing excessive cost.

5.0 The Notification of Cooling Towers & Evaporative Condensers.

The Notification of Cooling Towers and Evaporative Condensers Regulations 1992
(NCTEC Regulations)

In order to assist with the understanding of these regulations, a few definitions need to be
made:
A cooling tower is a device whose main purpose is to cool water by direct contact between
that water and a stream of air.
An evaporative condenser means a device whose main purpose is to cool a fluid by
passing that fluid through a heat exchanger which is itself cooled by contact with water
passing through a stream of air.
Under theNotification of Cooling Towers and Evaporative Condensers Regulations 1992, the
person in charge of premises must notify, in writing, the local environmental health
department if their premises contains such notifiable devices.
The main purpose of such requirements is to assist in investigating outbreaks of legionella.
The local authorities will generally collate all such information so that it is readily available to
HSE inspectors.
Water systems that include cooling towers and evaporative condensers are a concern when
risk management strategies are being devised. The reason for this is that these systems
provide ideal conditions for the growth of bacteria. The systems themselves create sprays
and aerosols which are the perfect dispersion methods, allowing their spread over a wide
area.
Legionella bacteria are widespread in both natural water sources and artificial water
systems. They have been found in

rivers and lakes;

soil samples;
water and sludge from cooling towers; and
in other man-made water systems.

They have been detected in many drinking water sources, including well water, resulting in
the contamination of a variety of public and private systems using this water.
A cooling tower system can present an ideal environment for growth of Legionella
pneumophila.
The bacteria reproduce where temperatures are favourable (20-450C), where nutrients are
available and water is stagnant or recirculates. Organisms may, however, remain viable and
dormant in cool water, multiplying only when the temperature reaches a suitable level and
when growth and reproduction are not inhibited by adequate bio-control. They can be
transferred to humans by the inhalation of cooling tower drift in the form of aerosols.
Legionnaires Disease is a respiratory infection that strikes susceptible individuals exposed
to Legionella pneumophila. Infection results from inhaling airborne water droplets or mist
containing the bacteria, which are small enough to pass deep into the lungs and be
deposited in the alveoli. Most reported cases have occurred in the 40- to 70-year old age
group.
Other regulations that apply to the protection of persons from legionella include:

Control of Substances Hazardous to Health Regulations 2002 (as amended)

require a risk assessment and control exposure.

The Health and Safety at Work Act 1974 - requires employers to ensure a safe
working environment.

The Approved Code of Practice (ACoP) (L8) Legionnaires' disease: the control of
legionella bacteria in water systemsprovides a basic framework for preventing
outbreaks of the disease and advice on the legislative requirements of various
regulations as well as setting out the responsibilities of manufacturers, importers,
suppliers and installers of products and services.

6.0 Control of Legionella.

Control of Legionella can be achieved through the following steps:

Chemical Treatment using substances such as ozone and peroxides, and some
treatment techniques such as ultraviolet light can kill Legionella bacteria in limited
circumstances. Halogens serve as the primary disinfectants in these
recommendations. These best practice recommendations focus on chemical control
parameters. It must be recognised, however, that chemical treatment is only one
aspect of risk minimisation.
Maintaining water above 50C or below 20C is the main method of controlling
Legionella in domestic water systems but must be accompanied with health and
safety precautions.
Ionisation.
Strict adherence to defined hygiene procedures is required, with various biocides
being effective.
Design, operation, and maintenance practices are also crucial to reducing health
risks associated with cooling systems.
Evaluate system cleanliness and the effectiveness of microbial control by visual
inspection as well as through regular monitoring

Many governmental agencies, cooling tower manufacturers and industrial trade

organisations have developed design and maintenance guidelines for preventing or
controlling the growth of Legionella in cooling towers.
7.0 The Control of Major Accident Hazards (Amendment) Regulations 2005.
Another set of Regulations which apply to the requirements of notification are the Control of
Major Accident Hazards (amendment) Regulations 2005. These regulations stipulate that
any establishment having a substance at or above the qualifying quantity (as specified in
Schedule 1 attached to these regulations) is subject to the regulations.
Under these regulations a major accident is described as an occurrence (including a major
emission, fire or explosion) resulting from uncontrolled developments in the course of the
operation of any establishment and leading to serious danger to human health or to the
environment, immediate or delayed, inside or outside the establishment, and involving one
or more dangerous substances.
The regulations have established two thresholds lower-tier and top-tier, each having
differing notification requirements.
When the quantity of substances reaches or exceeds the designated maximum, lower-tier

operators must notify the competent authority (local HSE office).

Operators in this tier must also take all measures necessary to prevent major accidents and
report any that do occur as well as producing a Major Accident Prevention Policy (MAPP) in
consultation with employees or employee representatives. The requirements for MAPPs are
noted in Schedule 2.
Top-tier operators must submit a written safety report where the level of substances equals
or exceeds the maximum quantity. The report is required to demonstrate that all necessary
measures to prevent and limit the consequences of accidents have been taken. If operators
are planning to build a new top-tier establishment, they must submit information three to six
months before construction and must wait for the competent authorities response before
commencing. Emergency planning requirements are also necessary for this tier, guidance
on which can be found in HSG191.
Some of the establishments regulated under the COMAH Regulations are also regulated by
the Agencies under the Pollution Prevention and Control Act (PPC) 1999. Both sets of
legislation require establishments to have good risk control management systems in place.
PPC includes a specific duty to prevent and mitigate accidents to the environment which is
complementary to the main COMAH duty.
7.1 Major Accidents to the Environment (MATTE).
Major accidents to the environment are determined by a combination of the times it takes for
a recovery, the extent and severity of the damage.
These type of accidents can be caused by a variety of factors such as:

release of dangerous substances into water sources;

spills leading to fires or explosions;

contamination of flora and fauna from accidental releases;

release of gases.

Such accidents can have devastating effects on the environment soil and water
contamination affects all levels of species in the food chain as well as plant life and habitats.
Question 11.
Major accidents to the environment are determined by a combination of....
Multiple Choice (HP)
Answer 1:

The extent of the damage

Response 1:
Jump 1:

This page

Answer 2:

The severity of the damage

Response 2:
Jump 2:

This page

Answer 3:

The time it takes for recovery

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

8.0 Transport by Road.

Goods are transported everyday all around the world by rail, road, air and sea but for certain
products, classified as Dangerous Substances, there are special precautions that are
necessary before their transportation can be undertaken due to the risk of
accidents/incidents. The Carriage of Dangerous Goods (Classification, Packaging and
Labelling) and Use of Transportable Pressure Receptacles Regulations 1996 relates to road
transport and gives clear guidelines as to the methods involved in this.
In normal accident situations, the outcome can be dire but with dangerous substances, the
outcome could be significantly worse. Products spilt can contaminate the environment, ignite
and explode etc, causing untold damage. Obviously the resultant health, safety and
environmental issues will depend largely on the substances and quantities involved.
Therefore The Carriage of Dangerous Goods and Use of Transportable Pressure Equipment
Regulations 2007 in partnership with the European agreement (Accord europen relatif au
transport international des marchandises dangereuses par route, known as ADR) control the
carriage of dangerous goods by road. Their aim is to regulate dangerous substances in such
a way that risks are reduced as far as possible and incidents can be safely and effectively
dealt with.
They place general duties on everyone with a role in the carriage of dangerous goods, as
well as those who may become involved such as members of the public or the emergency
services. Specific duties are placed on those in the transport chain, i.e. consignors, carriers,
loaders, packers, etc.
For the purpose of these regulations, 'dangerous goods' applies to any explosives,
radioactive materials, goods named on the Approved Carriage List or goods which have one
or more hazardous properties.
However these regulations do not apply to:

infectious substances, affecting animals only;

environmentally hazardous substance, solid;

environmentally hazardous substance liquid;

genetically modified micro-organisms.

The regulations place a requirement on persons or organisations that deliver goods to

ensure that the dangerous substances are not transported unless they have been correctly
classified in accordance with the regulations.
Anyone considering consigning hazardous goods should first consider the hazards
associated with the goods.
The classification of dangerous goods, depending on the main hazard type can be found in

Schedule 1 of these regulations and includes:

Class 1 Explosive substances and articles.

Class 2 Gases.
Class 3 Flammable liquids.
Class 4.1 Flammable solids, self-reactive substances and solid desensitised
explosives.
Class 4.2 Substances liable to spontaneous combustion.
Class 4.3 Substances which, in contact with water, emit flammable gases.
Class 5.1 Oxidising substances.
Class 5.2 Organic peroxides.
Class 6.1 Toxic substances.
Class 6.2 Infectious substances.
Class 7 Radioactive material.
Class 8 Corrosive substances.
Class 9 Miscellaneous dangerous substances and articles.

Various classification symbols can be seen below:

Before classifying any product, it may be worth checking the Health & Safety Executives
Approved Carriage List as this contains the list of dangerous goods for which the following
information has been approved:
a. proper shipping name and other relevant info;
b. the UN number;
c. the code for the classification for carriage;
d. the code for subsidiary hazard;
e. the emergency action code, if applicable;
f. the hazard identification number, if any;
g. whether goods may be carried in tanks;
h. whether goods may be carried in bulk;
i. the packaging group, if any;
j. the code for any special provision;
k. explanatory notes and other requisite material.
From the entry in the Approved Carriage List, the following will be obtained:

Requirements on Packaging.
Requirements on Labelling.

This could save time and effort if your product is already on this list. However, if your product
is not here then the classification will need to be determined using some other guidance
documents from the HSE such as the Approved Requirements and Test Methods for the
Classification and Packaging of Dangerous Goods for Carriage.
This document contains the appropriate methods for determining:
a. the hazardous properties of dangerous goods in order of degree of hazard;
b. the flash points of dangerous goods;

c. the relevant properties of dangerous goods;

d. suitability of packaging for dangerous goods;
e. explanatory notes and other material which are requisite for its use.
Once the goods have been classified, the appropriate marking on packaging and modes of
transport can be undertaken.
8.1 Marking of Packaging.
Every person or organisation whose activities include the packing or consigning of
dangerous goods by road has to comply with the marking and labelling requirements of
ADR. Every package, where appropriate, has to be clearly and permanently marked with
either an ADR, RID or UN mark or a joint ADR RID number allocated by a competent
authority.
Markings and labels should be displayed on each package of dangerous goods, so that they
can be easily read and noticeable (they must stand out from their background). Markings
must be permanently present on the package or label (which is securely fixed to the
package).
If the package to be transported is of an awkward shape or very small, then the sign will be
as large as practicable.
Signs/markings/labels etc are usually written in English except where goods are supplied to
another Member state. Then the particulars may be in the official language of the receiving
state.
Particulars to be shown on packages containing dangerous goods:

designation of the goods;

the UN number (in all cases preceded with the letter UN);

the danger sign;

any subsidiary hazard signs.

8.2 Marking of Vehicles.

Every person or organisation whose activities include the loading, consigning or carriage of
dangerous goods by road, or filling of dangerous goods into specified equipment for carriage
by road has to make sure that any vehicle, container, etc displays the appropriate placards,
as well as the applicable marks, orange-coloured warning plates at both the front and rear
and hazard identification numbers (HINs) or emergency action codes (EACs). Placards have

to correspond to the labels required of the Dangerous Goods List and have to be fixed to the
outside surface of vehicles, containers, etc. All placards and warning plates displayed must
be of a weatherproof nature and kept clean.
The warning plate must show the following:

UN Number.
Emergency action codes.
Danger sign.
Subsidiary hazard sign (if necessary).
Telephone number where specialist advice about the goods can be obtained.

8.3 Requirements for Informing.

The driver must be informed about the load, especially what emergency action to take. For
road and rail transport, information which must be given includes:

class of goods;
UN number;
names and addresses of consignor and consignee;
packing Group (see table below);
transport category (see table below).

8.4 Transport Categories.

Dangerous Goods

Transport Category

Infectious substances in risk group 4

Packing group I, toxic gases, organic peroxides, self-reactive
substances, temperature controlled substances, infectious
substances risk group 3
Packing group II, flammable gases, infectious substances risk

group 2
2
Packing group III, non flammable, non-toxic gases, UN 2990, UN
3072, any other dangerous goods not listed elsewhere

Empty uncleaned packaging, UN 1345, 1331, 1944 1945, 2254,

2623, 1361, 1362

The Carriage of Dangerous Goods Regulations enacts the ADR. Whilst the Regulations refer
directly to ADR, the ADR has some additional or alternative requirements which include:

Training.
Safety obligations.
Class 7 goods for carriage by rail.
Safety advisers.
Reports on accidents or incidents.
Emergency plans for marshalling yards.
Classification of goods.
Prohibition from carriage.
Dangerous goods list and special provisions.
Use of packaging.
Use of tanks.
Consignment.
Construction and testing of packaging and packages.
Construction and testing of tanks.
Carriage, loading, unloading and handling.
Vehicle crews, equipment, operation and documentation.
Construction and approval of vehicles.

The following information is taken from the Carriage Manual and covers the training
requirements of ADR.
General training
Anyone involved in the carriage of dangerous goods by road has to make sure that they and
any of their employees who have any responsibility for such carriage are appropriately
trained. General training must include awareness training and ADR requirements as well
safety training covering the associated hazards and emergency response.
Details of all training should be kept by the employer and employee. Training must be
verified when starting a new job and there should be periodic refresher courses taking
account of changes in the law.
Driver training

make drivers aware of hazards arising in the carriage of dangerous goods;

give them basic information to minimise the likelihood of an incident taking

place; and

enable them to take necessary measures for their own safety and that of the

public and the environment, to limit the effects if an incident does occur.
ADR requires that anyone involved in the carriage of dangerous goods by road must:

act to avoid damage/injury from, and minimise the effects of, foreseeable
dangers; and

when there is an immediate risk to public safety, notify the emergency

services and give them the necessary information.

Accident Reporting
ADR requires a carrier to report certain accidents involving the carriage of dangerous goods
to the Department for Transport. Such incidents are where:
dangerous goods were released; or
there was an imminent risk of loss of product and personal injury, or
material/environmental damage estimated to exceed 50,000 occurred.
Accident reports also have to be made to HSE, under the Reporting of Injuries, Diseases
and Dangerous Occurrences Regulations 1995 (RIDDOR), but the criteria and reporting
mechanisms are different.
Question 12.
Regarding Marking of Vehicles, The warning plate must show the following:

UN Number.
Emergency action codes.
Danger sign.
Subsidiary hazard sign (if necessary).
Telephone number where specialist advice about the goods can be obtained.

True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

8.5 Further Information.

Further information can be found in the below listed Regulations or Guidance:

Classification and Labelling of Explosives Regulations 1983.

The Carriage of Dangerous Goods by Road Regulations 1996. (as amended)
The Carriage of Dangerous Goods by Rail Regulations 1996.(as amended)
The Carriage of Dangerous Goods and Use of Transportable Pressure Equipment

Regulations 2007.(see above)

The Radioactive Material (Road Transport) Regulations 2002.
The Manufacture and Storage of Explosives Regulations 2005.
Approved requirements and test methods for the classification and packaging of
dangerous goods for carriage.
Approved Vehicle Requirements.
Approved Code of Practice: Suitability of vehicles and containers and limits on
quantities for the carriage of Explosives.
Approved requirements for the construction of vehicles intended for the carriage of
explosives by road.

9.0 Pesticides.
Pesticides are defined by the Food and Environment Protection Act 1985 (FEPA) as any
substance, preparation or organism prepared or used, among other uses, to protect plants,
wood or other plant products from harmful organisms, to regulate the growth of plants, to
give protection against harmful creatures or to render such creatures harmless".

Pesticides are generally thought of as being chemical in nature but in fact they can also be
natural substances often used in organic farming to control pests or altered versions of
natural chemicals.
80% of all pesticide use in England and Wales comes from the agricultural and horticultural
sectors. In this industry, they are used to:

protect growing crops from pests, weeds and fungal diseases;

prevents contamination of stored foods by mice, rats, flies etc;

prevent crops been infected by fungi in order to protect human wellbeing.

Their use in these areas had increased over the last half decade due to rising demands and
expectations from consumers, supermarkets and the Government, all requiring plentiful,
unblemished food all year round. This increased usage was noted by various monitoring
organisations and now pesticides are designed so that as little as possible is needed and
then only as a last resort. This had led to farmers using about two-thirds of the chemicals
they did in 1983.

Pesticides also have uses outside the agricultural umbrella and cover a wide range of
products including insecticides, fungicides, rodenticides, herbicides, molluscicides etc. They

protect crops by eliminating insects and weeds;

stop weed growth on areas such as pavements and railway lines;

preserve timber;
prevent pests attacking clothing and carpeting materials;
protect animals by controlling certain diseases (e.g. by use of sheep dips);
protect hulls of boats from marine organisms.

Due to the increased use and potentially environmentally damaging aspects of certain
pesticides, many of the more toxic and environmentally damaging products have been
banned over the years and less harmful alternatives introduced. It should also be noted that
it is not necessarily the amount of the substance used but the toxicity of the substance that
determines the level of impact those substances will have on the environment
As pesticides are used to kill unwanted pests, weeds and moulds, they can also harm
people, wildlife and the environment. This is why there are strict controls in place over their
sale and use.
9.1 Environmental Impact.
Generally, unless there are visible outcomes from a pollution event, such as dead fish, oil
slicks etc. they will go unreported and therefore not investigated. The seriousness of a
pollution incident is determined by its environmental impact.

The effects of pollution incidents to air, land and water are categorised from 1 (the most
serious incidents) to 4 (no environmental impact).
Examples of how pesticides can enter the environment:

splashed or spilt into water bodies when sprayers are filled, emptied and cleaned, or
when equipment is left out in the rain;
ditches are oversprayed, contaminating freshwater via spraydrift;
used or disposed of incorrectly by home owners or amenity users (such as those who
look after golf courses, public parks);
washing down of pesticide application equipment to a surface water drain, accidental
spill of crop sprayer contents into a ditch and topsoil runoff following heavy rain.

Pesticides can cause serious environmental problems due to their varying chemical and
physical properties. Pesticides may also form residues on the food plants they are intended
to protect, or reside in the soil where those crops are grown.
Some chemicals when they enter the environment can linger and cause immediate
problems, such as oil spills, whilst others degrade quickly. The degradable products may
seem like the less dangerous of the two groups but this is not always the case. When some
chemicals degrade, the products produced by this breakdown may be more harmful, more
toxic to plants, wildlife than the original substance. Pesticides are designed to kill specific
pests e.g. insects, fungi etc but once degraded these chemicals may have the ability to kill
other types of species and contaminate an entire food chain. Poisoning of many predatory
bird species, such as barn owls has occurred through the introduction of rodenticides. Those
species not affected by the poisoning elements of the pesticides have suffered through a
decline in available food stocks.

Pesticides have the ability to totally devastate the aquatic environment if they are not
controlled or if they are carelessly discarded after or during use. Many pesticides are toxic to
various species within these environments. Pesticide pollution occurs from many differing
sources. Agriculture is the main source of aquatic pollution in many areas but other sources
include industry, sewage works, urban runoff, and in coastal areas, boat hull treatment
products.
Pesticides, if not controlled, enter ground water systems and from there have the ability to
contaminate drinking water. To ensure drinking water is safe for human consumption, it
needs to be treated by the water companies. This costs millions each year, with those costs
transferred to the consumer. Once treated, drinking water is largely free of pesticides.
Once a water store is contaminated by pesticides, it can remain polluted for many years and
cost vast amounts to clean up, if indeed this can be acheived. It is essential to protect these
ground water stores as they account for a third of all our drinking water sources.
Question 13.
Pesticides are only chemical in nature.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:

Pesticides can also be natural substances.

Jump 2:

Next page

9.2 Prevention of Spray Drift.

The Control of Pesticides Regulations (COPR) require that the application of pesticides
must be confined to the land, crop, structure, material or other area to be treated.
Therefore if pesticide spray reaches areas other than the intended crop, it is called spray
drift. Spray drift is a result of pesticide misuse. It is a main source of diffuse water pollution
and can cause damage to wildlife. Therefore, before spraying is undertaken, relevant
agencies within the environmental or conservation areas need to be contacted.
These groups will be able to inform sprayers of any prohibitions for spraying or whether
there are any vulnerable areas that cannot be sprayed with their proposed products.
Detailed guidance on applying pesticides is found in the Code of Practice for Using Plant
Protection Products (PPP Code).

Factors which affect spray drift include:

wind velocity at spray nozzle height;

stability of the local atmospheric conditions;
wrong nozzles or pressure choice affecting spray quality;
vehicle speed;
boom height;
poor equipment maintenance;
incorrect equipment setting.

Due to the potential for damage to the aquatic environment from such products, all users of
pesticides must ensure that the risks of spray drift are minimised by the use of reasonable
precautions.
Such precautions include ensuring that:

all equipment is suitable for the task;

the products have been approved, according to the legislation;
all staff involved in the process has had the relevant training and are certified as
competent;
weather conditions are suitable;
the correct spraying techniques are used.

Buffer Zones and LERAPs (Local Environment Risk Assessment for Pesticides)
A buffer zone is an area intentionally left unsprayed at the margin of a water source to
ensure that the pesticide does not drift out of the treated area and cause water
contamination. The size of such buffer zones will be dependant on the type of sprayer used
but in some circumstances, can be reduced by undertaking a Local Environmental Risk
Assessment for Pesticides (LERAP). The approval documentation as well as the product
label will give information of the buffer zones which must be used with that individual
product.
9.3 Pesticide Monitoring.
Pesticide use and residues are monitored on a regular basis by the Pesticide Residues
committee and the Pesticides Usage Survey. These cover all aspects of pesticide use and
data collected are used during review programmes by the UK to determine Government
policy for control. Monitoring is essential to ensure that pesticides are being used correctly
and are not having adverse effects on food, water, the environment or peoples health.
As pesticides are dangerous to both flora and fauna, they need to be strictly controlled and
their risk minimised. This is achieved through legislation, which sets the ground works for
Codes of Practice and approval.
9.4 Legislation.

According to the law, only Minister-approved pesticides are allowed to be sold, supplied,
used, stored or advertised. Therefore anyone who advertises, sells, supplies, stores or uses

a pesticide is affected by the legislation and includes people who use pesticides in their own
homes and gardens etc.
The approval of chemical compounds for pesticides is undertaken on behalf of Ministers by
The Department for Environment, Food and Rural Affairs (DEFRA) and the Health and
Safety Executive (HSE). DEFRAs Pesticide Safety Directorate approves pesticides used to
protect plants, whereas the HSEs Health and Safety Directorate approves non-plant
pesticides (e.g. rat poisons).
The two main legislative documents that deal with the use, supply, storage and advertising
of pesticides are

Food and Environment Protection Act 1985, Part III, Section 16.
Control of Pesticide Regulations 1986, as amended.

Part III of The Food and Environment Protection Act (FEPA) contains the statutory powers to
control pesticides. The control aims are set out in Section 16 of the Act and intend to:

protect the health of human beings, creatures and plants;

safeguard the environment;
secure safe, efficient and humane methods of controlling pests;
make information about pesticides available to the public.

Under the Act, all aspects of the pesticide are covered and maximum pesticide residues in
food and animal feed stuffs are set.
The Control of Pesticides Regulations 1986 (COPR) were made under FEPA and contain
the means by which the aims of the Act are to be complied with.
COPR:

defines which pesticides are subjected to the controls and which are excluded;
requires permission before pesticides are advertised, sold, supplied, stored and
used;
allows for general conditions on sale, supply, storage, advertisement, and use,
including aerial application of pesticides.
gives powers to seize and destroy pesticides.
clarifies rules concerning access to information.

The 1986 Regulations were updated by the COPR (Amendment) Regulations 1997.
There are two statutory Codes of Practice which provide guidance on the implementation of
the Regulations:
1. Code of Practice for the Safe Use of Pesticides on Farms and Holdings 1998, the
Green Code.
2. Code of Practice of Suppliers of Pesticides to Agriculture, Horticulture and Forestry
1986, the Yellow Code;

The DEFRA Green Code deals with:

prevention of spray drift;

disposal of waste and containers;

training and certification;

protection of wildlife;
protection of walkers and residents;
and record-keeping.

The main points in the DEFRA Yellow Code are that it covers:

construction, storage, transportation and disposal of pesticides;

the relevant water authority, water undertakers, environmental health and emergency
services must be consulted over both safety and pollution control requirements;
certificates of competence for persons supplying, storing and selling over a specified
amount of pesticides.

The need for regulatory action is derived from the results of Pesticide Safety Directorate
(PSD) monitoring and from any adverse reports concerning incidents involving pesticides.
9.5 Certificate of Competence.
The Pesticide Safety Directorate (PSD) ensures safety with pesticides by issuing the
certificate of Competency. Holding this certificate is an excellent way to prove that you have
received the essential instruction and training necessary to use specific types of equipment
A certificate of competence is necessary for anyone wishing to:

store pesticides for purpose of sale or supply in a quantity in excess of, at any
one time, 200kg or 200 litres, or a similar mixed quantity; if they do not hold a
Certificate of Competence then they may only store pesticides under the
direct supervision of someone that does hold a certificate;
sell, supply or otherwise market a pesticide for someone to use - unless
under the direct supervision of a person who holds such a certificate;
use a pesticide if they were born after 31st December 1964 or are providing
a commercial service e.g contactors or anyone spraying on land that is not his
or his employers.

However, anyone who does not hold such a certificate of competency, but is required to do
so, can use pesticides if they are supervised by someone who does hold a certificate.
Certificates of competence for pesticides are issued under two headings:
1. Use (issued by the National Proficiency Tests Council and the Scottish Skills Testing
Service).
2. Sell, supply or otherwise market (issued by BASIS (Registration) Ltd).
Duties for employers to provide instruction and training are explained in the Code of Practice
for Using Plant Protection Products. The training of people who deal with pesticides is a
requirement under both the DEFRA Green and Yellow Codes and is essential in minimising
the risks from pesticides. When misuse or carelessness with pesticides occur, the outcome
on the environment, as mentioned previously can be devastating.
9.6 The UK Approvals System.
As stated earlier in this module, approval is a legal requirement granted by the Pesticides
Safety Directorate (PSD) on behalf of Ministers under a range of specific pesticide-related

legislation.
An application must be submitted from a manufacturer, formulator, importer or distributor
and - in some circumstances - users.
The application is supported by necessary data and approval will only be given for that
individual product and only for the specified use. A scientific evaluation takes place from the
data supplied and a risk assessment is produced. This documentation is then given to an
independent body of experts, the Advisory Committee on Pesticides (ACP), to consider,
make recommendations and advise Ministers responsible for granting the approval.
Approvals are needed for:

Any new product.

Changes to the make up of a previously approved product.
Changes on product use.
The importation of a product that is identical to one in the UK.
The testing of pesticides.

A product can be approved via a precedent. If a product has the same level of active
ingredients or has the same area of use and methods of application as a previouslyapproved product then approval can be granted based on this precedent. These products
must still obtain approval from Ministers before it can be used, stored, advertised, sold etc.
Once an approval is granted for a pesticide, the specific conditions of approval, which are
legal requirements, are stipulated. These conditions can be located at the end of the
application for approval, in the legal documents as well as being indicated on the products
label.
Following approval, products are subjected to on-going reviews to ensure all safety
standards are been adhered to. Approvals can be revoked, suspended or altered at any time
if there are believed to be other safety issues which need to be examined and assessed.
Further information is contained in the joint publication between HSE and the Department for
Environment, Food & Rural Affairs (DEFRA)

A Guide to Pesticide Regulation in the UK and the Role of the Advisory

Committee on Pesticides (ACP)" [350kb]

9.7 Enforcement Against Pollution Incidents.

If companies cause serious pollution incidents, the Pesticide Safety Directorate will take
enforcement action against them. According to their records, they prosecuted 317
businesses in 2005 which resulted in over 2.7 million worth of fines. 28 company directors
were prosecuted and 66 people were given fines and additional penalties which included
four prison sentences and 25 community service orders.
Responsibility for enforcement is shared between the Health and Safety Executive (HSE),
local authorities and the Agriculture Departments.
The HSE are authorised to enforce controls on the storage and use of pesticides as part of
the work activity in industries and private dwellings.

Local authorities enforce controls in respect of the advertisement, sale, supply, storage and
use for those areas not under the jurisdiction of the HSE, such as wholesale and retail
premises, hotels and residential accommodation, warehouses, museums, catering
establishments, sports grounds (including golf courses), gardens, parks and garden centres.
The HSE Pesticide Incident Appraisal Panel (PIAP) considers all investigated incidents
where the agricultural use of pesticides may have affected a persons health.
Question 14.
The approval of chemical compounds for pesticides is undertaken on behalf of Ministers by
DEFRA & the HSE
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

Question 15.
A certificate of competence is necessary for anyone wishing to....
Multiple Choice (HP)
Answer 1:

Use a pesticide - if born after 31st December 1964 or providing a

commercial service

Response 1:
Jump 1:

This page

Answer 2:

Store pesticides for purpose of sale or supply in a quantity of excess of

200 litres/200kg

Response 2:
Jump 2:

This page

Answer 3:

Sell, supply or otherwise market a pesticide for someone to use

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

Please be advised that the course material is regularly reviewed and updated on the
elearning platform. SHEilds would like to inform students downloading these printable notes
and using these from which to study that we cannot ensure the accuracy subsequent to the
date of printing. It is therefore important to access the elearning environment regularly to
ensure we can track your progress and to ensure you have the most up to date materials.
Version 1.1c

Element 14 - Environmental Implications of Development and Land Use.

Overall aims
On completion of this unit, candidates will have knowledge and understanding of:

classification and protection of the countryside, historic features and wildlife habitats;
planning legislation as it affects environmental management;
contaminated land and groundwater.

Specific intended learning outcomes

The intended learning outcomes are that candidates will be able to:

advise management on the environmental aspects of developing and managing land;

identify hazards and assess risks associated with contamination of soil and
groundwater and advise management on the options for remedial treatment.

Hours of tuition and private study

9 hours of tuition
3 hours private study
Relevant statutory provisions:

National Parks and Access to the Countryside Act 1949

Wildlife and Countryside Act 1981 and amendments
Town and Country Planning Act 1990
Natural Environment and Rural Communities Act 2006
Planning Policy Statement 9: Biodiversity and Geological Conservation (PPS9) ISBN
0-11-75394-6

1.0 Classification & Protection of the Countryside, Historic Features & Wildlife
Habitat.
Protection given to designated areas/features
The preservation of the natural environment and its flora and fauna are an essential element
of the UK strategy for sustainability. It is also very important for our quality of life. Some
environments and habitats are particularly vulnerable and require special protection.
There are now over 80 types of statutory and non-statutory wildlife sites in the UK. Some,
such as National Nature Reserves (NNRs) and Sites of Special Scientific Interest (SSSIs)
are designated under Acts of Parliament.
Some are designated under international conventions or directives, e.g. Ramsar sites,
Special Protection Areas (SPAs) and Special Areas of Conservation (SACs).
Others are selected by local authorities as either Local Nature Reserves (LNRs) or Sites of
Importance for Nature Conservation (SINCs) and there are many other titles given to non-

statutory sites by local authorities.

The size of these sites can vary enormously, from the National Parks to small local nature
reserves or places protected for individual species, such as bats or species of plant.
In this unit we will be looking at the following classifications of protected areas:

National Parks.
Areas of Outstanding Natural Beauty.
National Nature Reserves.
Local Nature Reserves.
Sites of Special Scientific Interest.
Special Areas of Conservation.
Special Protection Areas.
Special Nature Conservation Orders.
UK Biosphere Reserves.
World Heritage Sites.
Ramsar Convention.
Natura 2000.
Tree Preservation Orders.
Conservation Areas.
Listed Buildings.

1.1 National Parks.

National Parks are designated under the National Parks and Access to the Countryside
Act 1949.
The current National Parks (with their year of creation) are

Peak District 1951

Lake District 1951
Snowdonia 1951
Dartmoor 1951
Pembrokeshire Coast 1952
North York Moors 1952
Yorkshire Dales 1954
Exmoor 1954
Northumberland 1956
Brecon Beacons 1957
The Broads 1988
New Forest 2005
South Downs 2009

In Scotland, the Cairngorms and Loch Lomond are also National Parks (see below).
Responsibility for designating National Parks lies with Natural England and the Countryside
Council for Wales.
They are extensive tracts of land, often remote, with wide open spaces providing significant
opportunities for outdoor recreation for the public. National Park status recognises the
national importance of the area concerned in terms of landscape, biodiversity and as a

recreational resource. There are two main purposes for National Park designation:

To conserve and enhance the natural beauty, wildlife and cultural heritage of their
areas.
To promote opportunities for the public understanding and enjoyment of the special
qualities of their areas.

In the case of conflict, the former takes priority.

Most of the land in National Parks is in the hands of farmers and other private landowners.
Public bodies such as the Forestry Commission, the National Park Authorities (NPAs are
created under the Environment Act 1995) or Natural England manage some areas, and
some are managed by voluntary conservation organisations such as the National Trust. The
NPA has a duty to foster the social and economic well-being of local communities without
incurring significant expenditure. Authorities are expected to co-operate with other
organisations to fulfil this requirement.
The NPAs are required to prepare a development plan for the achievement of these
purposes and must consult with the relevant Agency (Natural England or the Countryside
Council for Wales) during submission and alteration of these plans.
National Parks in Scotland
Responsibility for National Parks in Scotland lies with the Scottish Parliament and Executive.
Loch Lomond and the Trossachs was confirmed as Scotlands first National Park on 19th
July 2002 and the Cairngorms followed in 2003.
Protection
Proposals for any major development in a National Park must be demonstrated to be in the
public interest.
Considerations include whether the development is needed in national terms; the impact of
permitting it or refusing it on the local economy; the potential for developing elsewhere, or
meeting the need in some other way; and the extent to which any detrimental effect on the
landscape might be moderated.
Source: DEFRA, 2003.
1.2 Areas of Outstanding Natural Beauty (AONB).
Areas of Outstanding Natural Beauty (AONBs) were brought into being by the same
legislation as National Parks, the National Parks and Access to the Countryside Act
1949. They are landscapes of national conservation importance for their distinctive character
and natural beauty, but located outside National Park boundaries. The primary objective of
the designation is to conserve and enhance the natural beauty of the area. They are
generally smaller than National Parks, and may be owned by individuals, e.g. farmers. The
Countryside Agency and the Countryside Council for Wales (CCW) are responsible for
designating AONBs and advising Government on policies for their protection.
The administration of planning and development control in AONBs is the responsibility of
those local authorities within whose boundaries they fall. Section 89 of the Countryside and
Rights of Way Act 2000 required all authorities responsible for AONBs to prepare and
publish a management plan for their area by the end of 2003. The Act also requires that the

plan be reviewed every five years.

Larger and more complex AONBs can apply to become Conservation Boards under Section
86 of the Countryside and Rights of Way Act 2000. Where an AONB has a Conservation
Board, it has an additional purpose to increase public understanding and enjoyment of the
special qualities of the area. If there is a conflict between the two objectives, then
conservation takes priority. As for National Parks, a Board is required to seek to foster the
economic and social well-being of the local communities, but without incurring significant
expenditure in doing so and be expected to co-operate with other organisations to fulfil this
requirement.
As of 2010, there were 35 AONBs in England, one in England & Wales, four in Wales and
nine in Northern Ireland. A map of AONBs in England and Wales and details of each one
can be found here.
AONBs are afforded the same protection as National Parks. Proposals for any major
development must be demonstrated to be in the public interest.
Scotland has National Scenic Areas and they are administered by Scottish Natural Heritage.
It is a public body and is responsible for Scotland's natural heritage, especially its natural,
genetic and scenic diversity. It advises the Scottish Government and acts as a government
agent in the delivery of conservation designations such as

National Nature Reserves,

Local Nature Reserves,
Long Distance Routes,
National Parks,
Sites of Special Scientific Interest (SSSIs),
Special Areas of Conservation,
Special Protection Areas and
the National Scenic Areas.

1.3 National Nature Reserves (NNR).

The power to designate land as a National Nature Reserve (NNR) was granted to the Nature
Conservancy Council (NCC) under Section 19 of the National Parks and Access to the
Countryside Act 1949 and Section 35 of the Wildlife and Countryside Act 1981. The
Nature Conservancy Council is the name of a former UK Government Agency which was
divided in 1991 into English Nature, Scottish Natural Heritage, and the Countryside Council
for Wales. They now act together under the name of the Joint Nature Conservation
Committee (JNCC), in effect, the old NCC as referred to in environmental legislation prior to
1991.
JNCC is the statutory adviser to Government on UK and international nature conservation.
Its work contributes to maintaining and enriching biological diversity, conserving geological
features and sustaining natural systems. JNCC delivers the UK and international
responsibilities of the four country nature conservation agencies - Council for Nature
Conservation and the Countryside, the Countryside Council for Wales, Natural England and
Scottish Natural Heritage.
Natural England has been formed by bringing together English Nature, the landscape,

access and recreation elements of the Countryside Agency and the environmental land
management functions of the Rural Development Service. Natural England has powers,
stemming from the National Parks and Access to the Countryside Act 1949 to designate land
as a National Nature Reserve (NNR). The aim is to secure protection and appropriate
management of the most important areas of wildlife habitat, to provide a resource for
scientific research and to provide a resource for recreation so long as this does not
compromise the wildlife habitat.
The Natural Nature Reserves are areas of high national or international importance for
nature conservation and have an important public role. The majority of such reserves have
some permitted access to encourage the public to learn about conservation management
and see a range of wild animals and plants in their natural habitat. The statutory purpose of
NNRs was revised through the Natural Environment and Rural Communities (NERC) Act
2006 to formally recognise the important recreation role the reserves play.
NNRs are usually designated for their broader ecological value rather than for the presence
of any rare species. However, there are a number of sites which hold important numbers of
scarce or rare species. The NNR network represents almost every kind of vegetation type
found in England.
A number of factors may contribute to the designation of a NNR:

How fragile a site is.

The size of the site.
How natural the site is.
The presence of species-rich communities.

NNRs can be managed in a number of ways:

Natural England may either directly own the land, or hold it on lease.
It may have a nature reserve agreement in partnership with the owners.

National Nature Reserves are Sites of Special Scientific Interest and their protection is
based on management. NNR land is held and managed as a nature reserve by an 'approved
body' e.g. the Wildlife Trusts. Each NNR has its own reserve management plan. The work is
carried out by a Site Manager and a varying number of estate workers. The management
plan, which is normally updated every five years, identifies the objectives of the reserve and
lists the operations needed to achieve these objectives.
Within a European context, NNRs are also very important. A number of sites are designated
as Special Protection Areas (SPA) under the EC Birds Directive and Special Areas of
Conservation (SAC) under the EC Habitats and Species Directive or as Ramsar sites under
the Ramsar Convention.
Although the idea of NNRs was introduced in 1949 the first one was not designated until
1951; this was Bienn Eighe in North West Scotland. The first NNRs in England were
declared in 1952 and there are now 224 NNRs covering over 87,000 hectares. The largest
NNR in England is The Wash at 9,899 ha and the largest NNR in Scotland is The
Cairngorms at 25,949 ha.
1.4 Local Nature Reserves.
LNRs are created by local authorities under Section 21 of the National Parks and Access
to the Countryside Act 1949 in conjunction with their appropriate national authority in the

interest of conservation, amenity value and public enjoyment of the countryside. Bylaws can
be applied to LNRs. LNRs contribute to the overall diversity of wildlife in Great Britain,
providing stepping stones or wildlife corridors by linking with designated sites.
Marine Nature Reserves
Section 36 of the Wildlife and Countryside Act 1981 empowers the Secretaries of State,
following an application from the Country Conservation Agencies, to establish statutory
marine nature reserves (MNRs) to conserve - and provide opportunities for the study of marine flora and fauna and geological and physiographical features of special interest.
MNRs may be established within three nautical miles of the coast under the Territorial Seas
Act 1987 or, by an Order in Council, to the limits of UK territorial waters; they include both
the sea and the seabed. MNRs can be protected by bylaws. At present there are three:
Skomer Island, Lundy and Strangford Lough.
The MNR arrangements are, in common with the other site safeguard provisions of the 1981
Act, based on the "voluntary approach" and are thus dependent on securing the cooperation of all the local interests concerned - e.g. fishermen, divers, local authorities - to
agree the detailed provisions for protecting each site.
The development of marine nature conservation is more likely to make progress through the
implementation of the Habitats and Birds Directives. The EC Habitats Directive aims to
contribute to the maintenance of Biodiversity by establishing a network of Special Areas of
Conservation (SACs) which, together with the sites designated under the EC Birds Directive
(Special Protection Areas) are known as Natura 2000. These include marine sites as well as
terrestrial sites. Some 36 marine sites were included in the initial list of possible SACs by the
Government.
Environmentally Sensitive Area (ESA)
The term Environmentally Sensitive Area is an EU designation identifying a statutory area
where the Government is able to offer incentives to encourage farmers to adopt
environmentally-sensitive farming practices, prevent damage that might result from certain
types of agricultural intensification, and restore traditional landscapes. There are now 22
ESAs in England, covering some 10% of agricultural land.
Limestone Pavement Orders (LPOs)
Areas of limestone pavement are of considerable botanical and geological value. It is a rare
habitat in Great Britain (approximately 2,600 ha) and is at risk for removal for use in garden
rockeries. The most extensive sites are in northern England, from Morecambe Bay to the
Pennines. Many sites have been designated as SSSIs but the Conservation (Natural
Habitats, etc.) Regulations 1994 allows for additional protection through the making of an
LPO. All significant areas of limestone pavement in England are now protected by LPOs.
Natural England and the Countryside Agency have a duty to notify local planning authorities
of pavements of special interest (for wildlife, geology or physiography) in their area. The
County Planning Authority may then make a LPO to protect the pavement. The Country
Agencies notify the local authority of pavements of special interest in their area and the local
planning authority then makes the LPO. Once a LPO is in place, removal of rock becomes a
criminal offence, unless it constitutes incidental removal in the course of other activities.
Penalties match those for damage to an SSSI, at up to 20,000 or on indictment an

unlimited fine.
It is also an offence if 'any person without reasonable excuse removes or disturbs limestone
on or in land designated by a limestone pavement order'. However, it is a reasonable excuse
for a person to remove or disturb limestone or cause or permit its removal or disturbance if
the act was authorised by a planning permission granted on application. Agricultural use of
limestone from land subject of a LPO will thus require a planning application for planning
consent.
Limestone pavements were given further protection under the European Habitats Directive in
1992, when they were recognised as a priority habitat for designation as Special Areas of
Conservation (SAC). Priority habitats types are those which are most threatened across
Europe. Seven areas of pavement in the UK have been identified as possible Special Areas
of Conservation (SACs) under the Directive.
Limestone pavement has also been identified as a key habitat in the UK Biodiversity Action
Plan. A Costed Key Habitat Action Plan has been published, setting out targets and
objectives. These seek to ensure that there is no further loss to the extent or quality of
limestone pavement areas, and to maintain the balance between features of geological
importance and a characteristic assemblage of native plant species.
The Limestone Pavement Working Group was established in 1996 to co-ordinate the
implementation of the costed habitat action plan. The Group must identify areas where
action needs to be taken to implement the national targets and specify appropriate delivery
mechanisms. Current membership includes Cumbria Wildlife Trust (on behalf of the Wildlife
Trusts), Defra, Natural England, the Limestone Pavement Action Group (LPAG), Scottish
Natural Heritage, Countryside Council for Wales, Northern Ireland Wildlife Service and DOE
Northern Ireland. The Group is supported by grants from Planning Authorities and Natural
England.
The LPAG has promoted a national awareness campaign to inform the general public how
they can help prevent damage to limestone pavements, for instance by not buying
waterworn limestone. The Action Group has published two booklets to promote public
awareness: 'Limestone Pavement: Our Fragile Heritage' launched by Michael Meacher in
January 1998 and a follow up publication 'Managing Our Fragile Heritage: Limestone
Pavement' in February 1999. Further information about limestone pavements can be found
at: www.limestone-pavements.org.uk .
In 1999, the Group commissioned TRAFFIC International to undertake research into the
extent and nature of trade in waterworn limestone between the UK and the Republic of
Ireland. A copy of the report 'On stony ground' can be viewed at www.limestonepavements.org.uk .
1.5 Sites of Special Scientific Interest (SSSI).
Sites of Special Scientific Interest (SSSI) are the best examples of our natural heritage of
wildlife habitats, geological features and landforms. An SSSI is an area that has been
notified as being of special interest under the Wildlife and Countryside Act 1981.
Since 1949, Natural England and its predecessor bodies have been identifying areas of land
of special interest. Following recognition of substantial changes to the environment between
the 1940s and late 1970s, the Wildlife and Countryside Act 1981 provides a more flexible
means of protecting wildlife and their habitats, with compulsory measures used only where
absolutely necessary. It established a direct and constructive relationship between the

owners and managers of SSSIs and the conservation agency.

In 1992, the Government increased protection for SSSIs within the land use planning
system. It withdrew permitted development rights for certain temporary uses of land and
indicated that the Secretary of State would generally call in and determine planning
applications which would significantly affect sites of national and international conservation
importance. It also provided additional advice on the need for Environmental Assessment,
and required local planning authorities to consult the conservation agencies about planning
applications on land near to and likely to affect a SSSI.
These measures are designed not to prohibit appropriate activities but to ensure that the
planning process can properly consider, evaluate and balance the needs and aspirations of
the individual against those of the local, national and international community. They ensure
that the nature conservation interest is taken fully into account before development, or a
change in management practice which would cause damage, is permitted. Nevertheless,
Government's expectation is that development proposals which would damage SSSIs will
normally be refused.
This has been further strengthened by the Countryside and Rights of Way Act 2000 which
amends the 1981 Act provisions and improves protection for SSSIs in England and Wales.
The provisions in the Act will give people a new statutory right of access to mountain, moor,
heath, down and registered common land, and will improve the rights of way system so as to
be more responsive to the needs of modern recreation and land management. The Act also
contains measures to increase protection of Sites of Special Scientific Interest and to provide
additional powers for the prosecution of wildlife crime. This includes
enabling the conservation agencies, Natural England and the Countryside Council for Wales,
to refuse consent for damaging activities;

providing new powers to combat neglect;

increasing penalties for deliberate damage and a new court power to order
restoration;
improving powers to act against cases of third party damage; and
placing a duty on public bodies to further the conservation and enhancement of
SSSIs.

The measures for SSSIs came into force on 30th January 2001.
A small number of improvements to the SSSI regime have also recently been made through
Part IV of the Naturanl Environments and Rural Communities Act 2006, which amends Part
II of the Wildlife and Countryside Act 1981. These measures came into force on 30th May
and 1st October 2006 and further information on the Act is available here. The Act also
created Natural England which took over English Nature's responsibilities with respect to
SSSIs.
A Code of Guidance for England on SSSIs , prepared under section 33 of the Wildlife and
Countryside Act 1981, is available and provides recommendations, advice and information
on how the legislation should operate. It will be of interest to individual owners and
occupiers. Note this does not include the small changes made by the NERC Act 2006. The
Financial Guidelines for Management Agreements were published in February 2001 and
have been reissued following changes by the NERC Act 2006. An explanatory note provides

further details and should be read in conjunction with the guidelines.

The Government's Planning Policy Statement 9 sets out planning policy as it relates to
biodiversity and geological conservation and its accompanying circular provides details
guidance on statutory obligations and their impact within the planning system.

Notification of SSSIs
Natural England has a duty to notify areas of special interest. They are required to tell
owners and occupiers, planning authorities and water companies and to advertise the
notification in a local newspaper. Anyone may make representations or object to the
notification. Natural England considers any objections. If they are satisfied that the
arguments for nature conservation outweigh other arguments, they approve the site for
confirmation, within 9 months.
Notification of an SSSI will include a statement of Natural England's views about the
management of the land, as well as a list of operations that may be harmful to the special
interest. If the owner or occupier wishes to carry out any of these operations, they must first
obtain consent from Natural England, which then has 4 months to consider all options. They
may permit the operations (with or without conditions) or may refuse consent. The owner or
occupier may appeal to the Secretary of State if consent is refused. Natural England may
also choose to negotiate a management agreement for the positive management of the land
for nature conservation.
Natural England may also, in consultation with the owner or occupier, develop a
management scheme for the land. If, despite a management agreement being offered, the
land is not being managed in accordance with the scheme, Natural England may serve a
management notice requiring certain operations to be carried out. There is a right of appeal
against a management notice.
Further detail about Natural England's powers may be found in the Countryside and Rights
of Way Act 2000 , Schedule 9, which introduced new sections 28 - 28R into the Wildlife and
Countryside Act 1981.
Offences and Penalties
A person is liable to a fine of up to 20,000 on summary conviction or an unlimited amount
on conviction on indictment if he or she carries out, without reasonable excuse, an operation
which damages the special features of an SSSI. The Courts are also empowered to make an
order requiring that person to take certain actions to restore the land to its former condition.
Failure to comply with such a court order may be punished by a fine of up to 5,000 and a
further fine of up to 100 per day for as long as the offence continues. A third party offence
of intentional or reckless damage or destruction without the requirement of knowledge that
the land affected was an SSSI also exists and accordingly carries a lower penalty fine of up
to a current maximum of 2,500.
Natural England brought the first successful prosecution under these provisions for third
party damage to a SSSI in February 2003. The Court also made a restoration order to make
the offender restore the SSSI to its former condition prior to the damage occurring. Click
here to link to English Nature's press release about the prosecution.

Compulsory Purchase
Natural England may use its powers to make a compulsory purchase order only where it is
satisfied that it is unable to conclude a reasonable agreement under section 7 of the Natural
Environments and Rural Communities Act to safeguard the special interest on an SSSI, or
where an agreement has been breached.
Question 1.
Responsibility for designating National Parks lies with the Environment Agency
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:

The responsibility lies with the Countryside Agency

Jump 2:

Next page

Question 2.
Areas of outstanding natural beauty (AONB) were brought into being by the National Parks &
Access to the Countryside Act 1949.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

Question 3.
Which of the following protected countrysides.wildlife habitats were not brought into being
under the National Parks & Access to the Countryside Act 1949?
Multiple Choice (HP)
Answer 1:

Sites of Special Scientific Interest (SSSI)

Response 1:
Jump 1:

Next page

Answer 2:

National Nature Reserves (NNR)

Response 2:
Jump 2:

This page

Answer 3:

Local Nature Reserves (LNR)

Response 3:
Jump 3:

This page

1.6 Special Areas of Conservation (SAC).

SACs are areas which have been given special protection under the European Unions
Habitats Directive. They provide increased protection to a variety of wild animals, plants and
habitats and are a vital part of global efforts to conserve the worlds biodiversity. The SAC

designation was created under the European Council Directive on the Conservation of
Natural Habitats and Wild Fauna and Flora (92/43/EEC) (commonly known as the
Habitats Directive), which was adopted in May 1992. Under the Directive, the member
states agree to establish a series of protected sites (SACs) that are selected for:

their importance as natural habitat types and as habitats of the species listed in
Annexes I and II of the Directive;

for habitats and species of Community interest.

The Habitats Directive (Council Directive 92/43/EEC of 21st May 1992) requires EU Member
States to create a network of protected wildlife areas, known as Natura 2000, across the
European Union. This network consists of Special Areas of Conservation (SACs) and
Special Protection Areas (SPAs), established to protect wild birds under the Birds Directive
(Council Directive 79/409/EEC of 2nd April 1979). These sites are part of a range of
measures aimed at conserving important or threatened habitats and species.
Special Areas of Conservation/Sites of Community Importance in the UK as at 31st
March 2006
There are a total 621 designated SACs, SCIs or cSACs in the United Kingdom (including
Gibraltar). In addition, there are currently 3 possible SACs that have not yet been submitted
to the European Commission.
Explanation of site status:
1. Special Areas of Conservation (SACs) are sites that have been adopted by the
European Commission and formally designated by the government of each country in whose
territory the site lies.
2. Sites of Community Importance (SCIs) are sites that have been adopted by the
European Commission but not yet formally designated by the government of each country.
3. Candidate SACs (cSACs) are sites that have been submitted to the European
Commission, but not yet formally adopted.
4. Possible SACs (pSACs) are sites that have been formally advised to UK Government,
but not yet submitted to the European Commission.
5. Draft SACs (dSACs) are areas that have been formally advised to UK government as
suitable for selection as SACs, but have not been formally approved by government as sites
for public consultation.
Where an extension to a designated SAC or SCI is pending, different parts of the site can
have different statuses - so, for example part of the site may be SAC, and the remainder
cSAC. In this case the site would only appear once in the table, with the whole site shown as
SAC.
* Site area information is not yet available for some possible SACs; also, all pSAC and dSAC
boundaries are subject to confirmation, so pSAC/dSAC area figures are provisional, and give
only a general indication of the total site area of pSACs/dSACs.
1.6.1 Special Areas of Conservation (SAC) Cont.

The process for designating SACs

Each EU Member State has compiled a list of its most important wildlife areas, following
criteria set out in the Habitats Directive. As the statutory advisor to Government on nature
conservation, Natural England (in its former incarnation as English Nature) led the work to
identify and consult on areas qualifying for SAC status. All owners and occupiers of land
affected were consulted during this period. Once the list of candidate SACs in England was
approved by the Government, it was submitted to the European Commission.
On 7th December 2004, the European Commission formally adopted the UKs list of
candidate SACs so that they became Sites of Community Importance (SCI). Following this,
the 236 English sites on this list were formally designated as SACs by the Secretary of State
for Environment, Food and Rural Affairs on 1st April 2005.
The SACs have been entered in the Register of European Sites, held by the Department for
Environment, Food and Rural Affairs (Defra) and are available for public inspection. Natural
England ensures that copies of the relevant register entries, together with other supporting
information, are sent to landowners, occupiers and other interested parties.
The legal requirements relating to the designation and management of SACs in England are
set out in the Conservation (Natural Habitats, &c.) Regulations 1994 (as amended). All
terrestrial SACs in England are also Sites of Special Scientific Interest (SSSIs). The
additional SAC designation is recognition that some or all of the wildlife and habitats are
particularly valued in a European context. Designation of a SAC is unlikely to greatly affect
the existing management of SSSIs to conserve their biodiversity. Every SSSI notification
contains a list of potentially damaging operations; by law, owners or occupiers must obtain
permission before carrying out any of the listed operations. There is a right of appeal to
Defra if permission is refused.
It is an offence to carry out notified potentially damaging operations on a SSSI without
consent or reasonable excuse. The Courts may also require restoration of any damage
caused by unauthorised works. However, it is a reasonable excuse not to obtain our
permission if:

the operation is an emergency;

permission has been granted via a planning application; or
permission has been received from another statutory/permitting regime which has
consulted Natural England first.

Planning authorities can also insist that developments carried out without necessary
planning permission are removed.
Marine Special Areas of Conservation
England's SACs include areas which cover marine as well as terrestrial areas. Marine areas
are not normally notified as Sites of Special Scientific Interest (SSSIs), except in intertidal
areas and estuaries; collaboration with the various maritime authorities ensure that activities
under their control are managed appropriately.
Special Areas of Conservation (SACs) form part of a network of sites stretching across the
whole of the European Union and are internationally recognised for the importance of their
biodiversity.

Summary
1. The Habitats Directive (Council Directive 92/43/EEC of 21st May 1992)
Requires each Member State to submit a list of cSACs to the Commission to make up a
network of high-quality conservation sites known as Natura 2000. This network consists of
SACs and Special Protection Areas (SPAs) established to protect wild birds under the Birds
Directive (Council Directive 79/409/EEC of 2nd April 1979). The Natura 2000 network is
internationally recognised as forming part of the global effort to conserve biodiversity.
2. Candidate SACs (cSACs)
These are sites that have been submitted to the EuropeanCommission, but not yet formally
adopted as Sites of Community Importance (SCIs). Once cSACs are adopted by the
Commission, Member States are obliged, under Article 4 of the Habitats Directive, to
designate SCIs within their territory as SACs as soon as possible. Candidate sites are
protected as though they were adopted by the Commission and designated by the Secretary
of State as SACs.
3. Designation does not rule out the possibility of future development.
If the damaging effects of a proposed development cannot be mitigated, or avoided by using
an alternative solution, it may still be permitted on grounds of overriding public interest (OPI)
in certain circumstances. Should any such OPI project come forward, the Commission would
need to be satisfied that the overall coherence of the Natura 2000 network was protected.
4. The legal requirements relating to the designation and management of cSACs
in England, Scotland and Wales, these are set out in the Conservation (Natural Habitats,
&c.) Regulations 1994 (as amended). The majority of cSACs are also Sites of Special
Scientific Interest (SSSIs).
Further information on Special Areas of Conservation and European sites is available
from the following links:
A full list of UK SACs on the Joint Nature Conservation Committee website:
www.jncc.gov.uk/page-1458
The nature conservation section of the European Commission website:
www.eu.int/comm/environment/nature
Government Planning Policy Statement 9 on the Department for Communities and Local
Government website: www.communities.gov.uk
The Conservation (Natural Habitats, &c.) Regulations 1994 (SI 1994 No.2716):
www.legislation.hmso.gov.uk/si/si1994/Uksi_19942716_en_1.htm
Marine Special Areas of Conservation in the UK: www.ukmarinesac.org.uk
1.7 Current SAC Applications.
Three estuaries - the Dee, Humber and Severn - have been earmarked by the government
as Special Areas of Conservation (SACs) to protect vulnerable wildlife and habitats.

Defra has applied to the European Commission to seek SAC status for the three candidate
sites, to add to the UKs 613 SACs covering just over two and a half million hectares. This is
part of a long-running process of designation of UK conservation areas under the EU
Habitats Directive.
Severn Estuary
The Severn Estuary is one of the largest estuaries in the UK. The estuarys classic funnel
shape, unique in the UK, helps give it the second highest tidal range in the world at more
than 12 metres. Although the high sediment levels in the Severn Estuary make it hostile to
fish (which need higher oxygen levels) and most marine plants (which need sunlight to
photosynthesise), this results in a range of terrestrial and aquatic habitats composed of
plants and animals typical of the extreme conditions of strong flows, mobile sediments,
changing salinity and turbid waters. Between autumn and spring, abundant ragworms,
lugworms and other species buried in the soft sediments form an important food source for
thousands of over-wintering and migratory birds. The estuary is also an important area for
migratory fish, such as river and sea lamprey and twaite shad, and as a nursery for juvenile
fish of many species. While the fringes of the estuary provide one of the best areas in the UK
for Atlantic salt meadows, the estuary also contains areas of species-poor sub-tidal
sandbanks and invertebrate reefs.
The Severn Estuary is therefore important for the characteristics of the estuary as a whole,
certain habitat types and certain species associated with those habitats, most notably
wintering and migratory birds, migratory fish and invertebrate reefs.
Dee Estuary
The Dee Estuary is the sixth largest estuary in the UK. It contains extensive areas of salt
marsh, much of which is ungrazed. On low spring tides, over ninety percent of the estuary
dries out, exposing the fifth largest extent of mudflats and sand flats of any estuary in the
UK, containing many invertebrates, including worms, shellfish (e.g. cockles) and shrimp-like
amphipods. These provide a rich source of food for birds and fish. The estuary also provides
habitat for migratory fish species, which spend their lives in the sea and spawn in the River
Dee. The site also includes areas of a once extensive dune system along the north east
coast of Wales. The dune areas support rich variety of plants, including the rare petalwort.
The sandstone cliffs of the Hilbre Islands support sea cliff vegetation.
Humber Estuary
The Humber Estuary is the largest British coastal plain estuary on the North Sea coast, and
drains one fifth of England. It is one of the finest examples of an estuary of its type and is
ranked as one of the top six sites in the UK for its waterfowl population, whilst its subtidal
and intertidal habitats, fringing salt marsh and reedbeds provide a valuable resource for a
large number of rare or threatened mammals, fish and plants.
Defra has confirmed extensions to the existing Humber Flats Marshes and Coast (Phase 1)
Special Protection Area and Ramsar site made under the provisions of the Birds Directive
and the Ramsar Convention on Wetlands of International Importance.
These sites have been extended to incorporate additional land and have been renamed as
the Humber Estuary Special Protection Area and Ramsar site accordingly. The estuary
comprises extensive wetland and coastal habitats including reedbeds, mature and
developing salt marsh, grazing marsh, low sand dunes, marshy slacks and brackish pools.

The estuary supports important numbers of waterbirds (especially geese, ducks and waders)
during the migration periods and in winter. In summer, it supports important breeding
populations of bittern, marsh harrier, avocet and little tern. It also supports important
populations of seals, amphibians and migratory fish.
The Sustainable Development Commission is investigating the potential for utilising tidal
power to generate electricity both in the Severn and elsewhere. SAC designation would not
rule out tidal power development, including in the Severn Estuary, in appropriate
circumstances. The Government is prepared to consider carefully proposals for a Severn
Barrage and other tidal power developments. In the light of this, Defra and the Welsh
Assembly Government have drawn the European Commission's attention to the potential of
the Severn Estuary to contribute towards emissions reduction and renewable energy targets,
and that the proposals could significantly alter the ecological characteristics of the Estuary
and raise issues regarding the balance between habitat protection and tackling the wider
problems caused by global warming.
1.8 Special Protection Areas (SPA) & World Heritage Sites.
Article 4 of the EU Council Directive on the Conservation of Wild Birds (79/409/EEC)
(commonly known as the Birds Directive), adopted on 2nd April 1979, required EU member
states to identify and classify the most suitable territories in size and number for rare or
vulnerable bird species, as listed in Annex I and for regularly occurring migratory birds.
Member States are required to pay particular attention to the protection of wetlands,
especially those of international importance. These sites have become known as Special
Protection Areas (SPAs). Within these areas, member states are required to take
appropriate steps to avoid pollution or deterioration of the habitat and disturbance to the
birds.
In the UK, 260 SPAs covering 1,840,498 ha have been classified, excluding nine proposed
sites. There are 78 in England, covering 671,436 ha.
Translation to UK Law
UK implementation of both Directives was achieved through the Conservation (Natural
Habitats, etc.) Regulations 1994, which were in part exercised through the existing
provisions of Part I of the Wildlife and Countryside Act 1981. As a result, any prosecution
of offences involving a European protected species would be taken under current UK
legislation.
Under Section 22 of the Conservation (Natural Habitats, etc.) Regulations 1994 the
Secretary of State may make a Special Nature Conservation Order specifying which
operations appear to be likely to damage or destroy any land within an SPA and/or SAC.
The Conservation (Natural Habitats, etc.) (Amendment) Regulations 2007 entered into
force on 21st August 2007.
The amendments will:

simplify the species protection regime to better reflect the Habitats Directive;
provide a clear legal basis for surveillance and monitoring of European protected
species (EPS);
toughen the regime on trading EPS that are not native to the UK;
ensure that the requirement to carry out appropriate assessments on water
abstraction consents and land use plans is explicit.

Special Nature Conservation Orders

After consultation with Natural England, the Secretary of State may make, in respect of any
land within a European site (SPA and/or SAC), a special nature conservation order (SNCO)
under Regulation 22 of The Conservation (Natural Habitats, &c) Regulations 1994,
specifying operations which appear to him likely to damage or destroy the special interest of
such a site, in order to protect that interest.
No person shall carry out any of the operations listed in the Order unless written notice is
received by Natural England specifying the nature of the operation and the land on which it
is proposed to be carried out and one of the following conditions is fulfilled:

It is undertaken with the written consent of Natural England, or

It is undertaken is accordance with the terms of an agreement.

Compulsory Purchase
Where Natural England is unable to conclude a management agreement or where a breach
of an agreement occurs which prevents or impairs the satisfactory management of the site,
they may acquire that interest compulsorily.
Compensation
Where an Order is made, Natural England shall pay compensation to any person having an
interest in land comprised as an agricultural unit to which the Order relates, on a claim made
that shows that the value of the interest has declined as a consequence of the Order.
Restoration
Where a person is convicted of contravening the Order, the Courts may make an Order
requiring him to restore the land to its former condition. If restoration is not carried out within
the specified time, Natural England may carry out the works and recover all costs involved.
Offences and Penalties
It is a criminal offence to contravene the above without reasonable excuse. The offence may
be tried either summarily, at a Magistrates Court, or on indictment, before a judge and jury at
a Crown Court. If convicted, the person is liable to a fine.
It is a reasonable excuse to carry out an operation if:

it is an emergency, particulars of which were notified to Natural England as soon as

practicable, or
it is authorised by planning permission granted on application under part III of the
Town and Country Planning Act 1990.

UK Biosphere Reserves
Biosphere Reserves are non-statutory protected areas representing significant examples of
terrestrial and coastal environments throughout the world, which are protected for
conservation purposes. They have particular value as benchmarks or standards for the
measurement of long-term changes in the biosphere. They were devised by UNESCO as

Project No. 8 of their Man and the Biosphere (MAB) ecological programme and were
launched in 1970. Criteria and guidelines for selection of sites were produced by a UNESCO
task force in 1974. The reserves are nominated by national governments to form part of a
world network. They have three functions:

Conservation to preserve genetic resources, species, ecosystems and landscapes.

Development to foster sustainable economic and human developments.
Logistic Support to support demonstration projects, environmental education and
training, conservation and sustainable development-related research and monitoring.

In 1974, UNESCO established criteria for Biosphere Reserves which were to be promoted
as areas of protected land which in due course would form part of a worldwide network of
sites linked by common international standards to facilitate the exchange of information
relevant to the conservation of natural and managed ecosystems.
The original functions of Biosphere Reserves were to conserve biodiversity and give facilities
for research, education and training. In 1984, UNESCO produced an action plan which
expanded the concept in which sites were also defined in terms of the sustainable
development value. At almost the same time in 1985, the UK withdrew from UNESCO.
In March 1995, an international conference of experts was organised by UNESCO in Seville.
The strategy that was elaborated there, known as the 'Seville Strategy', recommends the
action to be taken for the future development of Biosphere Reserves in the 21st Century.
During the UK's absence from UNESCO, the criteria for MAB sites have been substantially
revised following the Seville Conference. The UK's suite of sites was designated in the
1970s and is now out of step with the revised criteria.
When the UK left UNESCO, the UK MAB programme went into abeyance and, as a
consequence, the UK did not attend the 1995 Seville Conference which substantially revised
the MAB programme and the criteria under which Biosphere Reserves were to be
designated. In February 1997, UNESCO wrote to the MAB Committee asking them to
institute a review of MAB in the UK based on the revised criteria.
The Department commissioned a research report to look at how the revised criteria could be
applied within the UK and to advise Government and the MAB committee. In 2002, following
careful consideration of the report and the responses to the consultations, the UK authorities
decided to endorse the Report's conclusion that St Kilda and Claish Moss should be
removed from the World Network of Biosphere Reserves. In addition, they concluded that
two other sites, Rhum and Caerlaverock, should also be removed.
The UK currently has eight biosphere reserves, all designated in the 1970s. Each reserve is
divided into three zones: core, buffer and transitional. In the UK, all core areas and parts of
the buffer zones of biosphere reserves are protected under national designations, i.e. SSSI
or NNR.
UK Biosphere Reserves
Braunton Burrows National Nature Reserve
Cairnsmore of Fleet, Merrick Kells and Silver Flowes National
Nature Reserves
Dyfi National Nature Reserve

Designated 1976
Designated 1976
Designated 1976

Moor House - Upper Teesdale Biosphere Reserve

North Norfolk Coast Biosphere Reserve
Beinn Eighe National Nature Reserve
Loch Druidibeg National Nature Reserve
Taynish National Nature Reserve

Designated 1976
Designated 1976
Designated 1976
Designated 1976
Designated 1977

World Heritage Site

The World Heritage Convention (adopted by UNESCO in 1972) was ratified by the UK in
1984. The Convention provides for the identification, protection, conservation and
presentation of cultural and natural sites of outstanding universal value. As of July 2007,
there were 851 such sites throughout the world. The UK currently has 28 World Heritage
sites.
World Heritage Criteria
To qualify for inscription on the World Heritage List, nominated properties must have values
that are outstanding and universal. The Operational Guidelines for the Implementation of the
World Heritage Convention provide guidance to the World Heritage Committee in deciding
which nominations should be included on the List. These Guidelines state that nominations
should be based on cultural, natural and/or mixed cultural and natural criteria
World Heritage Convention defines cultural heritage as:
"MONUMENTS: architectural works, works of monumental sculpture and painting, elements
or structures of an archaeological nature, inscriptions, cave dwellings and combinations of
features, which are of outstanding universal value from the point of view of history, art or
science.
GROUPS OF BUILDINGS: groups of separate or connected buildings which, because of
their architecture, their homogeneity or their place in the landscape, are of outstanding
universal value from the point of view of history, art or science.
SITES: works of man or the combined works of nature and of man, and areas including
archaeological sites which are of outstanding universal value from the historical, aesthetic,
ethnological or anthropological points of view.
Cultural Landscapes represent the "combined works of nature and of man". They are
illustrative of the evolution of human society and settlement over time, under the influence of
the physical constraints and/or opportunities presented by their natural environment and of
successive social, economic and cultural forces, both external and internal. Cultural
landscapes include diverse examples of the interaction between humans and the natural
environment and fall into three main categories:
(i) the clearly-defined landscape designed and created intentionally by man;
(ii) the organically evolved landscape; and
(iii) the associative cultural landscape.

For a property to be included on the World Heritage List as cultural heritage, sites nominated
should therefore:
i. represent a masterpiece of human creative genius; or
ii. exhibit an important interchange of human values, over a span of time or within a cultural
area of the world, on developments in architecture or technology, monumental arts, townplanning or landscape design; or
iii. bear a unique or at least exceptional testimony to a cultural tradition or to a civilisation
which is living or which has disappeared; or
iv. be an outstanding example of a type of building or architectural or technological ensemble
or landscape which illustrates (a) significant stage(s) in human history; or
v. be an outstanding example of a traditional human settlement or land-use which is
representative of a culture (or cultures), especially when it has become vulnerable under the
impact of irreversible change; or
vi. be directly or tangibly associated with events or living traditions, with ideas, or with
beliefs, with artistic and literary works of outstanding universal significance (the Committee
considers that this criterion should justify inclusion in the List only in exceptional
circumstances and in conjunction with other criteria cultural or natural);
Natural Criteria
World Heritage Convention, defines natural heritage as:
(i) "natural features consisting of physical and biological formations or groups of such
formations, which are of outstanding universal value from the aesthetic or scientific point of
view;
(ii) geological and physiographical formations and precisely delineated areas which
constitute the habitat of threatened species of animals and plants of outstanding universal
value from the point of view of science or conservation;
(iii) natural sites or precisely delineated natural areas of outstanding universal value from the
point of view of science, conservation or natural beauty."
For a natural area to be included on the World Heritage list as natural heritage, the World
Heritage Committee must find that it meets one or more of the following criteria and fulfils the
conditions of integrity. Sites nominated should therefore:
i. be outstanding examples representing major stages of earth's history, including the record
of life, significant ongoing geological processes in the development of landforms, or
significant geomorphic or physiographic features; or
ii. be outstanding examples representing significant ongoing ecological and biological
processes in the evolution and development of terrestrial, fresh water, coastal and marine
ecosystems and communities of plants and animals; or
iii. contain superlative natural phenomena or areas of exceptional natural beauty and
aesthetic importance; or

iv. contain the most important and significant natural habitats for in-situ conservation of
biological diversity, including those containing threatened species of outstanding universal
value from the point of view of science or conservation.
This document can be found in full at the World Heritage Centre web site at
www.unesco.org/whc/nwhc/pages/doc/main.htm
1.8.1 The Ramsar Convention.
The Ramsar Convention
The Convention on Wetlands of International Importance, especially as Waterfowl
Habitats (the Ramsar Convention) is an intergovernmental treaty that aims to stem the
progressive encroachment on and loss of wetlands now and in the future.
The Convention was signed on 2nd February 1971 in the Iranian town of Ramsar. It came
into force in December 1975, and was ratified by the UK in 1976. Further information can be
found on the internet at http://www.ramsar.org . As of September 2010, there are 160
Contracting Parties to the Convention, with 1896 wetland sites, totalling 185 million hectares,
designated for inclusion in the Ramsar List of Wetlands of International Importance. All the
sites are protected through the planning system and under wildlife legislation (through their
notification as Sites of Special Scientific Interest) and through other regulatory systems
addressing water, soil and air quality. A full list of UK Ramsar sites can be found on the
JNCC website under protected sites at www.jncc.gov.uk.
The official name of the treaty is 'The Convention on Wetlands of International Importance'
especially as Waterfowl Habitat reflects its original emphasis on the conservation and wise
use of wetlands primarily to provide habitat for waterbirds. Over the years, however, the
Convention has broadened its scope to cover all aspects of wetland conservation and wise
use, recognising wetlands as ecosystems that are extremely important for biodiversity
conservation and for the well-being of human communities.
UNESCO serves as Depository for the Convention, but it is administered by a secretariat
known as the Ramsar Bureau, which is housed in the headquarters of IUCN - the World
Conservation Union in Gland, Switzerland, under the authority of the Standing Committee of
the Convention and the Conference of the Parties.
The partner organisations
Four non-governmental organisations work closely with the Ramsar Convention and are
recognised as the "partner organisations": they are BirdLife International, IUCN - The World
Conservation Union, Wetlands International, and the World Wide Fund for Nature (WWF).
The Convention aims to stem encroachment on habitats. To achieve its objective, the
Convention promotes the wise use of all wetlands. Special protection is given for wetlands
included in the list of wetlands of international importance.
Wetlands
Wetlands are defined as "areas of marsh, fen, peatland or water, whether natural or artificial,
permanent or temporary, with water that is static or flowing, fresh brackish or salt, including
areas of marine water the depth of which at low tide does not exceed six metres which may
also incorporate riparian and coastal zones" i.e. areas where water is the primary factor
controlling the environment and the associated plant and animal life. They occur where the
water table is at or near the surface of the land, or where the land is covered by shallow

water. The coverage of the Convention extends to a wide variety of habitat types, including
rivers and lakes, coastal lagoons, mangroves, peatlands and even coral reefs.
In addition, there are human-made wetlands such as

fish and shrimp ponds,

farm ponds,
irrigated agricultural land,
salt pans,
reservoirs,
gravel pits,
sewage farms, and
canals.

Wetlands are among the world's most productive environments. They provide the water and
primary productivity upon which countless species of plants and animals depend for survival.
They support high concentrations of birds, mammals, reptiles, amphibians, fish and
invertebrate species. Of the 20,000 species of fish in the world, more than 40% live in fresh
water. Wetlands are also important storehouses of plant genetic material. Wetlands provide
tremendous economic benefits, for example

water supply;
fisheries;
agriculture, through the maintenance of water tables and nutrient retention in flood
plains;
timber production;
energy resources, such as peat and plant matter;
wildlife resources;
transport; and
recreation and tourism opportunities.

Unfortunately, and in spite of important progress made in recent decades, wetlands continue
to be among the world's most threatened ecosystems, owing mainly to ongoing drainage,
pollution, and over-exploitation of their resources.
The UK Targets for the Ramsar Strategic Plan
The UK has been a strong supporter of the Ramsar Convention and is firmly committed to
the principle of the wise use of wetlands. Since it acceded to the Convention in 1976, it has
listed 162 sites covering over 805,000 hectares (list of UK sites). Of the 123 Contracting
Parties, none has exceeded this total (although others have listed more by area). Further
sites are under consideration. All of the sites are effectively protected, through the planning
system, under wildlife legislation (through their notification as Sites of Special Scientific
Interest) and through other regulatory systems addressing water, soil and air quality.
Ramsar issues are discussed by the UK Ramsar Committee (formerly the Joint Working
Party), which meets twice a year. Members of this committee represent the territorial
Government Departments of England and the devolved administrations for Scotland, Wales
and Northern Ireland, their respective countryside agencies, and non-governmental
organisations including RSPB, Wildfowl and Wetland Trust, and Wildlife and Countryside
Link. Papers are also copied to Wetlands International, and the Ramsar Bureau, who attend
when possible.

The UK safeguards wetlands through a combination of site-based and policy basedmechanisms. These include implementation of the EU Habitats Directive, which gives
additional protection to those Ramsar sites which are also Special Areas for Conservation
(SAC) or Special Protection Areas for Birds (SPA); the UK Biodiversity Action Plan, involving
action on a wide range of habitats and species of wetland importance, and progress towards
integrated management plans for wetland units, including Catchment Management Plans
and Water Level Management Plans.
The UK is also responsible for 20 Overseas Territories (OTs) which have been included in
the UK's ratification of the convention. To date, 10 sites have been designated in the
Overseas Territories. Government Departments are actively seeking to encourage the
relevant authorities to put in place the appropriate legislation and also to list sites.
In publishing UK targets for the Ramsar Strategic Plan, the UK aims to set further goals. It
will monitor progress towards the targets through the UK Ramsar Committee. It will also look
carefully, as progress is achieved, to see if amendments or additions to the targets can or
should be made.
The Ramsar Policy Statement
In November 2006, DEFRA launched a statement which set out the Government's policies
for the protection and management of Ramsar sites in England. The main thrust of the
statement is to afford Ramsar sites a level of protection which is consistent with their
international important and which is broadly equivalent to the framework provided for the
European Union's Natura 2000 network.
The statement fulfils Government's commitment, made in the consultation paper 'Sites of
Special Scientific Interest: Better protection and management', to look again at the protection
of Ramsar sites. It reinforces the message that development of Ramsar sites will be allowed
only in the rarest circumstances, and if consent is given, lost wetland interests will have to be
replaced by restoring and recreating habitats.
Current Ramsar sites in the UK, its Overseas Territories and Crown Dependencies
Sites proposed for selection are advised by the UK statutory nature conservation agencies,
or the relevant administration in the case of Overseas Territories and Crown Dependencies,
co-ordinated through JNCC. In selecting sites, the relevant authorities are guided by the
criteria set out in the Convention. The UK also has a national Ramsar Committee composed
of experts who provide further advice.
In the UK, the first Ramsar sites were designated in 1976. Since then, many more have
been designated.
Compared to many countries, the UK has a relatively large number of Ramsar sites, but they
tend to be smaller in size than many countries. The initial emphasis was on selecting sites of
importance to waterbirds within the UK, and consequently many Ramsar sites are also
Special Protection Areas (SPAs) classified under the Birds Directive.
However, greater attention is now being directed towards the selection of Ramsar sites in
UK Overseas Territories and Crown Dependencies; the first of these was designated in
1990. Both within the UK and overseas, non-bird features are increasingly taken into
account, both in the selection of new sites and when reviewing existing sites.

A full list of Ramsar sites for either the whole UK, or each individual country (England,
Scotland, Wales, Northern Ireland) and the Overseas Territories and Crown Dependencies,
GIS boundary data for Ramsar sites in the UK, and a summary spreadsheet with further
information on Ramsar sites in the UK and its Overseas Territories and Crown
Dependencies can be viewed at the JNCC website
1.8.2 Special Protection Areas (SPA) Cont.
UK Ramsar sites
Ramsar sites are designated under the International Convention on Wetlands of
International Importance especially as Waterfowl Habitat (the Ramsar Convention).
Designated and Proposed Ramsar sites in the UK
(as at 31st August 2007*)

Country
England
England/Scotland
England/Wales
Northern Ireland
Scotland
Wales
United Kingdom

DESIGNATED
Number of sites Area (ha)
66
294 427
1
43 637
3
39 336
19
88 093
50
283 083
7
11 366
146
759 942

PROPOSED
Number of sites
3
0
0
4
0
0
7

* Figures exclude 21 Ramsar sites which have been designated in the UK Overseas
Territories and Crown Dependencies.
European Sites Natura 2000
Natura 2000 is the EU wide network of nature conservation sites comprising Special Areas
of Conservation (SACs) and Special Protection Areas (SPAs).
Ramsar Relationship to Natura 2000
The UK Natura 2000 and Ramsar Forum exists to provide strategic advice to Government
on matters related to the identification, selection, protection and management of sites
designated under the EU Birds and Habitats Directives and under the Ramsar Convention.
The UK Natura 2000 and Ramsar Forum
Terms of Reference
Overall purpose and aim
The UK government, together with the devolved administrations in Scotland, Wales and
Northern Ireland shares obligations to identify, select, protect and manage Special
Protection Areas (SPA) and Special Areas of Conservation (SAC) respectively under the EU
Birds and Habitats Directives. The UK also has obligations for the wise-use of wetlands as a
Contracting Party to the Convention on Wetlands of International Importance especially as
Waterfowl Habitat (Ramsar Convention). The UK Natura 2000 and Ramsar Forum is

convened by the UK Government and the devolved administrations in order to provide a

broadly-based consultative forum to assist in fulfilling these obligations. The forum exists to
provide strategic advice on matters related to the identification, selection, protection and
management of sites forwarded to the European Commission under the auspices of the
Directives and assists government to fulfil its obligations under the Ramsar Convention by
providing strategic advice and technical inputs when required.
Specific Objectives
1.
a. To provide an advisory forum for the UK Government and the devolved administrations for
Scotland, Wales, Northern Ireland and Gibraltar in matters relating to the coherent
implementation of the Wild Birds Directive (EC 79/409) and the Habitats Directive (EC 92/43)
within each of the country territories of the UK and Gibraltar where the UK exercises
sovereignty; and
b. to provide an advisory forum for the UK Government and the devolved administrations for
Scotland, Wales, Northern Ireland and the UK Overseas Territories and Crown
Dependencies in matters relating to the implementation of the Ramsar Convention in the UK
and its Overseas Territories and Crown Dependencies, by acting (with the N2R Steering
Committee) as a 'national Ramsar committee' (as encouraged by Recommendation 5.7 of
the 5th Conference of the Contracting Parties).
2. To advise on effective progress, and maintain an overview in respect of the identification
and selection, of:
a. sites for inclusion in the Natura 2000 network in the UK and Gibraltar, in the light of best
international practice related to science and policy; and
b. Ramsar sites in the UK and its Overseas Territories and Crown Dependencies in the light
of best international practice related to science and policy.
3. To act as an advisory forum for the UK Government, the devolved administrations and the
Joint Nature Conservation Committee in strategic matters relating to the management
planning, and monitoring of SPA sites and SAC sites forwarded to the European
Commission under the terms of the Directives, and Ramsar sites forwarded to the Ramsar
Bureau.
4. To discuss and promote relevant matters relating to education and public awareness as
far as these relate to the promotion of the objectives of Natura 2000 and the Ramsar
Convention in a UK context.
5. To consider, be aware of, and offer advice to Government and the devolved
administrations on how other developments may interact with Natura 2000 and Ramsar sites
in the UK.
Membership
Membership of the Forum is by invitation of the Forum Standing Committee which consists
of one official representing the UK Government, and an official from each of the devolved
administrations in Scotland, Wales and Northern Ireland together with a representative of the
Joint Nature Conservation Committee. The Standing Committee shall convene at least once

a year to discuss and to review the membership of the Forum and its Terms of Reference
and to decide on a chair.
Membership of the Forum is made up of permanent members and observers (co-opted
experts). Observers will usually attend by invitation for one or more meetings to facilitate
specific areas of business.
Procedure

The Forum will normally meet twice a year and will be chaired by a representative
from Defra or one of the devolved administrations.
The Secretariat will be provided by Defra.
A draft agenda and reminder will be circulated by the Secretariat approximately one
month before each meeting.
Papers for consideration will normally be distributed by the Secretariat two weeks in
advance of the meetings, and these will be clearly labelled as being for decision, for
discussion or for information.
Draft minutes will be distributed within one month of each meeting.
To facilitate co-ordination and information exchange, the agenda, papers and
minutes will normally be published on the Defra website once agreed and will be
routinely copied (for circulation as appropriate) to the UK 'Natura 2000 & Ramsar
Steering Committee', and to the secretaries of the relevant Sub-Groups and the UK
Biodiversity Action Plan Partnership.
Strong links will be maintained between the UK Natura 2000 and Ramsar Steering
Committee. To assist this, standing items on the agenda of each group will relate to
feed-back on current activity by the other.
Where questions are raised at Forum meetings that cannot be answered without
further consideration by Government, the issues will be placed on the agenda of the
next UK Natura 2000 and Ramsar Committee with the aim of circulating a written
response within one month of that meeting.
A Forward Plan of work will be maintained, outlining for at least one year in advance,
the main anticipated discussion items at each meeting and how these link with
relevant forthcoming national and international activity.
To facilitate communication and co-ordination certain items of discussion may be
requested to be on a strictly confidential basis. Membership of the committee will
imply acceptance of such conditions when requested by any organisation . Normally,
proceedings and papers will be open and the seeking of a broad range of views by
participants will be encouraged.

Bern Convention
The Bern Convention on the Conservation of European Wildlife and Natural Habitats was
opened for signature in 1979 and ratified by the UK in 1982. Its aims are to:

conserve and protect all wild plants and animals, and their natural habitats;
increase co-operation between States;
give special protection to the most vulnerable and threatened species (including
migratory species).

The Convention thus protects over 500 wild plant species and more than 1,000 wild animal
species. It is open - that is, not limited to Europe - and is now in force in 40 member states. It
is the inspiration for the EC Habitats and Wild Birds Directives and had a direct influence on
the UK's main conservation legislation, the Wildlife and Countryside Act 1981 (as amended).

The UK continues to play an active role in the Convention, and in particular its current work
in support of wider biodiversity initiatives.
The Pan-European Biological and Landscape Diversity Strategy
In October 1995, ministers from 54 countries in the UN-Economic Commission for Europe
region endorsed the Pan-European Biological and Landscape Diversity Strategy. The
purpose of the Strategy is to maintain and enhance Europe's biological and landscape
diversity through the achievement by 2015 of four specific aims:

that threats to Europe's biological and landscape diversity are reduced substantially;
that the resilience of Europe's biological and landscape diversity is increased;
that the ecological coherence of Europe as a whole is strengthened;
that full public involvement in the conservation of biological and landscape diversity is
assured.

The Strategy is a Pan-European response to support the implementation of the Convention

on Biological Diversity. At the same time, it introduces a co-ordinating and unifying
framework for strengthening and building on the wide range of existing initiatives relating to
the conservation of biological and landscape diversity. The Strategy also aims to integrate
ecological considerations more effectively into all relevant socio-economic sectors and to
increase public participation in, and awareness and acceptance of, conservation interests.
In practice, the longer term Pan-European goals of the Strategy will be achieved in the first
place through supporting the full implementation of the many existing initiatives for
conserving biological and landscape diversity in Europe, which are vital to achieving the
aims of the Strategy. Supplementary actions to identify and fill any gaps, to ensure that other
initiatives meet their objectives, to strengthen the integration of biological and landscape
diversity consideration into other sectors and to increase public involvement will be
developed as appropriate through the Strategy's five-year Action Plans.
The Strategy Guide is an information network on the Internet, promoting the exchange of
information, providing tools for communication and a framework for monitoring progress of
implementation of the Pan-European Strategy. The concept follows a distributed approach,
i.e. a general top layer of information maintained by the Strategy Secretariat and the
European Centre for Nature Conservation (ECNC ), and specific Action Theme information
to be maintained by the respective Action Theme leaders.
Question 4.
The Special Protection Areas (SPA) were created to protect rare and vulnerable bird species
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

Question 5.
Cultural landscapes fall into which of the following categories?
Multiple Choice (HP)

Answer 1:

Organically evolved landscapes

Response 1:
Jump 1:

This page

Answer 2:

Associative cultural landscapes

Response 2:
Jump 2:

This page

Answer 3:

Clearly defined landscapes designed and created intentionally by man

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

Question 6.
The Convention on Wetlands of International Importance (RAMSAR Convention) aims to
stem the progressive encroachment on and loss of wetlands.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

1.9 Tree Preservation Orders (TPO).

A TPO is an order made by a local planning authority and sometimes a county council,
which makes it an offence to cut down, top, lop, uproot, wilfully damage or wilfully destroy a
tree without the planning authoritys permission.
The breach of such an order could carry a fine of up to 20,000 on summary conviction or,
on indictment, be liable to an unlimited fine. A replacement tree will normally have to be
planted.
The purpose of the order is to protect trees for the public enjoyment. All types of tree are
covered, including hedgerow trees, but not hedges, bushes or shrubs. The order can cover
anything from a single tree to woodlands. Tree Preservation orders can only be rescinded by
the local authority under certain particular conditions this would normally be if the tree
were dead, damaged, diseased or dangerous (for example, if dangerous through being
partially uprooted or damaged by a vehicle in an accident, etc.).
Ancient woodland is land continuously wooded since 1600 in England and Wales or 1750 in
Scotland. Areas of ancient woodland which have never been cleared or replanted are called
semi-natural ancient woodland (SNAW). As a natural resource they cannot increase, nor are
they replaceable as they have had a long time to acquire species and form stable floral and
faunal communities. Maps of such sites are maintained by local planning authorities and
English Nature maintains an Ancient Woodlands Inventory for England.
1.10 Conservation Areas.

Within a town or village, there may be a particular group of buildings or even a fairly large
neighbourhood which has a distinctive and appealing character. The Town and Country
Planning Act 1990 imposes a duty on local planning authorities to designate as
conservation areas any areas of special architectural or historic interest, the character or
appearance of which it is desirable to preserve or enhance. There are now more than 8,000
conservation areas in England.
Designation gives control over the demolition of unlisted buildings and provides the basis for
policies designed to preserve or enhance all the aspects of character or appearance that
define an areas special interest. Within a conservation area, some minor alterations to
buildings which would be automatically permitted in a non-designated area require planning
permission; e.g. stone cladding, PVCU double glazing. The demolition of a building in a
conservation area will usually require Conservation Area Consent from the Local Planning
Authority.
Any felling or pruning of trees where there is not already a Tree Preservation Order must be
notified to the Local Planning Authority in writing, six weeks in advance. A Tree Preservation
Order may be put on the land to protect the trees over this six-week period.
The display of signs and adverts is more closely controlled within a conservation area than
outside, particularly in regard to the size and illumination of the sign.
Scheduled Monuments
Nationally important sites and monuments can be given protection by being placed on a list,
or schedule. Only deliberately-created structures, features and remains can be scheduled,
but a building which is in use as a dwelling, or one used for worship, cannot be scheduled. A
schedule has been kept since 1882 of monuments whose preservation is given priority over
other land uses. The schedule currently contains approximately 18,300 entries (about
31,400 sites). In England, English Heritage takes the lead in identifying sites for the
Secretary of State for Culture, Media and Sport to place on the schedule. In Wales, Cadw
perform this task for the National Assembly and in Scotland, this role is performed by
Historic Scotland for the Scottish Executive.
A monument which has been scheduled is protected against disturbance or unlicensed
metal detecting. The current legislation, the Ancient Monuments and Archaeological
Areas Act 1979requires a Scheduled Monument Consent to be obtained for any work to a
designated monument. The Secretary of State/Minister concerned must be informed about
any work which might affect a monument above or below ground, and Natural England gives
advice to the Minister on each application. In assessing each application, they will try to
ensure that damage done to protected sites is kept to a minimum. Written consent must
always be obtained before any work can begin.
Question 7.
Conservation areas are 'areas of special architectural or historic interest, the character or
appearance of which it is desirable to preserve or enhance.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

1.11 Listed Buildings.

The architecture and history of many buildings form an important national asset. Many such
buildings feature on a statutory list of buildings of special architectural or historic interest,
compiled by the Secretary of State for Culture, Media and Sport under the Planning (Listed
Buildings and Conservation Areas) Act 1990, on advice from English Heritage. In Wales,
this responsibility falls to the National Assembly for Wales on advice from the Cadw agency,
and in Scotland, from Historic Scotland to compile the list on behalf of the Scottish Ministers,
in accordance with the Planning (Listed Buildings and Conservation Areas) (Scotland)
Act 1997.
Once listed, the building is immediately protected by law and any changes to it must first
receive listed building consent. The listing may also cover other buildings, within the same
grounds or curtilage as the main building. The main criteria used for selection are:

Architectural interest.
Historic interest.
Close historical association (with nationally important buildings or events).
Group value (e.g. an important architectural or historic unity, or a fine example of
planning).

All buildings built before 1700 that survive in anything like their original condition are listed,
as are most between 1700 and 1840. The criteria become tighter as the buildings
considered become younger. Post-1945 buildings have to be exceptionally important to be
listed and buildings less than 30 years old are rarely listed unless they are of outstanding
quality and under threat. There are three grades of listing:

Grade I of exceptional interest.

Grade II* of more than special interest.
Grade II of special interest.

Historic Buildings Listed Building Consent

The owner of a listed building has to apply for listed building consent to the local planning
authority to gain permission to conduct alterations. Local authorities can refuse consent on
any application and have control over minor changes, but they cannot grant consent for any
works to a Grade I or II* building, or substantial demolition of a Grade II building. They must
first notify the relevant Secretary of State (or equivalent) so that he can consider whether to
call in the applications. He will ask English Heritage, Cadw or Historic Scotland for advice
on whether to do so, (in practice, the authorities usually notify English Heritage, Cadw or
Historic Scotland themselves.)
If the application is called in, the final decision is usually only made following a public inquiry.
If he does not intervene, the decision stays with the local planning authority. Over 90% of
applications result in permission being granted.
In Greater London, English Heritage has additional powers to direct the decisions of London
Boroughs on all listed building consent applications. Since 1993, some of these
responsibilities have been delegated back to some of the boroughs, enabling them to deal
with proposals for minor alterations and extensions to Grade II listed buildings.

2.0 Protection Given to Listed Species.

Protected Species
The lists of protected species are reviewed every five years by the Joint Nature
Conservation Committee (JNCC).
The UK has signed up to other international agreements on wildlife protection.
The Bern Conventioncovers the states in the Council of Europe. It gives protection to
threatened plants, animals and habitats and regulates the exploitation of certain species.
The Bonn Convention covers the protection of migratory animals such as whales and
turtles.
CITES (the Convention on International Trade in Endangered Species of Wild Fauna and
Flora) regulates international trade in rare animals and plants
The United Nations Convention on Biological Diversity, which was drawn up at the Earth
Summit in Rio de Janeiro in 1992, requires this country to take action to conserve its
threatened species and habitats. As a result, the UK Biodiversity Action Plan has been
drawn up and a start has been made on putting it into action. Species Action Plans practical measures for the conservation of many of Britains rare and declining species including:

captive breeding programmes;

re-introductions (like those for the red kite);
legislation (like regulation of crayfishfarming);
habitat conservation measures.

In England and Wales, the Governments and their departments are required to take steps to
further the conservation of species and habitats listed in the UK Biodiversity Action Plan.
International Trade in Endangered Species: The Convention on International Trade in
Endangered Species (CITES) aims to protect certain species of plants and animals by
regulating and monitoring international trade in them so that it does not become
unsustainable. It is implemented within the UK and throughout the EU by the European
Wildlife Trade Regulations - Council Reg. (EC) 338/97. Currently, the commercial transfer of
samples for scientific analysis derived from specimens of CITES listed species is not exempt
from the CITES controls. However, a Working Group has been established to look at
exempting some types of samples from the provisions of the Convention.
For further information on the CITES controls, please visit http://www.ukcites.gov.uk.
Regulation 9 of The Control of Trade in Endangered Species (Enforcement) Regulations
1997 also empowers police officers and authorised persons (Defra Wildlife Inspectors) to
require samples. These powers relate to specimens listed in the Annexes to Council
Regulation No. 338/97, on the protection of species of wild fauna and flora by regulating
trade therein. Again, samples from live birds or animals must be taken by a veterinary
surgeon, and no lasting harm caused to the specimen.
Bonn Convention on Migratory Species

The Convention arose in 1972 from a recommendation by the United Nations, and entered
into force in November 1983. There are currently 79 parties (as of 1st February 2002) to the
Convention, including most countries in Europe as well as the European Union, many
African states and a growing presence in South America, Asia and Oceania. The United
Kingdom ratified the Convention in July 1985 and it entered into force on 1st October 1985.
The Bonn Convention aims to improve the status of all threatened migratory species through
national action and international Agreements between range states of particular groups of
species
Article II.1 The Parties acknowledge the importance of migratory species being conserved
and of Range States agreeing to take action to this end whenever possible and appropriate,
paying special attention to migratory species - the conservation status of which is
unfavourable - and taking individually or in co-operation appropriate and necessary steps to
conserve such species and their habitat.
Article III: Parties that are Range States of a migratory species listed in Appendix I
(endangered species) shall prohibit the taking of animals belonging to such species (with
limited exceptions including for scientific purposes).
Article IV: Parties that are Range States of migratory species listed in Appendix II (those with
an unfavourable conservation status) shall endeavour to conclude Agreements where these
should benefit the species and should give priority to those species in an unfavourable
conservation status.
A number of Article IV Agreements have been concluded as self-standing international legal
instruments (Agreement on the Conservation of Albatross and Petrel, Agreement on the
Conservation of Cetaceans in the Back and Mediterranean Seas, African and Eurasian
Waterbird Agreement, Agreement on the Conservation of Small Cetaceans of the Baltic and
North Seas and Agreement on the Conservation of Bats in Europe.
Further information on these and "soft law" Memoranda of Understanding under the Bonn
Convention can be found at
www.unep-wcmc.org
http://www.defra.gov.uk/wildlife-countryside/gwd/exotic/cms.htm
The International Union for the Conservation of Nature (IUCN) revised its species threat
categories and criteria in 2000. This new system has been applied at GB level to most nonmarine plant groups, but not yet to animals. The number of terrestrial and freshwater animal
species in GB considered to be endangered, vulnerable or rare (i.e. included in the original
IUCN Red List categories) may be viewed on the internet at
http://www.defra.gov.uk/environment/statistics/wildlife/wdrisk.htm#witb1, Table 1. The table
also shows the number of terrestrial and freshwater plants and other organisms in GB
considered to be critically endangered, endangered and vulnerable (i.e. included in Red Lists
drawn up using the revised IUCN criteria) or Near Threatened (i.e. not included in the
revised Red Lists but recorded as present in 15 or fewer 10km squares in GB). Figures are
also included, where available, for the number of Nationally Scarce species in each species
group (i.e. those recorded as present in only 16-100 10km squares in GB). Red List, Near
Threatened and Nationally Scarce species are used in evaluating the conservation
importance of sites; their presence is one of the criteria used to select Sites of Special
Scientific Interest. Comparable data on risk for UK populations of mammals and birds are

not available since the IUCN threat status of these species is assessed on an international
basis and not for UK populations separately. A large proportion of other animals, plants and
other organisms (e.g. parasitic animals, springtails and micro-algae) have not been
assessed.
Within the UK, specific protection is provided for a number of species of wildlife. For
example, protection for all wild birds makes it an offence to intentionally kill, injure, take or
possess them, disturb them (while nesting, etc), destroy places used for shelter or
protection, or offer them for sale.
The UK is bound by international legislation on species protection. The 1979 Birds
Directive and the 1992 Habitats Directive cover all the countries of the European Union.
Under these Directives, strict protection (very similar to that under the Wildlife and
Countryside Act) is required for a large number of plant and animal species. The red kite,
the native dormouse and the ladys-slipper orchid (Cypripedium calceolus) are among
them. The Habitats Directive is given effect in the UK by the 1994 Conservation (Natural
Habitats etc.) Regulations.
For another group of animals and plants listed in the Habitats Directive, conservation
measures are required only if killing or taking from the wild poses a threat to these species.
They include:

the mountain hare;

the common frog;
the salmon;
the native freshwater crayfish;
bog mosses (Sphagnum species).

2.1 Habitat Protection.

Most threatened animals and plants cannot be properly protected without conservation of
their habitats. As discussed earlier, there are legal provisions for the protection and
management of areas where threatened species occur. The UK implemented the
Conservation (Natural Habitats, etc.) Regulations 1994, which were in part exercised
through the existing provisions of Part I of the Wildlife and Countryside Act 1981. As a
result, any prosecution of offences involving a European protected species would be taken
under current UK legislation.
Sites of SpecialScientific Interest (SSSIs), National Nature Reserves and Marine Nature
Reserves) are selected and protected under British law because they are examples of
important habitats and often contain rare animals or plants.
SpecialProtection Areas (SPAs) are selected under the Birds Directive for certain European
birds.
Special Areas of Conservation (SACs) are chosen under the Habitats Directive for other
animals and plants needing habitat protection in Europe as a whole. Among these species
are common and grey seals, horseshoe bats, the otter, the great crested newt, the salmon,
the stag beetle (Lucanus cervus), the native freshwater crayfish and the ladys slipper orchid
(Cypripedium calceolus).
Other areas in the UK are designated under the Ramsar Convention.

Habitat Action Plans have been drawn up for priority habitats under the UK
BiodiversityAction Plan.
Many of Britains wild plants and animals are legally protected. The main law dealing with
this is the Wildlife and Countryside Act, which was passed in 1981. This act was amended
by the Countryside and Rights of Way Act 2000, which covers England and Wales but not
Scotland. Parts of the Wildlife and Countryside Act and some other laws dealing with
species protection are described briefly here. Badgers, deer and seals have Acts of
Parliament dedicated especially to them.
Wild animals
Wild birds and certain other wild animals are legally protected. There are nine schedules in
the Wildlife and Countryside Act. Schedules 5 and 8 are revised every five years. The fourth
quinquennial review was carried out in December 2008. The schedules, with links are as
follows:
Schedule 1 - protection of wild birds;
Schedule 2 - killing and taking of certain birds;
Schedule 3 - permitted sales of certain birds;
Schedule 4 - birds permitted to be kept in captivity;
Schedule 5 - listings of protected animal species;
Schedule 6 - animals that may not be killed or taken by certain methods;
Schedule 7 - protection of certain mammals;
Schedule 8 - protected plants;
Schedule 9 - prohibition of the release of non-native species of plants and animals.

It is against the law

to take birds, their eggs or other protected wild animals from the wild;

intentionally to kill or injure birds or other protected wild animals or to destroy birds
eggs;

to possess, sell or advertise for sale any of these animals (live or dead) or any part of
them (including eggs).

The places these animals use for shelter and protection (e.g. a birds nest, when it is in use
or being built, an otter holt, a bat roost) are also protected. It is an offence intentionally or (in
England and Wales) recklessly to disturb certain rare birds and other protected animals
when they are using such places. The rare birds are listed in a schedule of the Wildlife and
Countryside Act: the red kite is one of them.

Anyone found guilty of these offences could be fined or even imprisoned. If damage is done
to a protected animal or its place of shelter, but the action is shown to be an incidental result
of a lawful operation and could not reasonably have been avoided, the person who did the
damage is not guilty of an offence.
Some other possible exemptions are:

shooting game birds (e.g. pheasants and partridges) and wildfowl (e.g. ducks and
geese) outside the close season;

preventing serious damage to crops, livestock, etc. and controlling pest species such
as crows and woodpigeons (when there are good reasons for doing this);

acting in the interests of animal health, public health or public safety;

tending injured animals;

damaging or obstructing a place of shelter when it is inside a house (but for bats the
law is stricter only the living area of a house is exempt, not places like lofts or wall
cavities);

carrying out scientific investigations, rescue operations (e.g. handling and moving
native dormice and red kites) or wildlife photography involving protected animals
under licence;

possessing protected species (e.g. in insect collections) which were taken from the
wild before their legal protection was enacted.

Some animals have been given only partial protection under the Wildlife and Countryside
Act. A few examples are given here.
The water voles places of shelter (burrows in river banks) are protected and it is illegal to
disturb these animals when they are occupying their burrows. It is not illegal under this Act to
kill or injure water voles, take them from the wild or sell them, but cruelty is an offence under
animal welfare law.
Selling the common frog, the common toad, the smooth newt or the palmate newt is illegal,
but collecting them or their tadpoles is not against the law. (NB. The natterjack toad and
great crested newt, including their eggs and tadpoles, are fully protected.)
Selling many butterfly species is illegal, but collecting common butterflies is generally not an
offence unless it is carried out on a protected site. (NB. The swallowtail, large blue, large
copper, marsh fritillary, high brown fritillary and heath fritillary butterflies are fully protected,
so collecting them without a licence is an offence.)
The native freshwater crayfish is protected only against taking from the wild and sale.
The Wildlife and Countryside Act prohibits the use of various methods for killing and
capturing wild birds and certain wild mammals. These methods include the use of

live decoys,
traps,
some snares,

nets,
bows,
electrical devices,
poisons,
gas,
dazzling devices,
night shooting equipment,
explosives and
automatic weapons.

Laying birdlime (a sticky substance used for entangling birds) is also outlawed. All wild
mammals are protected against cruelty under the Wild Mammals (Protection) Act, 1996.
Protection of birds
The Wildlife and Countryside Act 1981 affords statutory protection to all wild birds and
implements and fulfils the United Kingdoms obligations under the EC Wild Birds Directive.
Under Section 1, it is an offence to intentionally kill, injure or take any wild bird, take damage
or destroy the nest of any wild bird while that nest is in use or being built, or take or destroy
an egg of any wild bird.
It is also an offence to disturb any wild bird included in Schedule 1 Part II of the Act while it is
building a nest or is in, on or near a nest containing eggs or young; or to disturb dependent
young of such a bird.
It is also an offence to be in possession or control of any bird or egg or any derivative of a
wild bird, or to sell such an item, unless it can be shown that it was taken legally from the
wild.
Certain birds, listed on Schedule 2 Part III, can be taken from the wild during the open
season, without the need for a licence from Defra or Natural England. These species are
legally huntable during this period. If they are required to be taken during the close season, a
licence will be required from the appropriate body. This includes the taking of birds during
the close season for the collection of genetic material.
Some birds can be shot for sport but only at certain times of the year. Other birds may be
killed because they are pests, but this can only be done under certain conditions by
authorised persons.
Protection of Animals
Under Section 9 of the 1981 Act certain animals listed on Schedule 5 Part II and Schedule 2
of the Conservation (Natural Habitats, etc.) Regulations 1994, are protected from killing,
taking or injuring. It is also an offence to be in possession or control of any live or dead
specimen or derivative, or to sell, if it cannot be shown to have been taken legally from the
wild.
It is also an offence if any person intentionally or recklessly damages, destroys or obstructs
access to any structure or place which a wild animal listed on Schedule 5 uses as shelter or
for protection, or disturbs any such animal whilst it is occupying this structure.
These are creatures that are most at risk or endangered.

Protection maybe provided at a number of levels:

Full protection.
May not be sold.
May not be killed or injured.
May not be taken.
May not be possessed, dead or alive.

The Government recently strengthened wildlife protection for Cetacea (dolphins and whales)
and the basking shark, cetorhinus maximus, by introducing the offence of intentional or
reckless disturbance of these species, whether or not this is at a breeding or resting site,
(Countryside and Rights of Way Act 2000).
Protection of Plants
The measures relating to wild plants mirror those for wild animals, with a general level of
protection which is enhanced for certain species, whilst allowing for pest control and
measures against the spread of disease. Plants are presumed to be wild unless the contrary
is shown.
Schedule 8 of the Wildlife and Countryside Act 1981 (WCA) and Schedule 4 of the
Conservation (Natural Habitats, etc.) Regulations 1994 list the protected species.
A growing plant is the legal property of the landowner and thus is subject to the ordinary
laws of property, as well as to the special conservation laws. Some trees may be the
subjects of Tree Preservation Orders.
Under Section 13 of the 1981 Act, certain plants listed on Schedule 8 of Part II of the Act are
protected from picking, uprooting or destruction. It also protects these species against sale,
offer or exposure for sale, possession and transport for the purposes of sale, or the
advertising with the intention of sale, unless it can be shown that the species in question was
legally taken from the wild.
Licensing procedures for the taking of genetic material come under the Wildlife and
Countryside Act 1981. Licences can be granted under Section 16 of the 1981 Act, which
implements the powers of derogation under Articles 7 and 9 of the Directive to allow
collection of any genetic material from protected species.
A licence can be obtained from English Nature or the Countryside Council for Wales to allow
the collection of genetic material under Section 16 of the 1981 Act for the purposes of
scientific, research or education purposes.
Although picking most wild plants is not against the law, it is illegal under the Wildlife and
Countryside Act intentionally to uproot any plant from the wild without the permission of the
landowner or occupier.
As in the case of animals, there is a list of plants that receive special protection under the
Wildlife and Countryside Act. This list, which is revised every five years, includes:

many rare flowering plants (e.g. the lizard orchid);

a few ferns;
numerous mosses and liverworts;
numerous lichens;

a few algae;
a few fungi.

All except one of these plants are protected against:

uprooting
intentional picking;
intentional destruction;
sale (including advertising for sale).

The exception is the native wild bluebell (Hyacinthoides non-scripta), which is protected
against uprooting and sale, but can be picked without breaking the law. It is legal to sell
cultivated bluebells.
Damage to a protected plant is not an offence if it can be shown that it was an incidental
result of a lawful activity and could not reasonably have been avoided.
Introduced species
A growing threat to wildlife in Britain comes from the release to the countryside of animals
and plants from other parts of the world. Some of these are vigorous competitors or can
bring disease that endangers native species. An example of this is the introduction of the
American signal crayfish, which threatens the survival of the native freshwater crayfish.
Section 14 of the 1981 Act makes it an offence to release or allow to escape into the wild
any animal, which is of a kind not ordinarily resident in and is not a regular visitor to Great
Britain. It also prohibits release or allowing to escape of animals listed on Schedule 9 part I.
Similarly, it is an offence to plant or otherwise cause to grow in the wild any plant included in
Schedule 9 Part II.
The measures in the Wildlife and Countryside Act are aimed at preventing damaging
introductions and include a schedule of animals that are already breeding in the wild here,
but should not be released without a licence. This list includes a few native animals (e.g. the
barn owl) and non-native species such as

grey squirrel;
muntjac deer;
American mink;
Canada goose;
zander (pike-perch);
American signal crayfish.

It is also illegal to cause to grow in the wild any plant listed in this schedule. Japanese
knotweed (Fallopia japonica) and giant hogweed (Heracleum mantegazzianum), a much
bigger plant than our native hogweed, are two of these species. There are proposals to
revise this schedule and especially to add some of the more aggressive alien water plants
that are frequently dumped in the wild when they outgrow aquaria or garden ponds.
Collection of blood samples for enforcement of the Wildlife and Countryside Act 1981
Section 19ZB (as inserted by the Countryside and Rights of Way Act 2000) of the Wildlife
and Countryside Act 1981 empowers police officers to require the taking of a tissue or blood

sample from any specimen which he believes is the subject of an offence under Part I of the
Act. He may also require a tissue or blood sample from any other specimen where it will tend
to establish the identity of the specimen the subject of an offence. Samples may only be
taken to determine the identity or ancestry of the specimen; no lasting harm must be caused
and in the case of a live bird or animal, a veterinary surgeon must take the sample.
Similar powers are available to Defra Wildlife Inspectors, who may require samples - again
to check the identity or ancestry of specimens in support of the sales and other
administrative controls in the 1981 Act.
A person collecting genetic material must first ascertain whether the species is protected, in
the case of animals and plants as all birds are protected. If the species is protected a licence
will be required from Natural England or the CCW to derogate away from the protection
afforded to the species in the 1981 Act.
References, further reading and links to other resources:
Further information
For complete lists of protected animals and plants visit the Joint Nature Conservation
Committees website at www.jncc.gov.uk.
The UK Biodiversity Action Plan website, www.ukbap.org.uk, gives information on species
and habitats covered under the UKs contribution to the Convention on Biological Diversity.
For lists of protected plants and guidance on collecting plants visit the Botanical Society of
the British Isles website, www.rbge.org.uk/
An informative booklet on wildlife law in Scotland is: Scotlands Wildlife: The Law and You,
published by Scottish Natural Heritage in 1998.
For information about licensing activities that might contravene restrictions under the Wildlife
and Countryside Act, contact Nautral England, the Countryside Council for Wales or Scottish
Natural Heritage.
World Conservation Union, (2000). IUCN Red List Categories. Prepared by the IUCN
Species Survival Commission, as approved by the 40th meeting of the IUCN Council. IUCN,
Gland, Switzerland.
Internet Links:
UNEP World Conservation Monitoring Centre : world biodiversity information and
assessment centre of the United Nations Environment Programme
International Union for Conservation of Nature and Natural Resources: RedList
http://www.redlist.org/
Question 8.
The lists of protected species are reviewed by the Joint Nature Conservation Committee
(JNCC) every how many years?
Multiple Choice (HP)
Answer 1:

2 years

Response 1:
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Answer 2:

5 years

Response 2:
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Answer 3:

10 years

Response 3:
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Question 9.
Under the schedule in the Wildlife & Countryside Act animals other than birds are listed, that
qualify for protection - these include...
Multiple Choice (HP)
Answer 1:

Bats

Response 1:
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Answer 2:

Whales

Response 2:
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Answer 3:

Sturgeons

Response 3:
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Answer 4:

All of the above

Response 4:
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3.0 Planning Requirements Under the Town and Country Planning Act 1990.
The statutory system of town and country planning in the UK exercises an important
influence on the environment. It is important that the mechanisms through which this system
operates and is controlled are understood by those in industry who have environmental
responsibilities. In the UK, we have one of the oldest systems in the world for managing
planning issues. The term plan refers to a plan of action, and may or may not be the subject
of a physical scale plan.
3.1 Description of the Town and Country Planning Act 1990.
The legislative framework for town and country planning dates back to 1947. The older Acts
were consolidated and streamlined in 1990 and 1991 with the publication of the principal
Planning Acts. These were the Town and Country Planning Act 1990 and the Planning
(Listed Buildings and Conservation Areas) Act 1990, as amended by the Planning and
Compensation Act 1991.
The former department, the Office of the Deputy Prime Minister (ODPM) became the
Department for Communities and Local Government (DCLG) on 5th May 2006 - all
references to ODPM now refer to Communities and Local Government. Its remit includes
responsibility for housing, urban regeneration, planning and local government.
It unites the communities and civic renewal functions previously undertaken by the Home

Office, with responsibility for regeneration, neighbourhood renewal and local government
(previously held by the ODPM)

3.2 DCLG Function & Process.

The Department for Communities and Local Government sets UK policy on local
government, housing, urban regeneration, planning and fire and rescue. The department has
responsibility for all building regulations, fire safety and some housing issues in England and
Wales. The remainder of the work applies only to England.
To ensure fair action and planning with all required information, the Department's ministers
work closely with:

a Board of senior managers;

four Executive Agencies;
a range of public bodies with special expertise in different areas.

Roles and Aims

Good planning ensures that developments are meaningful, necessary and achievable. The
outcome of good planning makes a positive difference to people's lives. At the same time, it
protects and enhances the natural and historic environment and conserves the countryside
and open spaces that are important to everyone.
Part of the Department's role is to protect and enhance the environment. Current emphasis
is focussed on issues such as the serious challenge of climate change. The UK
Government's target is to bring about a 60% reduction by 2050.
More information may be found at http://www.communities.gov.uk/
Overall aims of planning legislation
The planning system controls what can be built and where. The Department sets national
planning policy, ensuring that people have decent affordable homes in well-designed
accessible environments while protecting the countryside.
The system is to be streamlined, making it simpler, faster and more accessible.
Communities are becoming more involved and public participation is encouraged.
Most new buildings, changes to existing buildings or the local environment need planning
permission. Planning applications are usually dealt with by the local authority. Local councils
also prepare draft plans for their area.
Appeals against refusal of planning permission and inquiries are dealt with by the Planning
Inspectorate.
Many types of building work will require separate permission under building regulations.
There is a one-stop source of information, termed the Planning Portal
(www.planningportal.gov.uk) which includes advice on planning permission, online
applications and guidance on how the system works.

3.3 Code for Sustainable Homes - Technical Guide.

Development control
Most people only come into contact with the planning system when decisions have to be
taken about whether something can be built in their area. Most new buildings or major
changes to existing buildings or to the local environment need consent - known as planning
permission. Each application for planning permission is made to the local planning authority
for the area. The application must include enough detail for the authority to see what effect
the development could have on the area. If the planning application is in line with the
approved plan, the applicant can usually expect to receive planning permission within eight
weeks for householders. Approval for larger, commercial developments often takes longer
Permitted development
Some types of minor building work - such as a boundary wall below a certain height - do not
need planning permission. This is because the effect of these developments on neighbours
or the environment is likely to be small, and the government has issued a general planning
permission to authorise them. This is known as permitted development.
Some areas have special protection against certain developments because they contain
attractive landscape (like national parks) or interesting plants and wildlife, or because the
spread of towns and villages into open countryside (like the greenbelt) needs to be
controlled. Some smaller areas of land also contain ancient monuments that must not be
damaged. Some buildings are specially protected or listed because of their architectural or
historic interest.
If the local authority refuses permission, the person applying can appeal to the government.
Appeals are dealt with by the Planning Inspectorate.
More information about planning applications and development plans are available at
www.direct.gov.uk
Some useful publications are:
Creating better places to live: a guide to the planning system in England which explains how
to get involved in the planning process.
Planning Permission: A Guide for Business - basic information for businesses on when you
need planning permission, how to make an application and what happens afterwards.
Householder's Planning Guide for the Installation of Antennas, including Satellite Dishes
which explains the regulations on numbers sizes and positioning of antennas.
Planning policy
The Department determines national policies on different aspects of planning and the rules
that govern the operation of the system.
National planning policies are set out in new-style Planning Policy Statements (PPS), which
are gradually replacing Planning Policy Guidance Notes (PPG).
National policies are also laid out in Minerals Planning Statements and Policy Guidance

Notes (MPS/MPG), Marine Minerals Guidance Notes (MMG) and Circulars.

Planning Policy Statements (PPS) and Guidance Notes (PPG)
Planning Policy Statements (PPSs) (and their predecessors, Planning Policy Guidance
Notes (PPGs)) are prepared by the Government after public consultation to explain statutory
provisions and provide guidance to local authorities and others on planning policy and the
operation of the planning system. They also explain the relationship between planning
policies and other policies which have an important bearing on issues of development and
land use.
Local authorities must take their contents into account in preparing plans. The guidance may
also be relevant to decisions on individual planning applications and appeals.
Programme for Replacement of Planning Policy Guidance Notes by Planning Policy
Statements
Regional and local plans
The planning system in England and Wales follows a plan-led system. This involves
preparing plans that set out what can be built and where.
There are now two main levels of plan:
Regional Spatial Strategies - each Regional Planning Body (such as the north-east of
England) is preparing a Regional Spatial Strategy. This sets out things such as how many
homes are needed to meet the future needs of people in the region, or whether the region
needs a new major shopping centre or an airport.
UPDATE - on 6th July 2010, the Secretary of State for Communities and Local Governments
revoked all Regional Spatial Strategies with immediate effect.
Local Development Frameworks - Each local planning authority is preparing a Local
Development Framework. This is a folder of documents that sets out how your local area
may change over the next few years.
There may also be other types of plan, such as how to deal with waste. These are usually
prepared by County Councils.
3.4 County & Unitary Development Plans.
Structure Plans are development plans prepared by the county council planning authorities.
The structure plan contains broad strategic policy for the county and must take into account
any relevant national and regional planning policies. These policies are contained in the
guidance notes and circulars discussed above. The structure plans are subject to public
consultation and debate before being submitted to the Secretary of State for approval. Within
London and the Metropolitan areas, the London Boroughs or Metropolitan District must
prepare a Unitary Development Plan (UDP). Part 1 of the UDP approximates to County
Structure Plan, but also includes a waste and minerals local plan.
Local Development Frameworks
Each local planning authority prepares a Local Development Framework. This is a folder of

documents that sets out how the local area may change over the next few years.
The new planning system of Local Development Frameworks has been designed to
streamline the local planning process and promote a proactive, positive approach to
managing development. The key aims of the new system are:

flexibility;
strengthening community and stakeholder involvement in the development of local
communities;
front loading of key decisions in the preparation of plans;
sustainability appraisal;
programme management; and
soundness - testing the plan against simple criteria to show it is fit for purpose.

If these steps are all implemented to appropriate standards, then the new system of local
development frameworks will speed up the plan-making process and be more transparent to
members of the public.
3.5 The Reform of Local Planning.
The Spatial Plans in Practice project was a major, three-year study of the new local planmaking system. The Project which commenced in April 2005 was launched on 14th June
2005. The Project supported a step change in local plan making by providing a valuable
source of shared knowledge and experience. However, since July 2010, Regional Spatial
Plans have been revoked and the project's relevance has been called into question.
Minerals and waste
Providing for mineral extraction and for the processing and disposal of waste usually makes
significant land-use demands. Therefore, the careful planning of such developments is
essential to manage their impact on both the surrounding environment and local residents.
Planning for Housing
Guidance and documents have been issued which underpin the delivery of the
Government's strategic housing policy objectives.
Decisions on planning applications and appeals
The Secretary of State has the power to "call-in" planning applications for determination
rather than letting the local authority decide (for example, if they conflict with national policies
on important matters). The decision on whether to call-in a planning application for
determination by the Secretary of State is made having regard to published policy.
Planning Appeals can also be "recovered" for decision by Ministers for similar reasons. As
with applications, the decision for an appeal to be "recovered" is made having regard to
published policy.
The decision of the Secretary of State on whether to grant planning permission following an
appeal or the call-in of an application is informed by the report of an Inspector who nearly
always holds a public inquiry into the proposal. Such decisions are "quasi-judicial", and
therefore particular care is needed in taking them. However, similar considerations also arise
in the exercise of discretionary powers on planning matters, such as in deciding whether or

not to call in a planning application or recover an appeal.

Environment
Communities and Local Government are committed to protecting and enhancing the
environment. The government has a long-term goal to reduce carbon emissions by 60% by
2050; with homes accounting for around 27% of the UK's carbon emissions, it is clear that a
change in the way homes and communities have been built is needed to be reviewed and
changed.
With this in mind, and following a public consultation, the Department published Building a
Greener Future: policy statement in July 2007. This policy statement confirms the
government's intention for all new homes to be zero carbon by 2016 with a progressive
tightening of the energy efficiency building regulations - by 44% in 2013 - up to the zero
carbon target in 2016.
It is recognised that Local Government has a pivotal role to play in helping communities take
action on climate change. The Local Government White Paper gives councils new
opportunities to drive local action on reducing carbon emissions and adapting to the impacts
of climate change.
There is commitment to protect and enhance the environment in other areas:

looking at ways to improve energy and water efficiency of existing homes;

looking for opportunities to include exemplars of sustainable development in housing;
and
ensuring that developments include important green spaces which are vital to
people's health and wellbeing.

Finally, the environmental impact of managing and running the Department itself is under
constant review.
3.6 Planning & the Environment.
The following gives an idea of the activities of the Department for Communities and Local
Government in undertaking policies, programmes and operations that work towards a
positive approach to environmental matters.
Planning and Climate Change
The Government is committed to put in place regional and local planning policies on
adaptation to climate change, and to strengthen policies that will mitigate and reduce
greenhouse gas emissions.
Planners already have suitable instruments such as conditions, agreements, obligations and
informatives, all of which can be used to respond to climate change on the local, regional
and national level.
Planning and Water
Any development that comes into contact with water in any form needs to take that into
account during the planning process.

Coastal Planning
A range of economic and social activities require coastal locations, and certain natural and
historic landscapes and habitats are particular to coastal areas. Concerns about rising sea
levels and the need for development to be sustainable are focusing increased attention on
the special value of the coast.
It is the role of the planning system to reconcile development requirements with the need to
protect, conserve and, where appropriate, improve the landscape, environmental quality,
wildlife habitats and recreational opportunities of the coast.
This is achieved through development plans and planning decisions, which implement
policies for the conservation and improvement of the coastal environment.
Planning & Renewable Energy
Positive planning which facilitates renewable energy developments can contribute to all
elements of the Government's sustainable development strategy.
Development and Flood Risk
The aims of planning policy on development and flood risk are to ensure that flood risk is
taken into account at all stages in the planning process to avoid inappropriate development
in areas at risk of flooding, and to direct development away from areas at highest risk.
Where new development is exceptionally necessary in such areas, policy aims to make it
safe without increasing flood risk elsewhere and where possible, reducing flood risk overall.
Planning and the Countryside
The planning system's aim is to take into account the considerations of the general public
and their perceived value of the countryside, and to allow local communities to have the
opportunity to play a part in shaping the landscape around them, ensuring that the valued
features and attributes of the whole countryside are conserved and enhanced.
3.7 Sustainability & Environmental Assessment.
Ensuring sustainability and minimising adverse impact on the environment are crucial
aspects of the planning agenda. Both apply at all scales, from individual buildings and
developments to national and international policy and are key parts of the Government's
commitment to sustainable development and the creation of sustainable communities.
Assessing the sustainability and environmental impact of developments and policy prior to
implementation is one of the first key stages in meeting these commitments.
Sustainability Appraisal
Sustainable development is central to the reformed planning system. The purpose of
Sustainability Appraisal, mandatory under the Planning and Compulsory Purchase Act 2004,
is to promote sustainable development through the integration of social, environmental and
economic considerations and for new or revised Development Plan Documents (DPD) and
Supplementary Planning Documents (SPD).
In addition, when new and revised DPDs and SPDs, Regional Planning Bodies and Local

Planning Authorities must also conduct an environmental assessment in accordance with the
requirements of European Directive 2001/42/EC "on the assessment of the effects of certain
plans and programmes on the environment" (the Strategic Environmental Assessment or
'SEA Directive'), transposed by the Environmental Assessment of Plans and Programmes
Regulations 2004.
Whilst the requirement to carry out a Sustainability Appraisal and a Strategic Environmental
Assessment are distinct, it is possible to satisfy both through a single appraisal process.
Guidance has been produced to ensure that Sustainability Appraisals meet the requirements
of the SEA Directive, and to assist authorities in carrying out such appraisals.
3.8 Environmental Impact Assessment (EIA).
EIA is a procedure that must be followed for certain types of development before they are
granted development consent. The requirement for EIA comes from a European Directive
(85/33/EEC as amended by 97/11/EC). The procedure requires the developer to compile an
Environmental Statement (ES) describing the likely significant effects of the development on
the environment and proposed mitigation measures. The Environmental Statement must be
circulated to statutory consultation bodies and made available to the public for comment. Its
contents, together with any comments, must be taken into account by the competent
authority (e.g. local planning authority) before it may grant consent.
Strategic Environmental Assessment (SEA)
European Directive 2001/42/EC (the SEA Directive) "on the assessment of the effects of
certain plans and programmes on the environment" requires a formal environmental
assessment of certain plans and programmes which are likely to have significant effects on
the environment. Authorities which prepare and/or adopt such a plan or programme must
prepare a report on its likely significant environmental effects, consult environmental
authorities and the public and take the report and the results of the consultation into account
during the preparation process and before the plan or programme is adopted. They must
also make information available on the plan or programme as adopted and how the
environmental assessment was taken into account. The SEA Directive is transposed into UK
law by the Environmental Assessment of Plans and Programmes Regulations 2004 and in
Scotland by the Environmental Assessment (Scotland) Act 2005.
Trees & High Hedges
Trees and hedges are a key element of the countryside, but they also have a major part to
play in urban areas in England, where more than 80 per cent of the population lives. Trees
and hedges in private gardens, parks and streets are of great importance to people,
particularly in residential areas. However, they need to be selected and planted with care
and managed appropriately. Trees may be protected by tree preservation orders (TPOs ) or
other legal procedures to make sure that they are not lost or damaged needlessly. Where
plants get out of hand problems can occur, such as where a high hedge restricts someone's
use or enjoyment of their property. This problem has now been addressed by Section 8 of
the Anti-Social Behaviour Act 2003.
Control of Major Accident Hazards (COMAH )
Directive 96/82/EC (the Seveso II Directive) on the control of major accident hazards
involving dangerous substances came into force in February 1999. The Directive requires
Member States to ensure that the objectives of preventing major accidents and limiting the
consequences of such accidents are taken into account in their land use planning policies. In

the UK, these obligations have been implemented through the Planning (Hazardous
Substances) Act 1990 and Regulations made under the Act which includes the Planning
(Control of Major-Accident Hazards) Regulations 1999 (the COMAH Regulations).
Historic Environment
Planning policy and guidance on the historic environment, including historic buildings and
sites, biodiversity and geological conservation and archaeological remains on land.

Planning Policy Statement 9:

The Governments Objectives
Working with the grain of nature: a biodiversity strategy for England sets out the
Governments vision for conserving and enhancing biological diversity in England, together
with a programme of work to achieve it. It includes the broad aim that planning, construction,
development and regeneration should have minimal impacts on biodiversity and enhance it
wherever possible.
In moving towards this vision, the Governments objectives for planning are:

to promote sustainable development by ensuring that biological and geological

diversity are conserved and enhanced as an integral part of social, environmental
and economic development, so that policies and decisions about the development
and use of land integrate biodiversity and geological diversity with other
considerations.
to conserve, enhance and restore the diversity of Englands wildlife and
geology by sustaining, and where possible improving, the quality and extent of
natural habitat and geological and geomorphological sites, the natural physical
processes on which they depend and the populations of naturally occurring species
which they support.
to contribute to rural renewal and urban renaissance by:
o enhancing biodiversity in green spaces and among developments so that they
are used by wildlife and valued by people, recognising that healthy functional
ecosystems can contribute to a better quality of life and to peoples sense of
well-being; and
o ensuring that developments take account of the role and value of biodiversity
in supporting economic diversification and contributing to a high quality
environment.

The planning system has a significant part to play in meeting the Governments international
commitments and domestic policies for habitats, species and ecosystems.
Question 10.
An Environmental Impact Assessment procedure must be followed for certain types of
development before they are granted development consent.
True/False (HP)
Answer 1:

True

Response 1:
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Answer 2:

False

Response 2:
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4.0 Contaminated Land & Groundwater.

The issue of land and groundwater contaminated by industrial activity is one that affects
many industrialised societies. The United Kingdom is no different and the presence of
contaminated land is a legacy of its industrial past. The concept of contaminated land is not
necessarily a new phenomenon. The accumulation of chemicals in soil and water as a result
of human activities has been occurring for centuries. However, over time the process of
uncontrolled release of contaminants has changed in character and scale due to the
intensification of industrial, agricultural and domestic activities and an abundance of new
chemicals of recent invention.
Global and UK Legislation regarding contaminated land has been inadequate until relatively
recent times. The major event that transformed our awareness of the potential impact of past
activities on human health occurred in the USA, and is referred to as the Love Canal
disaster.
4.1 Case Study 1 The Love Canal Disaster.
This is the classic exemplar case study, often cited, since it is one of the more extreme
examples of contaminated land impact, and heralded important new US national legislation,
global awareness of the problem and international inspiration to address the issue by
legislation, research and practice development.
In the 1890s, Mr William Love planned to build a canal to bypass the Niagara Falls in order
to allow shipping to proceed unimpeded down the Niagara River. Due to lack of funds, the
project was never completed, and the Love Canal was ultimately abandoned, leaving a very
large hole in the ground.
In 1942, the property was used by Hooker Chemicals and Plastics Corporation for waste
disposal. Then the site was bought by Occidental in 1947 and subsequently sold to the
Board of Education of the City of Niagara Falls in 1953 for restricted development, namely,
no building or excavation were to be carried out directly on the canal.
As time passed, the agreed conditions of sale were forgotten or ignored and residential
buildings were erected on the land. A high school was opened in 1955 and, by 1966, private
housing covered the entire site.
Unusually heavy rainfall persisted from the autumn of 1975 to the following spring, which:

caused portions of the landfill to subside,

created ponds of surface water heavily contaminated with chemicals, and
transported chemical wastes to nearby residences.

Following further heavy rain in 1978, residents of the housing development experienced
severe consequences:

large foaming pools of a coloured liquid formed in several gardens;

the third base of a nearby school's baseball diamond disappeared into a rusted drum
buried just beneath the surface; and
children and dogs burned their feet whilst playing in nearby fields.

An emergency was declared, and the entire community of over 300 families was evacuated
and relocated.
Records revealed 11 years' deposition of 21,000 tons of a cocktail of chemical waste. There
was gross contamination to surface water, soil, groundwater, basements, creeks, sewers,
etc. 82 chemical species were identified, including 11 carcinogens and pollution levels found
were 5,000 times the appropriate health and safety standards. Medical testing revealed
unusually higher incidences of cancer,liver disease, miscarriages, and retarded children.
Clean-up costs exceeded $13 million
The experience brought about legislative control and powers to the United States
Environmental Protection Agency (US-EPA) in the form of the Comprehensive
Environmental Response Compensation and Liability Act (CERCLA) passed in 1980. This
enabled the US-EPA power to recover costs of contaminated land investigation and clean-up
from:

past and present owners,

hazardous waste transporters,
previous occupiers, and
anyone else connected.

The Love Canal experience set the scene for the world to be mindful of potential
environmental time bombs, and promoted the requirement for contaminated land legislation
and guidance.
Clean-up of the Love Canal has been complex but successful. Clean-up operations have
included containment of the leaking landfill, removal and disposal of sediments from sewers
and creeks, removal and cleaning of soils near the school, destruction and removal of
homes surrounding the canal, and buyout of properties in the area. In 1988, EPA issued the
Love Canal Habitability Study. The Agency concluded that several portions of the outer area
surrounding the site and rings of homes that were torn down were again clean enough for
people to move back to the neighbourhood; other areas, while not suitable for homes, were
sufficiently clean for commercial or industrial use.
Today, revitalisation of the area continues. Nearly 200 homes have been sold, 60 others are
undergoing renovation, and new residential developments are being built.
However, awareness of the potential magnitude of a contamination problem and introduction
of legislation does not provide all the answers. The presence of contamination must be
proven by adequate site investigation, sampling protocols, laboratory analysis and data
assessment. It is only over the past decade that these issues have been addressed
adequately; the requirement for such is exemplified perfectly when considering a UK case
study The Channel Tunnel Project.
4.2 Case Study 2 - The Former Channel Tunnel Project.
Several attempts had been initiated to establish a tunnel link with France under the English
Channel; this particular case study concentrates on the events commencing with the
abandoned project of 1975, up to the successful development of the existing tunnel.
20th Century History of Channel Tunnel projects
1904 - 1947 A new phase in Anglo/French relations developed at the beginning of the
century, and the development of railway technology encouraged engineers to propose more

plans for a Channel Tunnel. In 1922, work began on a trial bore at Folkestone Warren, using
a machine designed by Douglas Whitaker, but after 128 metres of tunnel were completed,
political objections halted further progress.
Two decades of debate followed, but in spite of support for a Channel Tunnel from
prominent politicians such as Winston Churchill and Aneurin Bevan, no further progress was
made.
1947 After the Second World War, the idea was revived with renewed efforts by
intergovernmental bodies to establish the feasibility of a Channel Tunnel. Engineering and
geological research continued.
1956 The Channel Tunnel Study group, a French/British consortium, came about to coordinate investigations into all the marine, geological, economic and engineering aspects of
a cross-Channel fixed link. This group put forward proposals in 1960 for a tunnel linking
Folkestone and Sangatte, which would contain two single-track railway tunnels and a service
tunnel.
1974 Work began on both sides of the Channel. A pilot tunnel at Shakespeare Cliff was
abandoned after 1,400 metres, owing to the British government's withdrawal of support for
the project for economic reasons. Before the site was finally cleared of personnel, various
items of re-usable and/or saleable plant and equipment were dismantled to facilitate
removal. During the dismantling phase, a very large electrical transformer was upturned,
resulting in a spillage of transformer coolant oil.
Local residents were to use the area again for recreational activities, particularly dog
walking, and for several weeks following site closure, they complained to the local authority
of a sweet and sickly smell. Following an initial enquiry, the local authoritys Environmental
Health requested the Laboratory of the Government Chemist (LGC) to carry out a site
investigation.
The LGCs initial survey entailed soil sampling from 3 depths ground level, 150mm and
300mm - at sites corresponding to a 10m x 10m grid. The results of analysis identified the
presence of Polychlorinated Biphenyls (PCBs) - mainly Arochlor 1254 - as the sole pollutant.
When all results were collated, LGC confirmed that

contamination was restricted to the ground level only,

the spread of contamination was to a maximum area of 170m2, and
a mass balance calculation estimated the total spillage to be a maximum of 50 litres.

The LGC recommended removal of top 300mm to licensed landfill, and an immediate action
plan to fence off the area.
1980 - 1984 A joint study commissioned by the French and British governments indicated
that a twin rail tunnel scheme was technically and financially viable.
1985 With support from the Prime Minister, Margaret Thatcher, and the President of France,
Francois Mitterand, for a privately financed scheme, the two governments invited tenders for
a cross-Channel fixed link.
1986 In January, Thatcher and Mitterand met at Lille to announce the choice of the scheme
proposed by the Channel Tunnel Group - France Manche - the company which was later to

be renamed Eurotunnel.
On 12th February, the treaty was signed in Canterbury. Subject to ratification by both
governments, the treaty permitted the construction of the Channel Tunnel.
On 14th March, Eurotunnel was granted a Concession agreement, lasting for 55 years, to
construct and operate a Channel Tunnel.
1987 The Channel Tunnel Bill was passed in the UK, and on 23rd July, the two leaders met
once more to exchange the papers of ratification which had been approved by both
governments.
The 55 year concession to Eurotunnel began, and construction was set to be started on both
sides of the Channel by the end of 1987. The section of the pilot tunnel at Shakespeare Cliff,
abandoned in 1974, was to be used as part of the access shaft for the new Channel Tunnel
construction works.
However, the PCB contamination was still present, and now, there was an urgent
requirement to clean up the site.
At that time in the UK, there were no contamination limits for PCBs in soil, although a landfill
policy target of a maximum of 25mg/kg PCBs in waste existed. As a comparative guide, PCB
soil contamination limits that were in force in the Netherlands, determined that:

soil levels of <1mg/kg PCBs were considered uncontaminated,

where levels were found >1mg/kg and <10mg/kg, further investigation was required,
and
where levels exceeded 10mg/kg, remediation was vital.

Likewise, in the USA, a maximum level of up to 2mg/kg PCBs in soil was acceptable before
the requirement to clean up.
As a result, the UK government set an acceptably safe site maximum of 10mg/kg.
Therefore, all soils containing >10mg/kg PCBs were required to be remediated; however, the
only PCB decontamination technology in the UK was restricted to incineration.
Based on the LGC findings and the 10mg/kg target, it was estimated that 1000 tonnes of soil
(equivalent to 550m3) were required to be removed; furthermore, application of the landfill
acceptable maximum of 25mg/kg meant only 300m3 could go to landfill, with the remaining
250m3 necessarily requiring incineration.
A major problem immediately identified at the site was the insufficient capacity for storage of
excavated contaminated soil. Furthermore, due to limited incinerator facilities, it was
estimated that the throughput of soil allocated for decontamination by that means would take
2 years. Moreover, since swiftness was crucial, it was decided that storage of soil in 200 litre
drums could solve the dilemma.
However, no planning permission or licence for waste storage existed on the site, and Kent
County Council advised that excavated soils could only be stored for a maximum of 48 hours
on site. The Royal Army Ordnance Corps came to the rescue when they offered a site in
Hereford for long-term storage of drums of contaminated soils.
An Operational Plan was developed whereby a 6-week programme was estimated to

excavate and transfer requisite soil to drums, then transport off site to either a designated
landfill or to the Hereford RAOC site. Contractors were selected, and two thousand 200-litre
drums were procured. The Health and Safety executive approved the operational plan but
further specified:

pre- and post-operation medical monitoring of contractors,

PCB-in-dust and PCB-in-air monitoring,
use of PPE (including respirators), and
the provision of decontamination facilities on site.

The planned work was completed in 6 weeks with all the identified contaminated soil being
secured in 200-litre drums, the 10 to 50 mg/kg PCB soils were transported to landfill, and the
soils with >50mg/kg PCB were sent for storage pending incineration.
However, further excavation of the site uncovered a sump containing concentrated liquid
PCBs. An immediate sampling and analysis investigation was instigated which ascertained:

the area around the sump was grossly contaminated with up to 31,000mg/kg PCBs,
soil PCB concentrations demonstrated massive fluctuations in PCB concentration,
varying from 50 - 10,000mg/kg between 2m sampling sites, and
an unrecorded drain network was discovered, contaminated with PCBs.

The clean-up contract was extended and more drums acquired. More soil was excavated
and treated as previously; the contents of the drain were also excavated, stored in drums
and removed to the storage site; clay pipes and the concrete sump were broken up and
removed to landfill. At this stage, the excavation was now to a depth of 3 metres, and PCBs
were still in evidence. To isolate the residual contaminated soil and prevent re-excavation, a
1 metre thickness of concrete was poured on top, which itself was covered with 2 metres of
clean soil.
Ultimately, the entire operation took 12 weeks to complete; 840 tonnes of soil (3194 drums)
were transported to the temporary store at Hereford RAOC pending incineration; 620 tonnes
of soil were landfilled.
The Mass Balance Calculation was repeated, the results suggesting that the total PCB
spillage was actually 820 litres note that the original transformer had a capacity of 850
litres.
The cost of the clean-up operation was approximately 2.25 million.
Amongst other issues, this case exemplifies the importance for an adequate pre-site
investigation (the desk-top study) - this should have indicated a much greater spillage
estimation than was originally suggested (contrast 50 litres with 820 litres). Furthermore, the
case identifies the importance of a realistic and representative sampling programme 10m
sampling sites were clearly inadequate when the considerable degree of fluctuating
concentrations were ultimately found between 2m sampling sites.
4.3 Case Study Review.
The case studies presented here are only two examples of several incidences of
environmental malpractice. The Love Canal episode resulted in the introduction of relevant
legislation in the United States and inspired necessary consideration of contaminated land
status in many countries, each addressing the issue in various ways and at different levels of

perceived significance.
The legislative problems and concerns over the question of liability for remediation of
contaminated land had become an important issue in Europe and the USA. In the USA, the
Love Canal story resulted in the introduction of the Comprehensive Environmental Response
Compensation and Liability act 1980; this enabled the US-EPA powers to recover costs of
investigation and land remediation.
In the UK, the requirement of successive governments to redevelop old industrial sites for
housing increased the need to improve contaminated land legislation, investigation and
assessment.
4.4 Definition of Contaminated Land.
Up to the issue of the Contaminated Land Regulations (CLR) in 2000, contaminated land
had no clear definition legal or otherwise; nevertheless, the fact that land may be
contaminated had been recognised for several years. The history of the response by
various governments to dealing with the contaminated land issues demonstrates the
development of contemporary legislation and available practical guidance.
Historical Background
Contaminated Land in the UK had proved a difficult subject to deal with for several years.
UK statutory law was predominantly restricted to planning and development control and
public health issues, rather than specifically dealing with contaminated land. Up to the time
of issue of CLR, a great deal of UK law dealing with contaminated land had developed within
English common law, based on discrete cases, as a result of the effects of the actions of the
owner or occupier of one piece of land on the adjacent land owned by someone else, or
resulting from particular incidents. Therefore, contaminated land issues often fell within the
law of tort, the liability between parties.
Two particular judgements are of importance - known as the rule in Rylands v Fletcher, and
the case of the Cambridge Water Co. v Eastern Counties Leather plc.
4.5 Rylands v Fletcher.
This case gave rise to the rule that if a person brings something onto his land which could
cause a problem if it escaped, that person is liable for all the damage which occurs as a
consequence of its escape.
This rule applied to any case where land or water had become contaminated due to the
escape of hazardous, non-natural substances present on land owned by somebody else.
Since 2000, there are now statutory laws which also come into play we shall deal with the
current situation later in the module.
The rule does not apply to:

things which are considered to be 'naturally' on the land;

cases where the plaintiff consented to the presence of the material, or caused its
escape;
cases where the escape was due to an 'Act of God' or action by a stranger;
a defence of statutory authority, such as the holding of a permit or licence.

4.5.1 Cambridge Water Company v Eastern Counties Leather.

The Cambridge Water Company Ltd was established by a private Act of Parliament in 1853
to provide water to the residents of Cambridge and the surrounding area; by 1976, the
population served had risen to approximately 275,000. With the rising demand, the company
purchased a borehole outside Sawston, constructing pumping equipment and integrating the
water from that borehole into their system in 1979. Tests undertaken both before the
purchase, and in 1979, had demonstrated that the water was safe for public consumption.
During the late 1970s, concerns were expressed about the presence of perchloroethene
(PCE) in water, and as a result a European Directive was issued in 1980 requiring nations of
the European Community to establish maximum acceptable levels of PCE in water; the
United Kingdom did this in 1982. PCE was discovered in the borehole; it was not tested for
earlier because there was no need to regulate the levels. As a result, the Cambridge Water
Company was forced to cease pumping the water, and instead find a new borehole
elsewhere.
An investigation immediately ensued. The investigators concluded that the PCE had come
from Eastern Counties Leather plc, a leather tannery in Sawston. The tannery used PCE as
a degreasing agent, beginning in the 1960s; by 1976, 100,000 gallons of this chemical were
used by the tannery each year, with up to 25,000 gallons on the premises at any one time.
PCE was leaking out of the drums it was carried in, first by being spilt when it was tipped into
the degreasing machines and second by leaking from near-empty drums. Although these
spills were individually small, it was estimated around 3,200 gallons of PCE were spilled
each year. These spills collected in the chalk underlying Sawston until groundwater swept
them into the Cambridge Water Company's borehole.
Judgment
High Court and Court of Appeal
The Cambridge Water Company brought a case against Eastern Counties Leather in the
High Court of Justice, wanting 1 million in damages for the cost of finding a new borehole
and an unsuccessful attempt to decontaminate the original one, and an injunction to prevent
any more use of PCE. They argued that Eastern Counties Leather were liable in three ways;

first, in negligence,
second, in nuisance, and
third, under the rule developed in Rylands v Fletcher.

The case came before Justice Kennedy, who dismissed all three of the Company's claims.
On the matter of negligence, he held that the damage had to be reasonably foreseeable, as
was required under Overseas Tankship (UK) Ltd v Morts Dock and Engineering Co Ltd; he
applied this same test to the claim under nuisance. Applying the case of Hughes v Lord
Advocate, Kennedy found that the harm was not reasonably foreseeable, and both actions
under nuisance and negligence must fail.
Rylands v Fletcher contained the principle that "the person who for his own purposes brings
on his lands and collects and keeps there anything likely to do mischief if it escapes, must
keep it at his peril, and, if he does not do so, is prima facie answerable for all the damage
which is the natural consequence of its escape", with a requirement that this use of land be
"non-natural". On the Cambridge Water Company's third claim, Kennedy was forced to
consider the meaning of "non-natural" in this setting. He held that the use of industrial
chemicals was not "non-natural", given that it was on an industrial site, and that for a claim to
succeed under Rylands the use must be "some special use bringing increased danger to
others, and must not merely be the ordinary use of the land or such a use as is proper for

the general benefit of the community"; Eastern Counties Leather created jobs in Sawston,
and was thus providing a benefit for the community. As such, the Company's claim under
Rylands was not valid. Kennedy also chose to consider forseeability of harm a factor in
cases brought under Rylands, and stated the fact that harm was not foreseeable was a
factor in his decision.
The Cambridge Water Company then appealed to the Court of Appeal of England and
Wales, but only on the claim under Rylands v Fletcher. The court, composed of Lord Justice
Nolan, Lord Justice Mann and Sir Stephen Brown, reversed Kennedy's decision. Despite a
lack of comment by the appellants on the claim under nuisance, the court addressed this
ground, relying on the "obscure decision" found in Ballard v Tomlinson, concluding that
"where the nuisance is an interference with a natural right incident to ownership then the
liability is a strict one". As such, Kennedy should have applied Ballard, and it was
unnecessary to consider Rylands because the claim under nuisance was valid.
House of Lords
The case was again appealed, this time to the House of Lords, where it was heard by Lord
Templeman, Lord Goff, Lord Jauncey, Lord Lowry and Lord Woolf. The judgment was given
by Lord Goff on 9th December 1993, and reinstated the decision of Justice Kennedy in the
High Court of Justice; unlike the Court of Appeal decision, it directly addressed the issue of
Rylands v Fletcher. Goff first addressed the Court of Appeal's use of Ballard v Tomlinson,
stating that the decision there as based on the facts of the case, and did not establish either
a rule that there was a right to clear water, nor that there was strict liability attached to that
right.
Goff looked at the relationship between nuisance and Rylands v Fletcher, particularly how
they treat strict liability. In nuisance, liability is strict in that the defendant can be liable even if
he has taken reasonable care, but this is kept "under control" by the principle that a
defendant is not liable for actions a reasonable user takes on his land. He took into
consideration an article published by F.H. Newark in 1949, in which Newark called the
decision in Rylands "a simple case of nuisance" rather than a revolutionary doctrine that
established strict liability outside nuisance. Goff also found similarities between the principle
of "non-natural use" under Rylands and that of the "reasonable user" requirement in
nuisance, concluding that "it would lead to a more coherent body of common law principles if
the rule [in Rylands] were to be regarded essentially as an extension of the law of nuisance".
Lord Goff's judgment was primarily based on whether or not forseeability of damage should
be a factor in Rylands cases, and was that the matter was "open for consideration", saying
that the need for forseeability of damage to be a criterion was "a matter of principle". He
considered the case of Overseas Tankship (UK) Ltd v The Miller Steamship Co, in which the
Privy Council concluded that forseeability of damage was an essential part of determining
liability in nuisance. The Council stated that "It could not be right to discriminate between
different cases of nuisance so as to make forseeability a necessary element in determining
damages in those cases where it is a necessary element in determining liability, but not in
others". If, as Goff was stating, Rylands was an element of nuisance, this decision should
apply to it. In the original judgment in Rylands, the judge had stated that it covered "anything
likely to do mischief if it escapes", and that liability should be to "answer for the natural and
anticipated consequences"; this wording implies that he intended for "knowledge to be a
prerequisite for liability".
Significance

Goff's judgment made several significant and immediate changes to the law. First, it was the
first decision which imposed a requirement of forseeability of harm to cases brought under
Rylands v Fletcher; "it must be shown that the defendant has done something which he
recognised, or judged by the standards appropriate at the relevant place or time, or ought
reasonable to have recognised, as giving rise to an exceptionally high risk of danger or
mischief if there should be an escape, however unlikely an escape may have been thought
to be". Secondly, it was the first decision to state that Rylands may be a sub-set of nuisance,
and as such applied the same requirement of forseeability of harm to nuisance, where
previously such a requirement had not existed.
Cases brought under Rylands v Fletcher now have a requirement that the harm was
foreseeable, but it was not defined whether or not it was sufficient that it be foreseeable that
harm could occur, or that it be foreseeable that the use of land is "non-natural", that the
substance be capable of doing "mischief", and all the other requirements of Rylands.
The Cambridge Water Company decision was not sufficient to completely write out Rylands
as a distinct doctrine; this was later done by the House of Lords in Transco v Stockport
Metropolitan Borough Council.
4.6 The development of contaminated land legislation and regulation.
Until the 1990s, the Rylands rule was considered to be a form of strict liability, but the
Cambridge Water Company case modified the rule by adding a test of foreseeability. A
House of Lords ruling resulted in a plaintiff having to prove that damage caused by the
storage or use of a non-natural substance on land would have been foreseeable by the
defendant.
With respect to liability for land judged contaminated several years in the future, it remains to
be seen how the Courts will interpret the concept of foreseeability.
Planning stages in the UK, with reference to the re-use of land, considered the pollution
status up to a point. A previous UK ministerial department the Department of the
Environment - produced Circulars 21/87 and 22/87 which gave advice that contamination
was a 'material consideration' for planning purposes. Planning Policy Guidance (PPG) Note
23, issued in 1994, superseded the advice in those earlier Circulars and proposes that
although contamination is subject to regulation under pollution control legislation,
contamination, or the potential for contamination, can be a 'material planning consideration'
and should be taken into account at various stages in the planning process, including the
preparation of development plans and the determination of planning applications. In the case
of any dispute, however, the courts are the ultimate arbiters of what constitutes a material
consideration in any particular planning case.
Planning authorities have to consider:

whether a site is subjected to a hazard,

what further information is required to evaluate the contamination status,
whether the proposed use could give rise to a health hazard to future occupiers, and
what steps should be taken to reduce risks.

The responsibility for providing the information on contamination rests with the developer of
the land, although planning authorities will have their own advisers.
Guidance was made available to ensure that all land found to be already contaminated was
to be brought to a standard suitable for its intended or actual use. Experts were to be

employed by planning authorities to assess the situation, where such could be afforded, and
particular attention was to be given to Building Regulations (where applicable), when it was
intended to build on the site. In 1985 the Building Regulations were modified to take specific
account of contaminated land, which was reconfirmed in later modifications up to 1991.
The Building Regulations require precautions to be taken to avoid any danger to health from
substances in, or on, the ground which is to be covered by the building in question. These
precautions may necessitate the instigation of remedial action to the land itself. Where
subsequent identification indicates that the site is more contaminated than previously
thought, further action is available through the use of various powers in the Public Health Act
1936 and the Building Act 1984.
As far as help with the cost of site investigation, analysis and remediation, English
Partnerships (the Urban Regeneration Agency) was established to provide financial support
for regeneration of land.
A cross-department committee had been established to generate guidance documents
detailing the types of site which might be contaminated. Their endeavours resulted in the
publishing of various documents detailing sites that had supported activities associated with
gas works, industrial sites, landfill sites, scrap yards, sewage works sites etc, and Planning
Policy Guidance Note 12 set out how such matters should be considered in relation to
development plans.
A major problem resulting from the issue of the guidance documents is that they had
commonly been accepted to be the finite list of potentially contaminated sites by uninformed
planning authorities. Consequently, depending on the attitude of the planning authority, a
choice of two scenarios existed:
1. sites not included in the guidance documents were not subject to the same level of
investigation, or
2. every site controlled by a local authority was subjected to the same degree of
investigation demanding an unwarranted analytical programme.
A second piece of legislation covered by planning powers was the Amenity Notice. If it
appeared to a local authority that the amenity of part of its area was adversely affected by
the condition of land, an Amenity Notice, under Section 215 of the Town and Country
Planning Act 1990, could be served on the owner or occupier of the land.

Where a notice required specified steps to be taken to remedy the condition of the
land, within a specified time, failure to comply was a criminal offence; continued noncompliance resulted in a daily fine of 40 following conviction.
Where the land was sold prior to the end of the compliance period, the new owner or
occupier was liable to continue the specified steps and, if in default of fulfilling the
requirements of the original notice requirements, could be brought before the court
and convicted.
If an amenity notice was served during the process of selling, the vendor was to
disclose it to the purchaser, and if the notice was served before an exchange of
contracts, the requirements of the notice was to be provided for in the contract.

As with the majority of legislation, an appeal mechanism was incorporated.

Should the requirements of the amenity notice not be carried out within the period allowed by

the planning authority, the authority was enforced to enter the land, carry out the works, and
recover the costs from the current owner of the land. The current owner could then attempt
to recover the costs from the person who caused or permitted the land to reach its condition
at the time the notice was served.
The Amenity Notice effectively applied the Polluter Pays Principle, albeit indirectly the
owner pays the local authority, the polluter pays the owner.
Further legislation dealing with contaminated land was introduced in the Environmental
Protection Act 1990, (EPA 90) whereby enforced Statutory Nuisance provisions were
available to local authorities. Part III of the Environmental Protection Act 1990, particularly
Section 79, refers to the definitions of statutory nuisance as including any:

premises which are in such a state as to be prejudicial to health or a nuisance;

accumulation or deposit which is prejudicial to health or a nuisance;
dust, steam, smell or other effluvia arising on industrial, trade or business premises
and being prejudicial to health or a nuisance.

Local authorities were under a duty to inspect their areas from time to time to detect such
statutory nuisances, and to investigate any complaints. Section 80 of the EPA90 required the
local authority to serve an abatement notice when it is satisfied a statutory nuisance exists it has no discretion in this matter (although the serving of a statutory notice is subject to the
Secretary of State's consent).
The abatement notice must be served on the person responsible for the nuisance. Where
more than one person is responsible, the notice is served on all of them. The notice requires
the person to abate the nuisance or prohibit or restrict its occurrence or recurrence, and to
carry out such works as are necessary. There is an appeal mechanism to be instituted within
21 days of the serving of the notice.
In 1990, the House of Commons Select Committee on the Environment reported on
contaminated land, and took the view that government policy was not satisfactory in that:

the narrow definition of contaminated land in use at that time excluded much land
that was actually contaminated;
there were little reliable data;
because the policy was aimed at redevelopment, little use was made of the available
legislation for clean up and prevention of contamination;
there were limitations on the technical guidance and remediation techniques
available.

The governments reply to this report (Contaminated Land: the Government's Response to
the First Report of the House of Commons Select Committee on the Environment : 1990) did
not accept all the conclusions of the Committee, but did agree that more and better
information was required on the extent of contaminated land.
The government introduced powers through section 143 of the Environmental Protection Act
1990 (and Section 61 in respect of landfill sites) for local authorities to compile registers of
contaminated land based on the very broad definition of 'any use of land which may cause it
to be contaminated'. By regulations, the Secretary of State for the Environment was to be
able to:

specify contaminative uses of land;

prescribe the form of the register and the particulars to be held in it;
make any other provisions appropriate to the register.

Local authorities were to keep the register, and the register would be readily available for
viewing by the public. The government consulted on the introduction of contaminated land
registers in May 1991 in England and Wales, and August 1991 in Scotland.
However, severe opposition to the proposals were expressed by the financial institutions,
which revolved around the effects on property values and blight on land, and the
government was subjected to fierce lobbying, resulting in a postponement of the introduction
of the registers. In July 1992, the government issued draft regulations under Section 143 of
the Environmental Protection Act, but eventually withdrew its proposals in favour of a wide
ranging review. The lobbyists appeared to have won the battle but, as future legislation
would testify, not the war.
An interim consultation paper - 'Paying For Our Past' - was issued in March 1994 as a
result of the review, which:

set out the existing policy and framework for contaminated land and its potential
liabilities,
considered the difficulties of allocating responsibility between site owners, polluters
and the public sector bodies, and
described the key issues to be resolved.

After extensive consultation, the government published its final report - 'Framework for
Contaminated Land' in November 1994, which

emphasised the governments commitment to the principles of 'SUSTAINABLE

DEVELOPMENT' and 'POLLUTER PAYS',
distinguished between the problems of past pollution and future problems, and
retained the dominant concept of a 'SUITABLE FOR USE' approach, which had
embodied previous policies.

This latter approach was highlighted as the more cost effective and pragmatic way of dealing
with the problem, compared with the approach taken by some other countries, for example,
the Netherlands and the USA, of 'restoration to pristine conditions'.
The use of RISK ASSESSMENT techniques was introduced to evaluate the actual or
potential risk to human health or the environment from sites destined for redevelopment,
taking into account the proposed future use of the site and regulatory action was that
remedial work should only be undertaken where contamination posed an unacceptable
actual or potential risk to human health or the environment, and where there were suitable
means of remediation available, taking into account the proposed future use of the site.
The 'Framework' document became the basis of new provisions in the 'Environment Act
1995'.
It also introduced two important definitions:
CONTAMINATION - The presence in the environment of an alien substance or agent, or
energy.
POLLUTION - The introduction by humans into the environment of substances, agents or

energy in sufficient quantity or concentration as to cause hazards to human health, harm to

living resources and ecological systems, damage to structure or amenity, or interference with
legitimate uses of the environment.
The need for clear statutory law resulted in a new Part IIA being inserted in the
Environmental Protection Act 1990, an amendment brought about by Section 57 of the
Environment Act 1995. This introduced new provisions covering contaminated land which
superseded the use of Statutory Nuisance provisions as a means of dealing with
contaminated land.
With these new provisions, a debate developed over the liability of owners and occupiers of
contaminated land, especially for the cost of remediation. New legislation the
Contaminated Land Regulations (CLR) dealing with these points came into force in
England on 1st April 2000, enforced by local authorities and the environment agencies. In
addition, site occupiers using processes subject to IPPC are regulated by a separate regime,
which essentially prohibits further land-contaminating activity on such sites.
The Contaminated Land (Wales) Regulations 2001 were enforced on 1 July 2001, and the
provisions of Part IIA came into force in Scotland on 14th July 2000.
4.7 European Policy on Contaminated Land.
The European Commission has also been actively considering contaminated land. In 1993,
the Commission published a Green Paper on remedying environmental damage. The paper,
whilst extending over a wider environmental area than contaminated land, was relevant to
this subject as it discussed liability for environmental damage.
Criminal and civil liability was distinguished, as well as fault-based and strict civil liability
regimes. It examined the issues of:
definition of environmental damage;
limits of liability;
possible defences;
initiation of legal action;
role of insurance and compensation schemes;
application of retrospective legislation.
The UK government formed the view that it did not support a general European-wide civil
liability system for environmental damage.
4.8 EC Groundwater Directive.
The EC 'Directive on the protection of groundwater' (80/68/EEC) is also relevant to
contaminated land issues, since it serves as a pro-active control on the discharge of
dangerous substances into groundwater.
List I substances (taken from the list in the Annexes of the EC 'Dangerous substances
directive' (76/464/EEC)) must be prevented from entering groundwater, and List II
substances must be controlled. The substances defined by these lists are very often
substances found in contaminated land, and the Directive may be a means used by the

Environment Agency and SEPA of limiting future contamination on sites where such
substances are used, or have been used.
The tipping or disposal of List I and List II substances would be subject to a new system of
authorisation in cases where the existing waste management licensing system does not
apply.
Notices would be issued prohibiting or controlling other activities in, or on, the ground which
involve List I and List II substances, where this is necessary, to prevent the entry of List I
substances, or the pollution of groundwater from List II substances.
European business and industry support
NICOLE (Network for Industrially Contaminated Land in Europe) is the principal forum that
European business uses to develop and influence the state of the art in contaminated land
management in Europe. See: http://www.nicole.org
Land and groundwater contaminated by industrial activity is a significant problem affecting all
industrialised countries. While businesses and authorities are striving to identify and manage
such problems responsibly and cost-effectively, they are often doing so without a clear
understanding of the complexities or the scientific and technological aspects of the problem.
NICOLE has been created to bring together problem holders and researchers throughout
Europe who are interested in all aspects of contaminated land. NICOLE began in 1996 as a
Concerted Action of the Environment and Climate RTD Programme of the European
Commission. It is now almost entirely funded through its membership, which is open to both
Public and Private Sector organisations.
NICOLE is industry-led and provides a forum for the dissemination and exchange of
scientific and technical knowledge and ideas relating to all aspects of industrially
contaminated land. Its overall objective is to assist the management of soil and groundwater
problems.
4.9 Statutory Definition of Contaminated Land.
As previously stated, there had been no statutory definition of contaminated land before that
contained in Section 78A of the Environmental Protection Act 1990 (actually in the
Environment Act 1995) and Contaminated Land Regulations 2000. Commonly-used terms in
relation to contaminated land were Brown Land and Derelict Land, although they are not
always used in the correct context. Brown Land is considered to be land that has been put to
one or more previous uses. Derelict Land is land that is no longer in use and which requires
some effort in order to bring it back into use. Derelict Land may or may not be contaminated.
What is contaminated land?
In the UK, land that is contaminated has been, and still is, defined as the presence in the
environment of an alien substance or agent, or energy. In the context of deciding whether
land is actually causing, or can trigger off, environmental problems, this definition is not
specific enough. In reality, by contaminated land is meant POLLUTED LAND, since, the
consideration is the impact of harm caused by the presence of polluting substances.
Nevertheless, the expression 'Contaminated Land' prevails, but it must be recognised
always that the pollution status of the land is the prime consideration.

The statutory definition of contaminated land.

Section 57 of the Environment Act 1995 contains the framework for identifying and
regulating contaminated land. The English regulatory details are found in the Contaminated
Land Regulations (with parallel provisions in Scotland, Wales and Northern Ireland).
This legislation places a duty on local authorities to inspect their areas in order to identify
land which falls into a new statutory definition of contaminated land. The land then becomes
subject to a number of provisions to ensure that unacceptable risks to health and the
environment are controlled. The local authority must maintain a register of contaminated
land.
Section 78A of the Environmental Protection Act 1990 defines contaminated land as:
Any land which appears to the local authority in whose area it is situated, to be in such a
condition by reasons of substances in or under the land, that:
significant harm is being caused or there is a significant possibility of such harm being
caused; or
pollution of controlled waters is being caused or is likely to be caused.
Because of the requirement for assessment of harm or pollution before land is classified, not
all land containing contaminants will actually come to be classified as contaminated. The
potential harm must be to human health, plants, animals, buildings, or controlled waters
along a pathway verifiably present on site.
Under section 78X, a local authority may consider the combined effects of two or more
different sites which might together lead to significant harm, and both sites would then be
classified as contaminated land, even though one on its own would not be so classified.
Land adjacent to the jurisdiction of a particular local authority may also be included in such
an assessment.
Paragraph 89 of Schedule 22 of the Environment Act 1995 also says that if contaminated
land provisions apply, the statutory nuisance provisions of Part III of the Environmental
Protection Act 1990 cannot be used in respect of that land.
Harm is further defined (EPA 1990 S.78, A4) as:
Harm to health of living organisms or other interference with the ecological system of which
they form part and, in the case of man, includes harm to his property.
Interpretation of the term significant harm is taken as for:

Human beings: death, disease, serious injury, genetic mutation, birth defects or the
impairment of reproductive functions. Disease is to be taken to mean the unhealthy
condition of the body (or part thereof), which might include cancer, liver dysfunction
or extensive skin ailments.
Living organisms or ecological systems, an irreversible or other substantial adverse
change in the functioning of the habitat or site.
Property (crops, including timber), produce grown domestically or on allotments for
consumption, livestock, other owned animals, wild animals which are the subject of
shooting or fishing rights, diminution of yield, loss of value due to death, physical

damage, and for food, when it is no longer fit for the purpose intended and fails to
comply with food safety legislation.
Property (buildings), structural failure or substantial damage making them unfit for the
intended purpose.

4.10 Statutory Guidance DEFRA Circular 2006/01.

Guidance (DEFRA Circular 2006/01 Statutory Guidance on the Regulations) is available to
local authorities to help interpret the key issues.
The Guidance covers:

Definition of contaminated land, including the definition of significant harm.

Identification of contaminated land and special sites.
Remediation of contaminated land.
Exclusion from and apportionment of liability for remediation.
The recovery of the costs of remediation.

Environmental Liability Directive (2004/35/CE 21st April 2004)

The Environmental Liability Directive came into force in April 2004. The UK incorporated the
Directives provisions into national law on 30th April 2007. The Directive is aimed at
preventing environmental damage by forcing industrial polluters ('operators') to pay
prevention and remediation costs. The Directive is one of the most controversial, and
potentially far-reaching, pieces of environmental legislation negotiated by the EU to date.
Key elements
The Directive aims to establish a framework that would prevent 'significant environmental
damage' or rectify damage after it has occurred.
'Significant environmental damage' will be defined by reference to:

biodiversity, whether protected at EU or national levels;

waters covered by the Water Framework Directive; and
human health (including land contamination when it is a threat to human health).

The Directive provides specific criteria to assess when damage is significant.

Member States will be under a duty to ensure that the necessary preventative or restorative
measures are actually taken. Member States can decide when measures should be taken
by:

the relevant operator;

the competent authorities; or
a third party.

Operators carrying out "hazardous" activities will be held strictly liable (i.e. there is no
requirement to show fault or negligence) for preventing or restoring any damage caused by
those activities to land, water and protected habitats and species. In addition, operators
carrying out other, less harmful, activities will be held liable when damage to protected
habitats and species has been caused by their fault or negligence.

Member states may exempt operators from clean-up costs if the damage:

is caused by pollution released within the terms of emission permits; or

occurred despite the use of best practice.

If this happens, governments will not be obliged to cover the costs themselves.
Operators will automatically be exempt from having to compensate for damage caused :

by war or an 'act of god'; or

by a third party, despite having taken all safety measures.

Damage from nuclear and maritime accidents falls outside the regime's scope and remains
subject to existing treaties.
Question 11.
In the UK contaminated land is defined as the presence in the environment of an alien
substance or agent or energy
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

5.0 Environmental Hazards Associated with Contaminated Land.

Industrial prosperity and activity has left a legacy of industrial waste on and around existing
and former industrial sites. Up until 1974, when the Control of Pollution Act 1974 was
introduced, occupiers were perfectly entitled to bury any waste materials on their land
without first obtaining a licence. Growth in UK prosperity has also led to increasing volumes
of domestic and industrial waste being produced. This has been buried traditionally, first in
small local sites, and then in larger municipal sites with varying degrees of effective control.
These former industrial practices and waste disposal activities have resulted in a patchwork
of sites that contain materials which are harmful to humans, flora and fauna and damaging to
property.
The diversity of industrial and commercial activity which has taken place in the UK has been
vast and in consequence, the range of pollutants which may be present is large. They range
from heavy metals, such as lead, arsenic, cadmium, chromium and mercury from the metal
industries; to corrosive acids and alkalis from the chemical industry, tars and ferrocyanides
from former gas works; and asbestos from shipyards, railway sites and other factory sites.
Contamination can add constraints on the use of land due to the possible effects on human
health, flora, fauna, water quality and building materials. An awareness of the consequences
and implications of contaminated land have increasingly become an issue of concern in
recent years in both the UK and Europe. The profile of contaminated land issues has been
increased due to:

The need to develop urban land now derelict after the run-down and

decommissioning of primary industries.

The pressure to recycle urban and inner city land rather than utilise green-field
sites.

The need to take emergency action where sites are found to present an immediate
hazard or are causing environmental damage.

The main environmental impacts of contaminated land are on soil and water quality.
Soil refers to ground conditions beyond the topsoil layer with which most people are familiar.
Water includes groundwater and surface waters, e.g. aquifers, rivers and lakes.
Contaminants can exist as chemicals and/or biological agents, process by-products, or
waste materials, and may present a variety of hazards to human health, the environment
and/or to construction materials.
The presence of contaminants in land may be of concern in respect of:

currently operating sites;

sites allocated for development;
road and rail network developments;
sites occupied by 'sensitive'human uses, such as housing or schools;
designated sensitive ecological sites, such as Nature Reserves, SSSIs, etc;
the known 'problem' sites, such as documented old waste-disposal sites; and
the yet-to-be-discovered problem areas, such as unrecorded, forgotten, or illegally
operated waste disposal sites.

In general, contamination can be found associated with several current and past uses of
land as: industrial sites, agricultural activities, and domestic activities (although
contamination is rarely to the same degree).
A wide range of current and past industrial land usage can cause contamination in certain
circumstances. In the UK, land that is considered most likely to be contaminated has been/is
associated with, but are not restricted to, the following industrial uses:
19th Century Industrialisation

Coal and mineral mining and preparation

Smelters, foundries, steel works and metal processing and finishing

installations

Heavy engineering and engineering works e.g. car manufacture, ship building
Electrical and electronic equipment manufacture and repair
Gasworks, coal carbonisation plants, power stations
Oil refineries, petroleum storage and distribution sites
Manufacture of asbestos, cement, lime and gypsum
Manufacture of organic and inorganic chemicals including pesticides,

pharmaceuticals, detergents and cosmetics

Rubber industry, including tyre manufacture

Munitions production and testing sites
Glass-making and ceramics manufacture
Textile industry, including tanning
Paper and pulp manufacture, and printing works
Timber treatment
Food processing industry
Railway depots, dockyards, garages, road haulage depots, airports
Landfill and incineration of waste
Sewage works and farms
Burial of diseased livestock
Scrap yards
Dry-cleaning premises
Abandoned (derelict) sites

Many human activities have caused land contamination. In the UK, areas are still affected by
the legacy of Roman lead mining, while the rapid industrialisation in the 19th and 20th
centuries greatly expanded the area of contaminated land. More recently, various incidents
have drawn attention to the hazards that contaminated sites can pose - for example:

necessary evacuation of inhabited areas due to ingress of harmful substances from

neighbouring aged landfills;

health risks from surfacing pollutants in gardens of recently developed houses;

health risks from chemicals migrating from old industrialised sites to adjacent
housing;

explosions in houses and other buildings situated on or close to operating and closed
landfill sites;

basements and underfloor areas flooded with fuel from leaking underground storage
tanks (LUSTs);

damage to construction materials by aggressive chemicals in the ground;

loss of potable groundwater due to leaching from contaminated sites;

damage to rivers due to runoff from contaminated sites or abandoned mines; and

damage to ecological systems.

In practice, land in industrial use becomes contaminated through a multiplicity of

mechanisms, including:

discharge to air mainly airborne emissions from processes or stacks, but includes
the disposal of waste plastic, wood, paper, etc on the familiar bonfire round the back
of the plant, where airborne discharges of hazardous substances, such as dioxins,
can be spread over a very wide area;

discharge to land and water due to leakage during storage of materials, particularly
from underground tanks or pipes which can persist unnoticed for long periods;

discharge to land and water due to spillage, particularly during transport of materials;

on-site waste disposal, which can generate contaminated 'hot spots' on otherwise
clean sites;

demolition of vacated plant and buildings, which, if not carried out with all due care,
can release residual harmful substances still stored on the site, and hazardous
building materials such as asbestos, but also includes: accidental destruction of
buildings, plant and associated materials due to major catastrophes, such as, fires,
earthquakes, premeditated destruction of buildings resulting from, for example, war
and terrorist activities

Mechanisms, such as leaks and spills, can be minimised by good site management, but
absence of controls can cause serious problems. In the UK, the discharge and waste
disposal mechanisms are regulated by the EA (assuming the discharge practice is officially
authorised). However, in the past, pollution control was often less stringent than it is
nowadays, commonly because the hazards were simply not known. Thus, the legacy of
contaminated sites results more from former, rather than current, uses. The polluting
activities on some sites may date back so far as to prevent identification, particularly if these
sites have already been redeveloped. Other widespread legacies include those from closed
landfill sites which can give rise to groundwater pollution from leachate outflow, and fire and
explosion hazards from migrating landfill gas.
In general, the most severe examples of contamination are found in industrial and urban
areas; nevertheless, rural areas can also be affected. Competently managed use of
materials such as fertilisers, pesticides, herbicides and fungicides may pose no long-term
detriment to the environment; however, excessive applications, or use in particularly
sensitive areas, can lead to land or groundwater becoming contaminated.
The Nitrate Sensitive Areas (NSA) Scheme operated in 32 selected areas in England
(predominantly in Lincolnshire, Nottinghamshire and the West Midlands) under the EC agrienvironment measures. The Scheme was voluntary and compensated farmers for 5 year
undertakings to significantly change their farming practices to help reduce nitrate pollution of
supplies of drinking water. The 32 Nitrate Sensitive Areas, including 10 former Pilot areas
originally designated in 1990, covered approximately 35,000 hectares of eligible agricultural
land.
The Scheme was closed to further new entrants in 1998 following the Governments
Comprehensive Spending Review, although existing agreements continued for their full
term.
All the NSAs fell within the areas designated as Nitrate Vulnerable Zones (NVZs) in 1996
under the EC Nitrate Directive (91/676/EEC). Farmers in NVZs are required to comply with
mandatory Action Programme measures designed to protect both groundwaters and surface
waters against pollution caused by nitrate from agriculture.
Several examples of rural contamination have been cited where treatment by certain
fungicides on some orchards has caused lead and arsenic to build up to levels sufficient to
prevent the establishment of new trees.
It is fair to say that information on formerly common use of substances such as lead and
arsenic-based fungicides is readily accessible, and a well-prepared site investigation of land
previously used as an orchard would always incorporate analysis for such. Nevertheless, in
any site investigation, the unexpected can happen.

5.1 Regulation.
Regulatory Structure And Responsibilities
Historically, the development of land has been controlled through the planning process. This
continues to be the case in the UK with the addition of legislation relating to contaminated
land.
Prior to the Contaminated Land Regulations 2000, there were already a number of pieces
of legislation relating to the management of contaminated land. These include:

Water Resources Act 1991.

Part IIA, EPA 1990.
Anti-Pollution Works Regulations 1999.
Planning Law.
Water Industry Act 1999.
Health & Safety at Work, etc. Act 1974.
Town & Country Planning Act 1990.

The Pollution Prevention and Control Regulations 2000 aim to prevent future
contamination and an assessment of the state of the land is required as part of the permit
application process through the provision of a Site Condition Report.
Note that the Environmental Permitting Programme (EPP), a joint Environment Agency,
Defra and Welsh Assembly Government initiative, streamlined the waste management
licensing and pollution prevention control regimes from April 2008.
The focus was on streamlining and simplifying the nuts and bolts of environmental permitting
and compliance systems (e.g. the processes of obtaining, varying and transferring permits),
beginning with Waste Management Licensing, Pollution Prevention and Control. It was
designed so that it could be extended to other systems in the future.
Criminal liability arises out of a breach of statutory legislation which results in prosecution by
the appropriate regulatory authority. The UK has had a strong planning control process in
place since the 1940s. Although there has been more recent legislation, the planning
process will still play an important role in the control of the redevelopment of contaminated
land. Of the legislation listed above, the two main statutory liabilities could be considered as
falling under the following:

Statutory liability for clean-up of water pollution Part IIA of the Environmental
Protection Act 1990 and Water Resources Act 1991.
Statutory liability for the clean-up of contaminated land Part IIA of the
Environmental Protection Act 1990.

Part IIA of the Environmental Protection Act 1990

The Environment Act 1995 amended the Environmental Protection Act 1990 to introduce
Part IIA: Contaminated Land.
The primary legislation has been in force since 1990 and 1995, and regulations bringing the
requirements into force were finally enacted on 1st April 2000 under the Contaminated
Land Regulations 2000. The Contaminated Land (England) Regulations 2006
consolidate the 2000 regulations and the 2001 amendment regulations. The new
Regulations also make provision for an additional description of contaminated land that is

required to be designated as a special site, land which is contaminated land as a result of

radioactive substances in, on or under that land.
Local authorities serve a central role in relation to the contaminated land legislation. They
have the responsibility to identify contaminated land within their area and, as necessary, the
powers to serve a remediation notice on the appropriate person.
Planning and development control
The local authority retains planning jurisdiction to deal with development of contaminated
land. Obtaining planning permission for the development of a potentially contaminated site
will usually be subject to the completion of a satisfactory site investigation and clean-up, as
necessary. The Environment Agency is a statutory consultee in the planning process and
contaminated land is a material consideration in the planning process.
The problems associated with the re-use of contaminated land falls within the scope of
planning legislation.
DoE Circulars 21/87 and 22/87 gave advice that contamination was a 'material
consideration' for planning purposes. However, Planning Policy Guidance (PPG) Note 23
superseded the advice in those earlier Circulars; this has now been superseded by Planning
Policy Statement (PSS) 23.
PSS 23 (section 4) says that although contamination is subject to regulation under pollution
control legislation, contamination - or the potential for contamination - can be a 'material
planning consideration' and should be taken into account at various stages in the planning
process, including the preparation of development plans and the determination of planning
applications. In case of dispute, the courts are, however, the ultimate arbiters of what
constitutes a material consideration in any particular planning case. In Scotland, similar
guidance is given in Planning Advice Note 33.
In carrying out their duties, planning authorities must consider whether there is a hazard,
what further information is required, whether the proposed use could give rise to a health
hazard to future occupiers and what steps should be taken to reduce risks to an acceptable
level. Responsibility for providing the information on contamination rests with the developer
of the land, although planning authorities have their own advisers to interpret the information
given to them.
The types of site which might obviously be contaminated include gas works, industrial sites,
landfill sites, sewage works sites etc. Planning Policy Guidance Note 12 sets out how such
matters should be considered in relation to development plans.
Land which is already known to be contaminated should be brought to a standard suitable
for its intended or actual use. Planning authorities are to use experts to assess the situation
and when it is intended to build on the site, special attention should be given to the Building
Regulations 2000 where they apply.
Amenity notices
Certain types of contaminated land may be subject to planning powers designed to
safeguard amenity. This is a fairly loose term, and relates to (for example) visual impact or
disagreeable odours that impact the senses of people in the neighbourhood.

If it appears to a local authority that the amenity of part of its area is adversely affected by
the condition of land, an amenity notice under section 215 of the Town and Country Planning
Act 1990 may be served on the owner or occupier of the land to remedy the situation.
New building and development control
As far as new building development is concerned, the Building Regulations, SI 2000/2531,
require precautions to be taken to avoid any danger to health from substances in, or on, the
ground which is to be covered by the building in question.
The precautions may consist of remedial action to the land itself. If subsequent information
indicates that the site is more contaminated than previously thought, in England and Wales,
further action is available through the use of various powers in the Public Health Act 1936,
and the Building Act 1984.
There are parallel powers in Scotland and Northern Ireland.
Environment Act 1995
On the wider questions of contaminated land, section 57 of the Environment Act 1995
contains the framework for identifying and regulating contaminated land. The English
regulatory details are found in the Contaminated Land Regulations 2000 (with parallel
provisions in Scotland, Wales and Northern Ireland).
This legislation places a duty on local authorities to inspect their areas in order to identify
land which falls into a new statutory definition of contaminated land. The land then becomes
subject to a number of provisions to ensure that unacceptable risks to health and the
environment are controlled. The local authority must maintain a register of contaminated
land.
The Environment Act 1995 created an Environment Agency for England and Wales (the
Agency) and a separate Scottish Environment Protection Agency (SEPA). The Agency and
SEPAs principal function concerns pollution control. However, in relation to contaminated
land they are responsible for special sites (see earlier notes). They have the powers to
prosecute polluters, for example for river pollution, and to serve Works Notices to stop
activities on a site that may have the potential to contaminate.
For any single property transaction or site development, there may be a number of
regulatory parties involved in the resolution of any environmental problems associated with
contaminated land.
Contaminated land and water pollution
The Environment Agency's Policy and Practice for the Protection of Groundwater (and the
corresponding one for Scotland produced by the Scottish River Purification Board
Association) aims at prevention of future problems. The policy is a context for decisions to
be placed, and is not intended to be prescriptive because of the complexities of assessing
movement of pollutants in the subsurface. The policy is underpinned by published
groundwater vulnerability maps and groundwater protection zones.
In the case of abandoned mines, difficulties of definition of abandonment, and the exclusion
from effective controls by section 89(3) of the Water Resources Act 1991 were seen as

significant problems. The Groundwater Regulations 1998 cover this in detail.

The Environment Agency has powers to carry out works to prevent pollution occurring from
contaminated land under section 161 of Water Resources Act 1991, as amended by Section
60 of the Environment Act 1995. Under these provisions, the Agency may carry out
preventative works and operations in a case where pollution appears likely to enter
controlled waters.
Alternatively, where the polluting matter appears to be (or has been) present in controlled
waters, the Agency may carry out works and operations to remove or dispose of the
pollutants, remedy any pollution, and as far as is reasonably practicable, restore the waters
to their state immediately before the pollution was introduced.
The power may only be used if it is necessary to act immediately and no person can be
found on whom to serve a works notice (see below). The Agency may carry out
investigations to identify the source of the matter and the person who has caused or
knowingly permitted it to be present in the waters or at a place from where it can enter
controlled waters. The costs of such investigations may be recovered from the person who
caused or knowingly permitted the contamination - and this would include any person who
has an interest in the land, and has permitted matter to be present on it which, in the
Agency's opinion, is likely to enter controlled waters.
Works notices
Powers under section 161 of the Environment Act 1995 allow the Agency to serve a notice
requiring works to be carried out where it appears that any poisonous, noxious or polluting
matter is likely to enter controlled waters.
These complement the other powers concerned with contaminated land (such as
remediation notices). They allow the Agency to require a polluter to carry out the works
which the Agency would have carried out itself. Because groundwater is a controlled water
(as defined in section 104 of Water Resources Act 1991), such notices may be used to deal
with contaminated land - which will almost inevitably contain groundwater.
Definition of 'contaminated land'
Section 78A of the Environmental Protection Act 1990 (actually in the Environment Act
1995), defines contaminated land as:
any land which appears to the local authority in whose area it is situated to be in such a
condition by reasons of substances in or under the land, that:
significant harm is being caused or there is a significant possibility of such harm being
caused; or
pollution of controlled waters is being caused or is likely to be caused.
Because of the requirement for assessment of harm or pollution before land is classified, not
all land containing contaminants will actually come to be classified as contaminated. The
potential harm must be to human health, plants, animals, buildings, or controlled waters
along a pathway verifiably present on site.
Under section 78X, a local authority may consider the combined effects of two or more

different sites which might together lead to significant harm, and both sites would then be
classified as contaminated land, even though one on its own would not be so classified.
Land adjacent to the jurisdiction of a particular local authority may also be included in such
an assessment.
Paragraph 89 of Schedule 22 of the Environment Act 1995 also says that if contaminated
land provisions apply, the statutory nuisance provisions of Part III of the Environmental
protection act 1990 cannot be used in respect of that land.
Contaminated land liability is divided broadly into two main categories:

Criminal Liability, which involves being prosecuted by a regulator for breach of

legislation.
Civil Liability, where action is taken by a third party.

Duties of the Regulators in Respect of Contaminated Land

There are considerable civil liabilities associated with contaminated land issues. Under the
regime, the Local Authorities have a duty to identify contaminated land within their area, and

Creation of a duty on the local authority and Environment Agency to require clean-up
of site in particular cases and the power to serve a remediation notice.
Determination of those responsible for remediation and allocation of liabilities to
appropriate persons.
Consultation between all parties, i.e. appropriate person, local authority and Agency
regarding level of remediation required.
if the land is identified as being contaminated, determine whether the land is a
Special Site, i.e. the land is severely contaminated.

5.2 Effect of Remediation Notices Served Under Part IIA of the Environmental
Protection Act 1990.
Responsibility in Respect of Contaminated Land Remediation Notices
The authorities can serve a Remediation Notice requiring work to be carried out (such
notices can be appealed against as with H&S notices). These Notices may be served on the
current owner or occupier of the land, if the person who originally caused the contamination
is not known.
The regulations require that registers of the Notices and works done be kept.
In certain cases, the Environment Agency may be the enforcing agency (this occurs when
the degree or nature of the contamination requires special designation).
Appropriate Persons in Terms of Contaminated Land Regulations
The appropriate person in the context of this legislation is divided into two categories:
Class A persons who caused or knowingly permitted the presence of substances which
result in the site contamination.
Class B persons who are the owner/occupier in the event that the Class A person cannot

be found.
Exclusions from liability apply to both classes. For example, Class B persons are not liable
for remediation of land which is contaminated by reason of actual or threatened water
pollution or for the remediation of controlled waters. If one or more persons are found within
Class A, then a series of exclusion tests can be carried out. The tests are applied in
sequence where those covered by Test 1 are more likely to be excluded than those covered
by Test 6:

Test 1 Excluded activities.

Test 2 Payments made for remediation.
Test 3 Sold with information.
Test 4 Changes to substances.
Test 5 Escaped substances.
Test 6 Introduction of pathways or receptors.

Where a group of persons is deemed liable, liability will be on an apportionment basis

compared to the joint and several approach taken in the US.
Offences
Failure to comply with a remediation notice carries, on summary conviction, a fine of 20,000
plus a further fine of one tenth of 20,000 for each day that the offence continues.
There is also an offence under the Water Resources Act 1991, Section 85 in respect of
polluting controlled water.
Public Registers
Each local authority has a duty to maintain a public register of particulars relating to
contaminated land and remediation notices, appeals, special sites, and convictions for
offences.
Land: Soil
EU Thematic Strategy for Soil Protection, including proposals for a Soil Framework
Directive
Introduction
The European Commission adopted the Thematic Strategy for Soil Protection on 22nd
September 2006. This contains a Communication, proposals for a Soil Framework Directive
and an Impact Assessment.
Defra, the Scottish Executive and the Welsh Assembly Government ran a public consultation
exercise on the Commissions proposals. The consultation closed on 19th October 2007.
Background
The Council of Europe's European Soil Charter (1972) recognised the importance of the soil
resource. Since then European countries have undertaken various activities to better protect

their soil.
A workshop was held in Bonn in December 1998, to help determine the current status of soil
conservation in Europe and to establish a platform for further soil protection activities. The
workshop was well attended by representatives from EU Member States, EU accession
countries and Norway and Switzerland.
In response to concerns about the degradation of soils in the EU, and in accordance with the
6th Environmental Action Programme agreed between the European Council and
Parliament, the European Commission adopted a Communication "Towards a Thematic
Strategy for Soil Protection" in April 2002. This was supported by Member States, including
the UK.
Five technical working groups, with representatives from Member States, were assembled to
help develop the Thematic Strategy. These groups examined three of the eight identified
threats to soils - erosion, decline in soil organic matter and soil contamination, and they
examined two cross-cutting themes - monitoring and R&D. Working group final reports were
published in April 2004.
An eight-week internet consultation open to all EU citizens on these proposals took place
during summer 2005 (closed 26th September 2005). Statistical results of the consultation
are summarised on the European Commission's website, and more detailed feedback will be
included in the Commission's final Communication.
Following the conclusions of these Working Groups and the consultation, the Commission
proposed a Soil Framework Directive and also a non-legally binding thematic strategy. This
proposal is now being considered by the European Parliament and Member States through
the Council of Ministers.
Content of the Soil Thematic Strategy
The Soil Thematic Strategy is seeking to:

establish common principles for the protection and sustainable use of soils;
prevent threats to soils, and mitigate the affects of those threats;
preserve soil functions within the context of sustainable use; and
restore degraded and contaminated soils to approved levels of functionality.

As drafted, there are six main elements to the Directive:

i. Article 3 A requirement to consider the impacts that new policies will have on soils while
they are being developed;
ii. Article 4 - A duty on all landusers to prevent or minimise harm to soils;
iii. Article 5 A duty to limit or mitigate the effects of soil sealing (the covering of the soil
surface with an impermeable material such as concrete);
iv. Article 6-8 A requirement to reduce the risks relating to soil erosion, organic matter
decline, compaction, salinisation, and landslides, by identifying risk areas, and deciding on a
programme of measures to address these risks;
v. Article 9-14 A requirement to prevent soil contamination, compile an inventory of

contaminated sites and remediate those sites listed on the inventory;

vi. Article 15-17- A requirement to raise awareness of soil issues, reporting to the
Commission, and exchanging information.
vii. The Commissions 2002 Communication Towards a Thematic Strategy for Soil
Protection also identified the decline in soil biodiversity as a threat. This is not specifically
addressed in the proposals due to the knowledge gap but it may be that Article 4 (duty on all
landusers to prevent or minimise harm to soils) would require some steps to be taken to
protect soil biodiversity.
At the EU Environment Council meeting on 20th December 2007, Environment Ministers
were unable to reach political agreement on European Commission proposals for a Soil
Framework Directive . It remains unclear if and when further work on these proposals will
take place.
UK Position
The new Soil Strategy for England sets out an ambitious vision to improve the sustainable
management of soil and tackle degradation within 20 years. It covers a range of sectors
including agriculture, land management, planning and construction and provides a strategic
framework for action that should facilitate Defras work with delivery partners.
Building on the First Soil Action Plan for England (2004-2006), the aim is to ensure that
Englands soils are better protected and managed to optimise the varied and important
functions they perform so that, amongst other things, we maintain a sustainable food supply
and develop resilience to a changing climate.
The focus is on four main themes:

the sustainable use of agricultural soils;

the role of soils in mitigating and adapting to climate change;
protecting soil functions during construction and development; and
preventing pollution and dealing with historic contamination.

Question 12.
Class A appointed persons, as defined under the Contaminated Land Regulations, is a
person who caused or knowingly permitted the presence of substances which result in the
site contamination
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

5.3 Designation as Special Sites.

A duty of inspection is placed on local authorities to identify contaminated land and
designate special sites to the Agency. Special sites are those that appear to be in such a

condition as to cause serious harm, or serious pollution to controlled waters.

A site will be a Special Site if it is contaminated land of the following descriptions
a. land affecting controlled waters in the circumstances specified in regulation 3 (see below);
b. land which is contaminated land by reason of waste acid tars in, on or under the land;
c. land on which any of the following activities have been carried on at any time :
(i) the purification (including refining) of crude petroleum or of oil extracted from petroleum,
shale or any other bituminous substance except coal; or
(ii) the manufacture or processing of explosives;
d. land on which a prescribed process designated for central control has been or is being
carried on under an authorisation, where the process does not solely consist of things being
done which are required by way of remediation;
e. land on which an activity has been or is being carried on in a Part A(1) installation or by
means of Part A(1) mobile plant under a permit, where the activity does not solely consist of
things being done which are required by way of remediation
f. land within a nuclear site;
g. land owned or occupied by or on behalf of
(i) the Secretary of State for Defence;
(ii) the Defence Council,
(iii) an international headquarters or defence organisation, or
(iv) the service authority of a visiting force, being land used for naval, military or air force
purposes;
h. land on which the manufacture, production or disposal of
(i) chemical weapons,
(ii) any biological agent or toxin which falls within section 1(1)(a) of the Biological Weapons
Act 1974(restriction on development of biological agents and toxins), or
(iii) any weapon, equipment or means of delivery which falls within section 1(1)(b) of that Act
(restriction on development of biological weapons),has been carried on at any time;
i. land comprising premises which are or were designated by the Secretary of State by an
order made under section 1(1) of the Atomic Weapons Establishment Act 1991
(arrangements for development etc of nuclear devices);
j. land to which section 30 of the Armed Forces Act 1996 (land held for the benefit of
Greenwich Hospital) applies;
k. land which is contaminated land wholly or partly by virtue of any radioactivity possessed
by any substance in, on or under that land; and
l. land which:

(i) is adjoining or adjacent to land of a description specified in any of subparagraphs (b) to

(k); and
(ii) is contaminated land by virtue of substances which appear to have escaped from land of
such a description.
Regulation 3
(a) controlled waters which are, or are intended to be, used for the supply of drinking water
for human consumption are being affected by the land and, as a result, require a treatment
process or a change in such a process to be applied to those waters before use, so as to be
regarded as wholesome within the meaning of Part 3 of the Water Industry Act 1991(water
supply);
(b) controlled waters are being affected by the land and, as a result, those waters do not
meet or are not likely to meet the criterion for classification applying to the relevant
description of waters specified in regulations made under section 82 of the Water Resources
Act 1991(classification of quality of waters); or
(c) controlled waters are being affected by the land and
(i) any of the substances by reason of which the pollution of the waters is being or is likely to
be caused falls within any of the families or groups of substances listed in paragraph 1 of
Schedule 1 to these Regulations; and
Paragraph 1 of Schedule 1
organohalogen compounds and substances which may form such compounds in the aquatic
environment;

organophosphorus compounds;
organotin compounds;
substances which possess carcinogenic, mutagenic or teratogenic properties in or
via the aquatic environment;
mercury and its compounds;
cadmium and its compounds;
mineral oil and other hydrocarbons;
cyanides.

(ii) the waters, or any part of the waters, are contained within underground strata which
comprise wholly or partly any of the formations of rocks listed in paragraph 2 of Schedule 1
to these Regulations.
Paragraph 2 of Schedule 1

Pleistocene Norwich Crag.

Upper Cretaceous Chalk.
Lower Cretaceous Sandstones.
Upper Jurassic Corallian.
Middle Jurassic Limestones.
Lower Jurassic Cotteswold Sands.
PermoTriassic Sherwood Sandstone Group.
Upper Permian Magnesian Limestone.
Lower Permian Penrith Sandstone.
Lower Permian Collyhurst Sandstone.
Lower Permian Basal Breccias, Conglomerates and Sandstones.

Lower Carboniferous Limestones.

6.0 Methods of Investigating Contaminated Land & Groundwater.

Review of the development of Contaminated Land guidance to date
Following the US reaction to Love Canal, in the UK in 1976, the Interdepartmental
Committee for the Redevelopment of Contaminated Land (ICRCL) was set up to consider
the problems associated with the development of contaminated sites.
Specifically, the remit of ICRCL was to establish guidance documents:

to ascertain probable contaminated land as a result of particular historical and

contemporary usage,
to identify likely contaminative parameters associated with previous use,
to recommend suitable site investigation and sampling strategies,
to determine the acceptable levels of contaminative parameters, and
to advocate suitable remediation methods to alleviate determined contaminated sites.

The committee published comprehensive guidance on:

The development and after-use of landfill sites - ICRCL 17/78

The redevelopment of gasworks sites - ICRCL 18/79
The redevelopment of sewage works and farms - ICRCL 23/79
The redevelopment of scrap yards and similar sites - ICRCL 42/80
The assessment and redevelopment of contaminated land - ICRCL 59/83
Fire hazards of contaminated land - ICRCL 61/84
Asbestos on contaminated sites - ICRCL 64/85
The restoration and aftercare of metalliferous mining sites for pasture and grazing ICRCL 70/90

These documents were continually reviewed, with some having as many as eight editions in
only twelve years. They were quite useful documents, albeit simplistic, limited and
considered total parameters only, but - in some specific instances - they were contradictory
and misleading. Nevertheless, they had formed the mainstay of UK contaminated land
guidance since publication and, to this day, form a definitive contamination suite requested
by some developers, planners and contaminated land consultants.
The only other major guidance of note in the UK came about in October 1979 when Mr R T
Kelly, the then scientific advisor to the Greater London Council (GLC), delivered a paper
entitled, Site Investigation and Material Problems, to the Society of Chemical Industry
Conference on the reclamation of contaminated land, which considered the risks to several
recognised targets.
He produced several useful lists, but only one is regularly reproduced, which is entitled:
"Guidelines for Contaminated Soils - Suggested Range of Values (mg per kg) on air dried
soils - except for pH", and has become familiarly known as 'Kelly's List'. It was used initially
by the GLC but was quickly adopted by many waste regulation authorities in the UK, and, in
1991, was adopted by the Health & Safety Executive citing the list in the HSE document
"Protection of Workers and the General Public during Development of Contaminated Land'.
Like the ICRCL documents, Kelly's List is rather limited, although detailing more
contaminative parameters than ICRCL, and also included 'available' metals as well as totals,

but, again, cites misleading guidance on 'acceptable' levels.

Since 1991, much consideration of protection of groundwater has taken place, with the
emergence of several acts, regulations and directives. The former National Rivers Authority
(NRA) published a report in 1994 explaining the importance and context of contaminated
land and water pollution; this was followed up by a detailed report concerning abandoned
mines specifically dealing with land which had been contaminated by that activity. These
reports emphasised that the true extent of contaminated land was really unknown since the
available data were scarce and unreliable. The reports examined the possible sources of
funding available to deal with contaminated land, and identified the inadequacies in the use
of existing water legislation, principally the Water Resources Act 1991, in overcoming
present problems, and preventing future ones; advisory guidance was introduced in the
NRA's Groundwater Protection Policy (and in Scotland the Association of River Purification
Boards introduced a corresponding document) which considered the prevention of future
problems. The main problems caused by abandoned mines were identified as due to two
main problems associated with the Water Resources Act 1991:

the definition of abandonment was vague, and

abandoned mines were excluded from effective controls by Section 89(3) of the
Water Resources Act 1991.

The introduction of the Groundwater Regulations in 1998 was to deal with this in detail.
Most importantly, the NRA reports also emphasised that the potential for release of
contamination increases during development of land due to necessary disturbance.
Accordingly, an attempt was made to classify contaminated soil by the leachate it produced.
The results were made available in 1994 and published as a Research and Development (R
& D) Note 301.
In 1997, R & D Note 310 was reviewed by the Environment Agency and an interim guidance
document was issued - the 'Proposed Contamination Thresholds for Disposal'.
Both documents consider a limited list of contaminative parameters - basically, the ICRCL
list plus some common water parameters such as BOD and COD - in laboratory-generated
leachate from soils. The leachate test was to be applied where soil samples had 'failed' the
ICRCL total content test.
Since the late 1970s, successive governments' response to environmental concerns, in
particular, the setting up of the House of Commons Select Committee on the Environment,
has resulted in the publication of several guidance documents by environment departments
DoE, DETR, DEFRA - and research establishments. These publication were specifically
designed to help in the investigation and designation of contaminated land.
Various legislative support material has been published:
Circular 17/89 (Department of the Environment), Circular 38/89 (Welsh Office): Landfill Sites:
Development Control : DOE & WO 1989
Several Planning Policy Guidance documents have been issued:

Planning and Waste Management (PPG10) : DETR 1999

Planning and Pollution Control (PPG23) : DoE 1994

Development on Unstable Land (PPG14) : DoE 1990

Annex 1 Development on unstable land: landslides and planning : DoE 1996

Technical Guidance, in addition to the ICRCL publications, was made available in the form of
a series of reports financed under the Contaminated Land Research (CLR) Programme,
which deals with information needed to assess risks, procedures for categorising and
assessing risks and evaluation and selection of remedial methods.
The purpose of the reports was to provide regulators, developers and other interested
parties with authoritative and researched advice on how best to identify and assess the
problems contamination can pose and what can be done to tackle them. They are generic in
nature, not site-specific, and cannot address the specific circumstances of each site, since
every site is unique.
The lists of CLR, TOX, SGV, R&D, CLR Research and CLAN documents are included
in the Appendices
Industry Profiles
The DoE Industry Profiles provided developers, local authorities and anyone else interested
in contaminated land, with information on the processes, materials and wastes associated
with individual industries. They also provided information on the contamination which might
be associated with specific industries, factors that affect the likely presence of
contamination, the effect of mobility of contaminants and guidance on potential
contaminants. They are not definitive studies but they introduce some of the technical
considerations that need to be borne in mind at the start of an investigation for possible
contamination. The studies specifically deal with the sites listed in the Appendices.
Further useful publications have been made available by other government departments and
bodies, namely:

AEA - The Government's Warren Spring Laboratory merged with AEA Technology
on 1st April 1994 to form the National Environmental Technology Centre. Warren
Spring publications on contaminated land are available from them.

Building Research Establishment (BRE).

Concerted Action on Risk Assessment for Contaminated Sites in Europe

(CARACAS).

Construction Industry Research and Information Association (CIRIA).

Contaminated Land: Applications in Real Environments (CLAIRE).

Health and Safety Executive (HSE).

6.1 Site Investigation & Assessment of Contaminated Land.

The available abundance of new legislation, guidance and support material, and research
reports enabled improvements to both protection of land (sustainable development) and the

identification and remediation of contaminated land.

The legislation is established to protect and remediate land where necessary, but
enforcement depends on the actions and abilities of the local authorities and the
Environment Agency. The statutory definitions and controls - and the continually reviewed
published material - should make identification of contaminated land more comprehensible.
Clearly, what is still not know for certain is the extent of land contamination due to
unrecorded historical practice, illegal customs, mistreatment of land (agricultural fertiliser
over-usage), etc.
Identifying Contaminated Land - the questions
Before a decision can be reached whether land is fit to be used for a particular purpose,
answers to the following are required:

What substances were/are used on or deposited into land?

What potentially harmful substances are naturally occurring?
Where are waste disposal sites situated?
How should site investigations related to contamination surveys be carried out?
How should representative sampling of sites be carried out?
For which substances, including the particular speciation, should environmental
samples be analysed?
What methods should be used to analyse environmental samples?
What concentration of these substances is significant?

Contaminative substances associated with industrial processes

Initial surveys concentrated on a restricted number of potentially contaminated land - those
associated with use as landfill sites, gasworks sites, sewage works and farms, scrap yards
and similar sites, metalliferous mining sites and problems associated with certain materials
on site that presented fire hazards, or, more specifically, dealt with asbestos.
DEFRA have produced several 'Industry Profiles'; the information has been augmented by
Syms 'Desk Reference Guide to Potentially Contaminative Land Uses', 1998, which
undertakes the ranking and scoring of sites used by a multitude of different industries, by the
probability that they will require remedial action.
The main environmental impacts of contaminated land are on soil and water quality.
Soil refers to ground conditions below the topsoil layer with which most people are familiar.
Water includes groundwater and surface waters, e.g. aquifers, rivers and lakes.
Since contaminants are chemical substances; they are usually described using chemical
terms and groups, for example, contamination may be caused by significant heavy metal
concentrations such as lead, nickel, arsenic, cadmium, mercury, zinc, or boron in the soil.
Organic contaminants can include oil, fuel, and solvents. The latter are also sometimes
referred to as hydrocarbons or chlorinated hydrocarbons due to their chemical make-up.
Inorganic contaminants include sulphates, sulphides and asbestos.
Contamination can also be caused by the presence of landfill gas, which includes methane,

carbon dioxide and hydrogen sulphide. At appropriate concentrations, the mixture of landfill
gases can be explosive and asphyxiant. Contaminants can associate themselves with the
soil by attaching particles to the soil, or by entering the groundwater. Contaminant behaviour
within a soil or water medium varies according to the nature of the soil and the nature of the
contaminant; e.g. a clay will inhibit migration of mobile contaminants, unlike sand; oils tend
to float on groundwater while some solvents, particularly chlorinated solvents, will sink.
Different types of contaminants can occur on any one site. The effects of such contaminants,
if present at significant concentrations, can include toxicity (human, flora and fauna),
corrosion, flammability and aesthetic degradation.
Naturally occurring 'harmful' substances
In the 1990s, British Geological Survey (BGS) completed an in-depth analytical program of
soil analysis in the UK, detailing naturally occurring elements of significance to contaminated
land assessment, and also at areas of known historical industrialisation (e.g. the Black
Country). Another survey also identified areas of the UK associated with Radon emission.
Prior to this time, information on site specific background element concentrations was scant.
Sites of Waste Disposal
Since the introduction of the Control of Pollution Act in 1974, and its subsequent redefinition
and incorporation into the Environmental Protection Act 1990, sites associated with waste
disposal were identified by issue of licences. Prior to this time, waste disposal could - and
did - take place anywhere; these 'unmarked' sites still exist. Of course, illegal waste disposal
is still taking place today.
Site investigation and sampling strategies
The ICRCL recommended site investigation and sampling strategies cited were brief
introductory guidance only. A BSi Draft for Discussion Code of Practice for the investigation
of contaminated land was introduced in 1975, superseded in 1988, but was finally published
as a completely revised and fully accredited document in 2000 as BS 10175 : 2000 Investigation of potentially contaminated site; Code of Practice.
Other guidance was introduced in 1981 as BS 5391 - Code of Practice for Site
Investigations; this standard was superseded in 1999 to the BS 5930:1999.
Parameters selected for analysis of land and water samples were - and in many cases still
are - limited to the ICRCL guidance, occasionally incorporating the additional parameters
cited in Kelly's List; this is true even though the ever-increasing information available
associated with former industrial usage of sites provides an indication of the a vast range of
'novel' contaminated parameters likely to be found.
Contemporary Practice - Risk Assessment
Risk Assessment has become the essential tool for site investigations as the
Environmental Protection Act (EPA) Part IIA requires a risk based approach to be used
when to assessing potentially or actually contaminated sites. This risk-based approach is
also required as part of the planning process for new developments.
Phased Site Investigation

Legislation and guidance regarding contaminated land requires the landowner and/or the
developer of a site, which is potentially contaminated, to undertake a site investigation which
is fit for purpose.
Site history is often complex and could involve several different industrial uses or activities
that may have lead to ground contamination from a wide variety of different sources. Sites
that have been used for one type of process may have become contaminated from a
potentially large number of contaminants; processes change with time, chemicals are
phased out of use and newer ones replace them, the layout of operations can be altered,
demolition and reconstruction can also affect the likely presence and distribution of
contaminants.
The long-awaited Contaminated Land Exposure Assessment (CLEA) Model designed to
assess land contamination in line with the Risk Assessment scenario, was made available in
March 2002; CLEA software and associated Contaminated Land Reports have been
updated and issued. However, CLEA is limited since it addresses even fewer parameters
than ICRCL considered, and is concerned with the impact on human health only.
Thus, although site usage guidance is readily available, modern site investigation protocols
have been published and very accurate analytical chemistry equipment exist, guidance on
several polluting substances and analytical methods to determine their concentration in soil
and water is still limited. Whilst several software models to assist in determining acceptable
levels of contaminants, or remediation targets, in both soil and water have been introduced,
predominantly by professional companies, analytical chemistry procedures are still not
standard in the UK.

BS 10175 : 2000 (superseding BSI DD 175/88)

This British Standard 10175 : 2000 code of practice covers the investigation of potentially
contaminated sites and also land with naturally enhanced concentrations of potentially
harmful substances. It superseded DD175:1988 which was withdrawn. This standard is
intended for use by those who have some understanding of the risk-based approach to sites
and site investigations.
The document outlines the process for setting the objectives of an investigation, and sets a
strategy for the investigation which may include phases of

preliminary investigation,
exploratory investigation,
main investigation and
supplementary investigation.

It describes in detail how to conduct a preliminary investigation, the development of the

conceptual model and how to design and plan a field investigation (exploratory, main and
supplementary) with considerations for sampling (soil and water) and on-site testing.
Environmental and health and safety considerations, different methods of conducting a site
investigation with non-intrusive and intrusive techniques, the collection of soil, water, gas
and radioactive samples, and laboratory analysis and reporting issues are considered and
discussed.
Annexes provide information on site investigation examples, health and safety aspects, gas
monitoring well construction, a nine point representative sampling method and the suitability

of sampling containers.
The investigation of contaminated land can be complex and is ideally undertaken using a
phased approach as identified in BS 10175. The need for, and hence the cost of, particular
elements of an investigation may be managed proactively depending upon the findings of
the previous phase. Subsequent phases can then be carefully targeted. This avoids
unnecessary work being undertaken.
The phased approach typically consists of the following stages.
6.2 Site Investigation - Phase 1 Desk Study.
A historical search and review of available information from sources such as archives, plans
and records, databases, previous site investigations and regulatory authorities is performed
together with site appraisal by a walkover survey. This enables establishment of the past
and current activities at a site in order to assess them for potentially contaminative
processes and promotes the determination of the potential for the presence of
contamination. The investigation will also identify any potentially sensitive receptors, e.g.
humans, surface watercourses, aquifers, buildings or ecological receptors and collate the
information relating to the sites environmental setting i.e. geology, hydrogeology, industrial
activity, location of controlled waters (canals, estuaries, lakes, ponds, rivers, springs,
aquifers), pollution incidents and proximity to open/closed landfill sites.
This information is then used to undertake a Qualitative Risk Assessment through the
development of a conceptual model for the site, which identifies any Significant Pollutant
Linkages present. If Significant Pollutant Linkages are present, a Phase 2 site
investigation may be required to quantify the risk, and also to assess the potential for
environmental liability associated with the site.
6.3 Site Investigation - Phase 2 Intrusive Investigation.
An intrusive site investigation is undertaken to investigate each aspect highlighted by the
Phase 1 desk study. This encompasses the construction of exploratory holes using the most
appropriate method for the site to investigate the local subsurface strata.
The Phase 2 intrusive contaminated land investigation is designed and implemented, using a
variety of in situ exploratory methods, depending on factors such as sensitivity of the area,
ground conditions (anticipated geology, hydrogeology, the presence of old foundations or
other obstructions, which may have an impact on the technique selected), size of site, and
type of contaminants identified by the desk study as potentially present.
Chemical analysis of soil and water samples for selected contaminants is performed to
establish the concentration and extent of any contamination present.
A Risk Assessment, using the source-pathway-receptor model is then carried out, which
may be Qualitative or Quantitative dependent upon the site.
Contamination generated by sites with a history of industrial use can impact upon a number
of environmental receptors, one being groundwater. Therefore, if a sensitive water receptor
such as groundwater is identified beneath (or within the vicinity of) the site, then the
investigation can also involve assessment of groundwater, using chemical analysis of water
samples and computer modelling aided by various packages to quantify the risks posed.
Geological strata containing water that underlies a site may be classified as an aquifer. The
presence of an aquifer beneath a site can have implications for the intrusive investigation

and also the redevelopment and further use of the land.

An aquifer can be defined as a deposit of rock, permeable by groundwater that may be used
to supply groundwater abstraction wells and may also support springs and be in hydraulic
continuity with the water in rivers or other aquifers.
There are a number of different geological strata across the UK that are classified as
aquifers. Abstraction wells from these aquifers are used for potable supply and varied
industrial and agricultural uses. The Environment Agency classifies all aquifers as controlled
waters but divides them into three categories:

Major Aquifer: highly productive and used for potable supply on a regional scale.
Minor Aquifer: maybe important for water supply locally.
Non Aquifer: negligibly permeable, containing insignificant quantities of
groundwater.

Factors that will influence the vulnerability of an aquifer to contamination from industrial sites
include

whether the aquifer is classed as confined or unconfined;

the depth of the aquifer;
whether the Major Aquifer is overlain by a Minor Aquifer that is in hydraulic continuity
with; and
the soil vulnerability.

The ability of a soil to attenuate pollutants is dependent upon a number of factors related to
its lithology. There are three classes and six sub classes of soil vulnerability classification
groups for UK soils. The groups are based on the natural ability of the overlying strata to
attenuate and adsorb contamination and is based on many factors including physical and
chemical properties, texture, structure, grain size, soil water regime, rate of drainage and
permeability, clay content and soil type.
Some strata have a high leaching potential and have very little ability to slow or halt the
progress of contaminants and transmit them readily to the underlying aquifer. Other strata
have a low leaching potential and are thus either impermeable or have a number of natural
factors that can slow or stop the leaching of contaminants.
Confined Aquifer: This is an aquifer that lies between two aquitards - strata that do not
allow water flow. The overlying impermeable strata can give a degree of protection to the
aquifer from the leaching of contamination from the surface.
Unconfined Aquifer: The upper boundary represents the water table and there is no
overlying capping layer of impermeable strata, also known as a water table aquifer.
Potable Supply
The Environment Agency divides the area surrounding an abstraction borehole used for
potable supply (source) into Source Protection Zones (SPZ) that are defined as follows:
Inner protection zone: Defined by a 50-day travel time for groundwater to reach the source
(abstraction borehole) or defined by a minimum of 50 metres.
Outer protection zone: Defined by a 400-day travel time from any point below the water

table to the source, or the minimum time recharge area required to support 25% of the
protected yield, whichever is the greater.
Total Catchment: Defined as the area around the source within which all groundwater
recharge is presumed to discharge at that source.
A contaminated site located within an SPZ for potable supply gives rise to concern and the
need for investigation to assess the impact of the site upon the groundwater within the
underlying aquifer.
Investigation of Groundwater
Determination of the potential impact of a contaminated site upon an underlying aquifer is
required by the Environment Agency and local authority, especially if the site is underlain by
an unconfined Major Aquifer or the site lies within an SPZ for a groundwater abstraction
borehole. These issues should be investigated prior to a site being redeveloped to assess
the following aspects:

Whether past contaminative processes undertaken at the site have had significant
impact upon the groundwater.
The level of contamination that may be present within the groundwater.
The hydraulic gradient and direction of groundwater flow beneath the site.
Baseline data for the groundwater before any development or remediation
commences.
Monitor the short term and longer term impact of remediation excavations and/or
installation of foundations such as deep piles on the groundwater.
Do remedial measures need to be used to decontaminate the groundwater.

Data collected from groundwater monitoring may be used to undertake groundwater Risk
Assessments in conjunction with a number of computer based modelling packages and
Environment Agency Guidance.
6.4 Site Investigation - Phase 3 Remediation Design, Execution and Validation.
If remediation is deemed necessary following the Phase 2 works and results of the Risk
Assessment, then a site specific remediation may be determined. Design of a site specific
remediation methodology, as with all stages of investigation, involves consultation with the
regulatory authorities to ensure satisfactory design and implementation of the remediation
programme.
This can include delineation of contamination hot spots, further soil sampling, chemical
analysis and additional monitoring if additional information is required to supplement the
previous investigation(s).
A wide range of remediation techniques are available and the methods chosen are
dependent upon a range of factors including contaminant type and distribution,
environmental sensitivity of the site, intended end use, cost and timescale etc.
6.5 Groundwater Regulations 2009.
Groundwater and contaminated land are often interconnected, and pollution from
contaminated land can cause groundwater pollution. Groundwater pollution often occurs
slowly from leaking underground storage tanks or wash-off of contaminated rainwater from
roads or factory yards. Groundwater pollution is very difficult to detect and is usually first
discovered by the abstractor, who notices an unpleasant taste or odour. If the abstractor is

supplying water for the public supply system, he is obliged to carry out many quality tests
which will detect contamination.
By this time, the pollution may have affected a considerable volume of water over a large
area. Groundwater vulnerability mapping has taken place in the UK and maps can be
purchased showing aquifers and other vulnerable areas. Information is available on the
Environment Agencys website. There are considerable criminal and civil liabilities
associated with groundwater pollution. Groundwater is a vital water source for a large
percentage of the UK population, and polluting an aquifer can have widespread and longterm consequences.
The major groundwater contaminants are chlorinated solvents and hydrocarbons from
industrial activities, and nitrates and pesticides from agriculture. Groundwater pollution can
spread further than the original spill of substances and can persist for decades. Remediation
measures are often slow and consequently expensive, and may not be technically feasible.
As a result of its importance, groundwater is protected by law. The Directive on the
Protection of Groundwater (80/68/EEC) required the prevention of discharges of
dangerous substances. This bans List I Substances and requires that List II Substances be
investigated prior to direct or indirect discharge.
Groundwater Regulations 2009
The purpose of this instrument is to prevent the entry into groundwater of hazardous
substances (defined as substances which are persistent, bio-accumulative or toxic) and the
pollution of groundwater by non-hazardous pollutants (all other substances liable to cause
pollution). The offence of discharging pollutants which might lead to an indirect input of such
matter to controlled waters unless carried out in accordance with an authorisation granted by
the Environment Agency, originally established in the Water Resources Act 1991 and
incorporated in the 1998 Groundwater Regulations, is carried over in this instrument.
Although the Regulations cover both direct (directly into groundwater) and indirect (after
percolation through soil and strata) inputs of pollutants to groundwater, a discharge which
leads to a direct input of such matter is already an offence under section 86 of
the Water Resources Act 1991.
The Groundwater Regulations 2009 (the 2009 Regulations) transpose certain elements of
Directive 2000/60/EC, the Water Framework Directive (WFD), as they relate to groundwater
and Article 6 of Directive 2006/118/EC, the 2006 Groundwater Directive, a daughter
Directive of the WFD. The 1980 Groundwater Directive provided for controls over discharges
to prevent pollution of groundwater and was transposed into UK law principally through the
Water Resources Act 1991 and the Groundwater Regulations 1998. Although the 1980
Groundwater Directive remains in force, in parallel with the WFD and the 2006 Groundwater
Directive, until it is repealed in December 2013, new authorisations/permits will be granted in
accordance with the 2006 Directive and these regulations taking into account the EU
Common Implementation Strategy guidance No. 17 1. Given the WFD obligation to provide
no lesser degree of protection than under the 1980 Groundwater Directive, this instrument
combines relevant requirements of that Directive with transposition of the WFD and the 2006
Groundwater Directive. The 1998 Regulations are repealed.
The 2009 Groundwater Regulations will in due course be absorbed into the Environmental
Permitting Regulations 2007(EPR) which it is anticipated will be revoked and replaced in
2010. The EPR streamlined and amalgamated separate waste and pollution control systems
within a single environmental permitting process.

It is the intention that the second phase of the Environmental Permitting Programme will
incorporate groundwater authorisations and the 2009 Groundwater Regulations have been
prepared in parallel with this in mind. It was necessary to make the 2009 Groundwater
Regulations in the interim in order to meet the 2006 Groundwater Directives transposition
timetable. The move to EPR will not involve changes of principle other than to provide for a
single environmental permit to cater for all relevant areas of regulation on any one site.
Changes to the 1998 Regulations
List I and List II substances replaced by hazardous substances and nonhazardous
pollutants.
List I substances will in effect become a sub-set of hazardous substances and List II a subset of non hazardous pollutants. In future, hazardous substances will be defined by their
intrinsic properties of persistence, bioaccumulation or toxicity (PBT) in groundwater rather
than by reference to a prescribed list.
Exemptions and Authorisations
The main changes are that radioactive substances (RAS) and domestic effluents from
isolated dwellings (essentially those from septic tanks) are no longer exempted from
groundwater controls. At the same time the range of exemptions is widened to include all
those relevant to groundwater in the WFD and those listed in the new
Groundwater Directive.
Review of authorisations
The consultation document proposed that the four year review period for authorisations
should be replaced by either a 6-yearly review (to synchronise with
river basin management plan cycles) or a risk-based approach. The latter would provide for
review at any time after 2012 depending on priorities and impacts, without
maximum or minimum periodic time limits, such that the EA would determine the scope and
extent of reviews based on risk.
Other issues and next steps
It is envisaged that groundwater controls will be transferred to the Environmental Permitting
Regulations in 2010. This will provide the opportunity to deploy other controls which will be
available under EPR, in particular light-touch forms of regulation such as codes of practice
and general binding rules (GBRs) in conjunction with registration schemes. GBRs which aim
to cover diffuse sources of pollutionsuch as septic tanks and exemptions for dredging is
expected to be consulted on during the EPR consultation. The aim of these Regulations is to
implement the 1980 Directive, and protect groundwater from pollution.
Statutory Codes of Practice may be issued by the enforcement authorities as deemed
necessary; for example, there is a Code of Practice for Underground petrol and diesel tanks
at petrol station and fuel dispensing facilities. This came into force in November 2002, with
the aim of preventing leaks entering groundwater. The code requires operators to carry out a
risk assessment and if a significant risk is identified, to carry out improvement as agreed with
the Environment Agency.
A code on the use and disposal of organophosphate sheep dip compounds has also been
drafted.
The Environment Agency, SEPA and the NI Environment and Heritage Service have agreed
and jointly published Pollution Prevention Guidelines; there are currently 26 of these
guidance documents aimed at preventing pollution of controlled water (which includes
groundwater). They cover a wide variety of topics and are available through the Environment
Agency and are also on the Agency website.

7.0 Assessment of Contamination.

Introduction
Assessment of risks to human health from land contamination
The Environment Agency estimates that there are some 300,000 hectares of land in the UK
affected to some extent by contamination left by industrial activity.
To protect neighbourhood communities and the environment, local authorities are required
under legislation introduced in 2000 to identify contaminated land and to make sure it is
properly investigated and dealt with.
The Government also wants to bring damaged land back into use and to avoid blight on
such sites. Both these objectives involve taking into account the risks to human health and
the environment posed by contaminants.
In the 1980s, the UK was one of the first countries to propose trigger concentrations of
certain contaminants in soil, which if exceeded, would prompt further investigation.
In 1992 and in response to a House of Commons Select Committee on the Environment
report, the then Department of the Environment initiated research to develop a scientific
framework for assessing the risks to human health from land contamination.
The first outputs of this research programme were launched on 14th March 2002 at the
Barbican Centre, London. The package consists of four main reports (CLR 7, 8, 9 and 10)
and supporting toxicology reviews and Soil Guideline Values (SGVs) for individual
substances.

CLR7: Assessment of risks to human health from land contamination. An overview of

the development of guideline values and related research.
CLR8: Potential contaminants for the assessment of land.
CLR9: Contaminants in soil. Collation of toxicological data and intake values for
humans.
TOX: Toxicological reports.
CLR10: The Contaminated Land Exposure Assessment (CLEA) model. Technical
basis and algorithms (includes software).
SGV: Soil Guideline Values.

Together, they provide a coherent and consistent approach for assessing risks to human
health from contaminated soil. This approach can be used to support Part IIA of the
Environmental Protection Act 1990 and the Town and Country Planning Acts. Decisions
regarding contaminated land and brownfield sites can now be based on sound science, thus
removing doubt and potential blight from many sites.
The development of the CLEA model and the Soil Guideline Values is an on-going
programme of work supported by the Department for Environment, Food and Rural Affairs
(Defra), the Environment Agency, and the Scottish Environmental Protection Agency.
Future publications will include evolution of the CLEA model, its technical basis and
algorithms, as well as further individual toxicology reviews and Soil Guideline Values to
expand the list of substances for which information is already available.

Risk Assessment
Risk Assessment forms the core of the contaminated land investigation and assessment
process. The purpose of investigations is to obtain information on sources, pathways and
receptors present on or adjacent to a site. The presence of a linkage between these may
then constitute a risk, the significance of which must be assessed and is dependent upon a
number of factors.
Essentially, the process seeks to determine what risk, if any, is created by the presence of
contaminants by determining if there are pathways through which the contaminants may
impact sensitive receptors, and if the risk is acceptable or not.
This need to make judgments about the degree of risk is crucial in determining what action
to take. In many cases, it is often neither feasible nor realistic to think in terms of total clean
up of past damage. The overall approach in dealing with past land contamination is therefore
one of risk assessment and management, identifying, assessing and judging risks, taking
actions to mitigate them, as well as monitoring and reviewing progress.
Risk is a combination of the probability, or frequency, of occurrence of a defined hazard and
the magnitude of the consequences of the occurrence.

Pollutant Linkage
In the context of land contamination, there are three essential elements to any risk:

Source (contaminant) a substance which is located in, on or under the land and
has the potential to cause harm to human health, water resources, buildings, or the
wider environment;
Pathway the means or route by which a source of contamination can migrate, an
identified receptor can be exposed to, or be affected by an identified source;
Receptor something which could come to harm, including human health, water
resources, surface water courses, buildings or the wider environment.

Each of these elements can exist independently. They create a potential risk only when they
are linked together - the combination of contaminant pathway - receptor is known as a
pollutant linkage.
On any individual site, a single pollutant linkage, or a number of different pollutant linkages,
may be present. Different pollutant linkages may also be related. The same receptor may be
linked to a number of different contaminants via the same migration pathway. Contaminants
can migrate to a receptor via more than one pathway, and receptors may be at risk from
more than one source of contamination.
Phase 1 and Phase 2 site investigations are used to identify potential sources, pathways and
receptors. Each pollutant linkage needs to be separately identified, understood and dealt
with, if appropriate.
If a pollutant linkage is absent, there is no risk even if a contaminant is present. Where
there is a pollutant linkage, and therefore some measure of risk, it is important to identify
whether that risk is significant. The level of risk needs to justify the actions taken to deal with
the risk.

The question of whether risk is unacceptable in any particular case requires scientific and
technical assessment of the circumstances on the site and the use of appropriate criteria to
judge the risk combined with professional judgment. In some cases, it is possible to use
contaminant fate and transport modelling through complex risk assessment models to
determine the level of risk present.
Most commonly, the Contaminated Land Exposure Assessment (CLEA) model is used to
make a preliminary generic assessment of the significance to human health of contaminants
found; other models such as SNIFFER, RBCA, the Environment Agency Remedial targets
Methodology - Hydrogeological Risk assessment for Land Contamination models may be
used to make assessments, dependent upon the nature of the sources, pathways and
receptors identified.
The nature and level of risk is defined by variability in the condition and circumstances of any
particular piece of land. The details of the use of the land itself, as well as the surrounding
land, determine whether particular receptors and pathways are present and, if they are, the
extent to which they might potentially be affected by contamination. The same concentration
of a contaminant can have widely differing implications in different circumstances. Risk
assessment allows this to be considered in a structured and pro-active way so that
appropriate and cost effective decisions are taken.
With most risk assessments related to human health, consideration is based on total
parameter content of soil and water. Two further techniques are emerging as useful tools;
these are parameter speciation and bioavailability.
Speciation
Some metals exist in various forms (species) dependent on the oxidation state of the
element; some species are more toxic than others, for example, Arsenic is a ubiquitous
element. Its toxicity, mobility, and bioaccumulation depend usually on its chemical form, and
therefore, arsenic speciation is indispensable for the assessment of environmental risk and
human hazard.
Arsenic exists in the environment as As+5, As+3, As0, and As-3, the first two being the most
common forms found. The toxicity of As+3 is several magnitudes greater than that of As+5;
thus determination of the quantity and type of species present in the environment, rather
than total arsenic, would provide more useful data to use when performing the risk
assessment evaluation.
Bioavailability
Several assessment models generate guidance values based on worst case scenarios of
toxicity and uptake in the human body. Physiologically-based Extraction Tests (PBET) allow
the determination of the quantity of a contaminant that may be absorbed into the human
body following ingestion of soil/water containing that contaminant. The in vitro test
determines the bioaccessible and bioavailable portion of contaminant present in
environmental samples.

Definitions of terminology:

the bioaccessibility of species defined as that portion of contaminant in the soil

that is available for uptake into biological systems, and

bioavailability which refers to the extent to which bioaccessible contaminants can

be transported across biological membranes of organisms and be available for
biochemical processes.

7.1 Trigger Concentrations.

The NEBOSH syllabus requires that you have knowledge and understanding of BS DD
175/88 and the Trigger Values recommended by the Interdepartmental Committee on the
Redevelopment of Contaminated Land in ICRCL Guidance Note 59/83 (2nd edition), the DoE
technical document used to help assess land contamination. However, both were withdrawn
by DEFRA in 2002 and replaced with BS EN 10175:2001 and CLEA 2002 (Contaminated
Land Exposure Assessment model).
For our purposes, the situation is rather complicated because, whereas the ICRCL Trigger
Values applied to the substances which pose an environmental risk (e.g. phytotoxic), the Soil
Guideline Values (SGVs) derived using the CLEA probabilistic model apply to substances
which pose a risk to human health, i.e. the characterisation parameters are not quite the
same; and some environmentally damaging substances may be of negligible risk to human
health via exposure to contaminated soil. SGVs supersede ICRCL values in regard to
assessing risk to human health, but they are utilised for only three types of land use:
residential, allotments and commercial/industrial; therefore they do not cover open land or
parks, etc. They can be used in connection with the formal requirements of Part IIA (the
Contaminated Land Regime) of the Environmental Protection Act 1990.
Techniques for the characterisation of contaminated land are still developing and where
there are no SGVs available at present, the historical values from the ICRCL/Dutch model
would be referred to, although they no longer have legal status. The Environmental Agency
has commented that there is a current lack of understanding of how to use and interpret the
data generated by field technologies, and a lack of published information about their
application. A number of publications and guidelines are available to practitioners which
provide Best Practice guidance for the process of assessing contaminated land. They
include publications from British Standards, DEFRA (former DETR and DoE), CIRIA
(Construction Industry Research and Information Association), BRE (Building Research
Establishment), ICRCL (Interdepartmental Committee on the Redevelopment of
Contaminated Land) and CLEA (Contaminated Land Exposure Model). Many of these
publications provide guidelines on specific contamination issues, such as methane gas and
land remediation methods.
Assessment values, known as Trigger Concentrations, for a number of contaminants are
provided in ICRCL Guidance Note 59/83 and 87 (see Tables in the Appendix to this study
unit; but note that DEFRA document CLAN/02 states that they should no longer be quoted
or used). Acceptable concentrations of a range of heavy metal and organic contaminants are
provided according to end use categories. Note: that while these assessment criteria are
widely used, they only apply to a select range of contaminants in soil.
ICRCL Trigger Concentrations
The history of development and introduction of contaminant limits in the UK notably those
associated with ICRCL, Kellys List, and the leachate lists developed by the NRA and the
EA have been discussed earlier in the text. Whilst these lists serve as useful introductory
text to contaminated land evaluation, they are limited, sometimes misleading, and

oversimplify contaminated land assessment.

The contaminant lists are tables citing the contaminant of interest, associated with one or
more columns of numbers that inform on the concentration of that contaminant in soil or
water above which, the soil or water is considered unfit for use. This is analogous to the
prescribed standards for Drinking Water (The Water Supply (Water Quality) Regulations)
which lists a series of parameters and a maximum allowable concentration above which the
water is considered unfit to drink. A human-health risk assessment has been performed, and
the generic limits provided as a legal requirement. It is a quality control requirement on each
UK Water Company to ensure their product complies with the current legal requirement.
Drinking water is produced mainly for consumption by humans, considered to be the most
appropriate sensitive receptor, and the risk assessment has taken this into account.
However, the environment is utilised for several different purposes by several different
receptors, and land and water varies throughout the UK in its properties and behaviour.
Therefore, it is not appropriate to generate a generic list, and the UK has moved away from
use of ICRCL etc to site-specific risk based assessment depending on the proposed use of
the environment. This requires identification of the current and potential pollutant linkages
(source/pathway/receptor) - taking into account proposed future receptors where the issue is
related to, for example, new housing. Nevertheless, guidelines provide useful baseline
criteria but should be only utilised as such, and not as definitive environmental limits.
Prior to the current scenario in the UK, the most commonly used soil contaminant list was
that cited in The Assessment & redevelopment of Contaminated Land - ICRCL 59/83,
which was officially withdrawn by DEFRA in December 2002. The document considered the
omnipresent demand for land suitable for development and the need for reclamation and
redevelopment of sites contaminated by some previous usage. The list introduces the
concept of threshold and action trigger concentrations, for some 6 Heavy Metals, 3
Phytotoxic Metals and 1 Phytotoxic non-metal, 2 groups of organic compounds (note here
that coal tars refers primarily to PAH content), 3 groups of cyanide compounds, 3 groups of
sulphur compounds, and pH. These contaminants were based on the results of DoE directed
research on sites that had supported coal carbonisation Coal Gas generation and were
chosen as those substances that presented a hazard, or combination of hazards. These
contaminants, therefore, were those most likely to form a risk to end-uses of a site - seven
identified hazards are cited in Table 2 of ICRCL 59/83.
The Trigger Values, cited in Table 3 of ICRCL 59/83, are a series of recommended
concentrations for planned uses of a site, and are derived with particular reference to
potential human exposure, plant life considered significant to humans, e.g. vegetable
growing, and buildings to be utilised by humans. The values, therefore, do not consider the
impact on the environment in the broad sense of the word.
The Threshold and Action Trigger levels describe three possible concentration zones:
1. Contaminant concentration below the threshold value, where the site can be regarded as
uncontaminated.
2. Contaminant concentration above the action value (the presence of the contaminant has
to be regarded as undesirable or even unacceptable), where some kind of remedial action is
unavoidable.
3. The region between the two values, where there is likely to be a need to consider the
contamination and take action where circumstances demand it. The decision to do so should
be based on "informed judgement". Whilst not expanding on this statement in the document,

it is considered that it implies some sort of risk assessment, even though methodology to
carry out such had not been introduced.
The use of the trigger values, therefore, requires considerable guidance, skill and judgement
on the part of the expert using them. Unfortunately, this was rarely the case, and the trigger
values were used in an arbitrary fashion as target values.
The problem was exacerbated by the fact that, despite assurances, Action values had
never been developed for the Heavy and Phytotoxic Metals; thus, the majority of advisors
and enforcement authorities had utilised the Threshold Trigger Values as an Action level.
Other lists have been developed, refined and used by other countries. These were used in
the UK, particularly where the range of parameters far exceeded those presented in either
the ICRCL or Kelly Lists. One example of such, commonly used in the assessment of
contaminated land, are The Dutch Values (The New Dutch List 1996).
7.2 Dutch Standards.
Prior to the Contaminated Land Regulations 2000, contaminated land had, in the main, been
identified only by proposed redevelopment and associated investigation. If land did not pose
obvious hazards and was in such a state as not to be prejudicial to health or a nuisance (part
III of the Environmental Protection Act 1990), the contamination status of the land was not
worth considering.
However, in the Netherlands, the Government regarded all land as a resource that should be
suitable for any potential usage and sought to improve contaminated land. This ethos lead to
the development of guideline values known as the Dutch Guidelines (or Dutch List) which
provide Target and Intervention values for a much wider range of contaminants in soil than
provided in ICRCL 59/83, a range of 78 contaminants (including 11 PAHs) listed as soil and
groundwater optima and action levels.
The guidelines were produced by the Dutch Ministry of Housing, Spatial Planning and
Environment and the latest issue was published in 1993.
Currently, there were no available UK guidelines for assessing groundwater contamination
and so the Dutch guidelines were often used, because they also provide Target and
Intervention values for a range of contaminants in groundwater.
The Dutch guidelines had been developed to be applicable to ground conditions in the
Netherlands, i.e. high groundwater table and permeable soil. Thus the target and
intervention levels are stringent when applied to the ground conditions in the UK, e.g.
impermeable strata and deep groundwater table.
The comprehensive Dutch List includes several individual organic parameters known to be
hazardous, including aromatic hydrocarbons, chlorinated hydrocarbons, and pesticides. The
original list, known as the ABC Values, were superseded in 1998.
The interpretation of the values is very similar to that of the UK ICRCL values.
1. The optimum value is the baseline concentration value below which compounds and/or
elements are known to, or assumed not to, affect the natural properties of the soil or
groundwater.
2. The action value is the maximum tolerable concentration above which remediation is

required.
The values are cited as applicable to a standard Dutch Soil (10% organic matter and 25%
dry content) and there are several explanatory and qualifying notes appended to the list.
Where UK guidance did not exist for specific pollutants, the Dutch List was utilised
extensively in the evaluation of contaminated land.
7.3 Greater London Council Definition Table.
The Health and Safety Executive (HSE) have published Protection of Workers and the
General Public During the Development of Contaminated Land 1991, a guideline which
concentrates on health and safety aspects during redevelopment.
See Appendix at the end of this study unit for guidelines for classification of contaminated
soil with classifications of slight contamination to unusually heavy contamination.
The data were first presented by R T Kelly at a Reclamation of Contaminated Land
Conference in 1979, with the paper published in 1980. Rather than provide a single value for
a given contaminant, ranges of values are provided. These values were designed for use in
a health and safety context, or to provide a general classification of soil for disposal
purposes.
The list was presented as a series of parameters with ranges of concentration that are
applied to a choice of 5 contamination status criteria. The contamination criteria were based
on perceived contamination; a gradation was observed which promoted the use of the three
higher categories.
There is a considerable overlap in the contaminant species included with the ICRCL list, but
there are some notable differences;

there are an additional 6 metals taken into account;

the phytotoxic elements, copper, nickel, zinc and boron, are considered from the
point of view of their available concentration, rather than the total cited in the ICRCL
list, - this reflects the analytical protocol used which is intended to mimic the natural
leaching of these elements in the pore water surrounding plant roots, hence giving an
indication of the amount of material that could be taken up by plants;
lead is considered from the total and available point of view, reflecting the highly
considered importance of this element, especially in the late 1980s;
also included in the list are the contents of those materials present in soil that are
extractable in a choice of 2 solvents - toluene and cyclohexane.

Solvent extractable material contents of soils were put forward as a means to assess the
content of various organic pollutants, such as PAHs and oils. Toluene is a more polar
solvent than cyclohexane and will dissolve more substance types; that is why the values for
toluene are generally 2.5 times greater than the comparative cyclohexane value for a given
contamination status.
There are several anomalies associated with use of Kellys List, particularly when compared
to the ICRCL Trigger Values.
Example 1: Coal tars (PAHs) and solvent extracts:
A soil contains 3500mg/kg Total PAHs. Since 99%+ of PAHs are soluble in toluene,

according to Kelly, the soil would be both heavily contaminated (coal tars soil status) and
typically uncontaminated (toluene extract soil status) at the same time. But according to
ICRCL, even the highest Threshold Trigger Concentration for buildings and hard cover is
exceeded by a factor of 250%.
Example 2: Ericaceous Compost:
A proprietary ericaceous compost (used for growing acid-loving plants) comprises a
minimum organic content of 10%. This organic content is cyclohexane-soluble. The results
of analysis would therefore determine the compost to be unusually heavily contaminated
according to Kelly.
Furthermore, the pH of the compost would be approximately 4, and reference to Kellys List
confirms its contamination status. To reinforce the argument, ICRCL confirms the pH limit for
landscaping soils should be pH5.
Example 3: Metal content anomalies
ICRCL maximum arsenic limit for domestic gardens (high human exposure) = 10mg/kg;
however, Kelly cites typically uncontaminated soils may have an arsenic content up to
30mg/kg.
ICRCL maximum cadmium limit for domestic gardens (high human exposure) = 3mg/kg;
nevertheless, Kelly cites typically uncontaminated soils may have a maximum cadmium
content of 1mg/kg.
Example 4: the MAGNESIUM PROBLEM
Kellys List includes the metal parameter, Magnesium, which is not included in ICRCL.
Magnesium is considered to be the sixth most abundant metal in the earths crust, having an
average concentration of 2% (=20,000mg/kg), but can be found at levels of 14% in dolomite.
It is also the core metal atom in every molecule of chlorophyll the green plant pigment.
However, Kelly considers a soil containing more than 500mg/kg (=0.05%) to be
contaminated.
The inclusion of magnesium had caused many problems for site investigators, waste
producers, planners and other evaluators since the latter cited reference to the list and
declared that since the magnesium limit was exceeded, the material was contaminated;
consequently, a great waste of time, effort, and money has been spent removing
uncontaminated soil to landfill due to the magnesium content.
Generally, and once again, Kellys listed parameters relate more to human exposure rather
than the wider environment; this is why it was included in the Health and Safety Document.
Nevertheless, the list is still limited, even considering human exposure.
Leachate Tests
The National Rivers Authority (NRA) was a UK government agency launched in 1989. It had
responsibility for managing water resources, investigating and regulating pollution, and
taking over flood controls and land drainage from the former ten regional water authorities of
England and Wales.

In April 1996, the NRA was replaced by the Environment Agency.

In 1994, the results of a research and development programme was published as the NRA
Leachate Test. This brought about a new concept in the evaluation of soil contamination
investigation. The test mimics the dissolution of various parameters in simulated acidrainwater (distilled water conditioned to pH4 by saturation with carbon dioxide) and the NRA
list cites the proposed maximum concentration for a series of 17 parameters.
Since the NRA primarily were concerned with protection of controlled waters, especially
those designated for abstraction for drinking water production, the parameters included
some common water tests used to evaluate trade effluents, such as Biochemical Oxygen
Demand (BOD) and Chemical Oxygen Demand (COD), and also ammonia and chloride, two
polluting parameters well-known to be associated with landfill leachate. Of significance is the
first appearance of Oils/Hydrocarbons on a UK contamination evaluation guidance note. The
remainder of the list is very similar to the ICRCL list.
Thus, a guide to the recommended limits for available and/or aqueous transportable
pollutants was issued and utilised in land contamination status assessment. This was the
first use of the concept of pollutant linkage, since the source of chemicals in the land were
evaluated as to their water solubility and transfer to a receptor, namely, controlled waters;
the leachate test also provides useful data of available parameters that may be taken up by
plants.
The leachate test methodology has been refined and is used currently to further evaluate
soils, particularly with respect to the risk posed by pollution of controlled waters. Whilst
remote soils do not pose a risk of harm to human health directly by soil ingestion, inhalation,
or skin contact, they may nevertheless be included in the conceptual model due to the risks
posed, for example, by uptake by vegetables for human consumption, or deleterious impact
on the built environment.
A point of interest concerning the latter receptor; the phenomenon known as sulphate-attack
of concrete had been known since the late 1960s, and a standard test was developed and
applied to soils of known high total sulphate content to evaluate the aqueous solubility of
sulphate.
The test was first introduced in BS 1377 : 1975 and served alongside guidance documents
from the Building Research Establishment in the evaluation of soils to determine the type of
cement to be used Ordinary Portland or Sulphate Resisting in building construction in the
vicinity of sulphate-containing soils.
There is an anomaly with the NRA list and that is the leachable content of Phenols. The
actual test is a chemical analysis of the generated leachate, which itself is a 10:1 aqueous
extraction of soil. ICRCL cites a Threshold Trigger Concentration of phenols for all planned
uses to be 5mg/kg. However, the NRA list cites a proposed maximum content of leachate to
be 2mg/l. If a soil contained 5mg/kg phenols which were all water soluble, a 10:1 extract
would generate a leachate with a phenols content of 0.5mg/l. Therefore, a soil generating a
leachate of 2mg/l would have to comprise a minimum total phenols content of 20mg/kg.
A further leachate test was published in 1997 the EA Interim Guidance Document : 2nd
EDITION which almost duplicated the NRA list, but the maximum recommended levels are
much reduced. The list was intended to evaluate the contribution to generated leachate as a
result of disposal of contaminated soil in landfill; nevertheless, the list was used to assess
the potential leachate of contaminated soils. Again, the list is very similar to the ICRCL list

extended with typical water parameters, COD and conductivity.

7.4 Contaminated Land Exposure Assessment (CLEA) Model.
The current status of contaminated land evaluation in the UK is by use of the Contaminated
Land Exposure Assessment (CLEA) Model. The UK finally issued its guidance on
Contaminated Land Exposure Assessment as guidelines published by the Environment
Agency in January 2002. The following notes are provided for the purpose of the course and
general understanding.
The CLEA 2002 model (freely downloadable from the DEFRA website) is a human exposure
assessment tool, a computer-based application that combines information on the toxicity of
soil contaminants with estimates of potential exposure by adults and children living/working
and/or playing on land affected by contamination, over long periods of time. It predicts the
amount of contaminant to which they may be exposed, based on a given soil contaminant
concentration. By comparing predicted exposure with health criteria values on tolerable or
acceptable contaminant intakes, the model is used to generate Soil Guideline Values
(SGVs), which establish a contaminant concentration in soil that is protective of human
health. The CLEA model will provide a series of Soil Guidance Values for the determination
of contamination for a range of site end uses.
Most commonly the Contaminated Land Exposure Assessment (CLEA) model is used to
make a preliminary generic assessment of the significance to human health of contaminants
found; other models such as SNIFFER, RBCA, the Environment Agency Remedial targets
Methodology - Hydrogeological Risk assessment for Land Contamination models may
be used to make assessments, dependent upon the nature of the sources, pathways and
receptors identified.
7.5 Soil Guidance Values (SGVs).
Background
The Contaminated Land Exposure Assessment Model (CLEA) provided a means of
calculating a concentration in soil which certain substances should not exceed if they were to
be considered safe in a particular exposure scenario. CLEAs high risk exposure scenario
(the conceptual model), was broadly as follows:
The critical receptor is assumed to be a young female child with the duration of exposure the
first six years of life. The girl is assumed to spend all her time in or close to the home and
her consumption rate of home grown garden produce 365 days per year after the first year
(which is estimated as 250 days).
For commercial and industrial uses:
A female was again chosen as the critical receptor, with exposure duration considered over
a working lifetime (age 16-59 = 44 years' exposure). It is assumed work takes place in a
permanent single storey building where employees spend most of their time indoors involved
in office-based or relatively light physical work. It also assumes that a certain proportion of
contaminated soil will be tracked into the workplace from the adjacent ground and that she
will be exposed to soil and dust every day of her 44-year working life.
Currently, 10 SGVs and 23 TOX reports, by which cited data promotes the derivation of
SGVs, have been issued. The toxicological data series are specialised documents which aim
to derive what is known as Index Doses for specified substances, which are needed to

calculate SGVs using the CLEA model.

The soil guideline values are described as intervention values, i.e. the concentration above
which the land might present an unacceptable long-term (chronic) exposure risk. They are
not remediation, target or clean-up values, although it is suggested they may be used to
inform such decisions. They are of no value where acute risks may exist.
Following implementation of the Part 2A regime in 2000, the need to produce soil guidance
values at an increasingly accelerated rate was acknowledged, culminating in the Cabinet
office creating the Soil Guideline Value Task Force in 2004. Stakeholder involvement in the
process identified four key areas for further consideration in 2005:
1) What do SGVs mean and when should they be used?
2) How do we speed up production?
3) What to do about situations where SGV is below ambient levels, or below detection limits?
4) What training is needed?
The first question, on what the numbers represent and therefore how they should be derived,
proved to be the most challenging. In early 2006, Defra was asked to consider the issues
and develop a way forward.
Defra engaged with the Environment Agency, the Health Protection Agency, other
Government Departments and Devolved Administrations, as well as with a wide range of
other stakeholders in exploring the issues.
The results of DEFRAs deliberations SGVs: the Way Forward (CLAN 6/06) were
presented to a final meeting of the SGVTF in November 2006 and circulated to stakeholder
groups for comment.
The way forward proposed by DEFRA
CLAN 6/06 focuses on providing a solution within the current policy and legal framework,
which aims to identify and deal with unacceptable risks. It provides a flow chart of the
process for derivation of soil guideline values, and presents key issues and proposed way
forward in four distinct areas. The main thrust of each area can be summarised as:

Toxicology emphasising the need for authoritative information on health effects

potentially resulting from intake or other exposure to contaminants, for use in
assessment of risks from land contamination.

Exposure assessment where the focus is on robust and realistic estimation of the
amount of contaminant that people might ingest or otherwise take in as result of
being exposed to soil contamination.

Policy and practicality check a key area of decision making, where the
significance of the risk needs to be evaluated so that appropriate risk-management
arrangements can be put in place and benchmarks can be set in the context of
current policy and legal requirements.

Site specific application the area of most importance to the individual assessor,

and where clear technical guidance and understanding is critical to the correct
application of the outputs from the other areas.

The issues - what is unacceptable?

One of the main issues under discussion is what we mean by unacceptable in the context
of risks from land contamination. It is easy to see this as representing two extremes of views
one that any risk is unacceptable, the other that only if the risks are manifest and relatively
high should action be taken. In reality, the answer will lie somewhere between the two.
The decision on whether a risk is unacceptable has to be taken each time a local authority
regulator considers whether land meets the statutory definition of contaminated land and
therefore requires some form of remediation under the Part 2A regime. The consideration of
unacceptable risk is also the key decision under the planning regime to establish whether a
site is suitable for use: the basic test is that land should not be capable of being formally
determined as contaminated land following a change of use.
Question 13.
In the context of land contamination, there are 3 essential elements to any risk - the source
and receptor are two - what is the third?
Multiple Choice (HP)
Answer 1:

Risk

Response 1:
Jump 1:

This page

Answer 2:

Contaminant

Response 2:
Jump 2:

This page

Answer 3:

Pathway

Response 3:
Jump 3:

Next page

8.0 Remedial Techniques for Contaminated Soil & Groundwater.

The remediation strategy used will depend on the type of contaminant, its depth and
concentration, as well as on the type of site, access, buildings, etc.
Remediation strategies depend on the SourcePathwayTarget methodology, for example:

Create a barrier between source and target.

Remove the source.
Treat (render harmless) the pollutant.

Remediation methods are still under development. Some examples are as follows:
Physical Methods:

Membranes or sheet piling can be used to create barriers between pollutant source
and target.

Organic pollutants may be removed by de-gassing.

Biological Methods:

Bioremediation, the use of bacteria to clean up particularly organic pollutants.

Bioconcentration, the use of plants, for example, which take up and concentrate
pollutants. The plants can be harvested and safely disposed of.

Chemical Methods:

Solidification, where a binder such as cement is used to encapsulate the

contaminated soil.
Soil may be treated with chemicals to react with and neutralise the pollutant.

Incineration:

Contaminated soil may be incinerated to destroy contaminants, typical temperatures

being 8001500C.

It should be stressed that there are high costs and long timescales associated with many
remediation techniques. This is the reason that emphasis going forward is on prevention,
rather than on remediation.
Groundwater Treatment
The affected water may be subject to chemical, biological or physical treatment depending
on the precise contamination, although groundwater treatment is very difficult and current
methods may be too expensive for treatment of the volumes of water which may be involved.
9.0 Offences Relating to Contaminated Land.
Contaminated Land Register
Local authorities have a statutory obligation to keep a register of contaminated land.
The information stored on a formal register is that relating to regulatory action and
remediation. The contents are specified at length in the Contaminated Land (England)
Regulations 2000 and include the following:

Remediation Notices;
Remediation Declarations/Statements;
Appeals against Notices;
Designation of special sites;
Notification of Claimed Remediation;
Convictions for Offences.

The pertinent section of The Contaminated Land (England) Regulations 2006 is

included in the Appendices
Case Studies:
House of Lords Rule on Contaminated Land

A recent decision has confirmed that the law on contaminated land regime does not always
force utility companies to pay for clean up. The National Grid was not held liable for pollution
which took place prior to their formation.
The site of the former Bawtry and District Gas Company was used as a coal gasworks from
around 1915. It passed through several bodies, before nationalisation in 1948. Shortly
afterwards, the gasworks were closed. In 1965, a developer bought the land from the East
Midlands Gas Board for housing.
The gasworks had deposited coal tar residues under the land. This was probably drawn into
underground containers, as was the practice at the time. However these seem to have been
breached during development of the site. In 2001, a pit filled with coal tar was found in the
garden of one of the houses. The whole site was declared a special site by the Environment
Agency, working under the contaminated land regime. The cost of cleanup was around
66,000 per house.
The court had to decide who should pay for the cleanup. Liability is imposed on the person
who caused or knowingly permitted the pollution. If the polluter cannot be found, the
current owner can be forced to pay, subject to hardship provisions. The Environment Agency
had already indicated it would not seek contributions from the home owners.
The Agency determined that the developers and National Grid were each 50% liable. They
argued that both had caused the contamination, but the developers were no longer in
existence.
National Grid challenged the Agencys view. R on the application of National Grid Gas plc v
Environment Agency [2007] UKHL 30 was seen as a test case for many other sites
previously occupied by statutory bodies.
The Agency argued that the definition of polluter should be extended, to include National
Grid. This was rejected by the House of Lords as the company was not even in existence at
the time the pollution occurred, or even when the land was sold to the developer.
The Agency also argued that various Acts of Parliament had created successor gas
companies, transferring liabilities that existed immediately before each transfer. The
Agency argued that the contaminated land regime has imposed retrospective liability, as it
imposes liability for actions that were previously legal. On that basis, the argument ran that it
was acceptable to interpret the statutory provisions on transfers to include the liability for
contaminated land.
The Lords did not agree Lord Neuberger stating the circumstances where it would be right
to extend the polluter pays concept is a matter of policy for the legislature, not the courts.
Utility companies will not necessarily be relieved of responsibility. Much will depend on the
wording of the transfers from the public body to the utility company. The Government may
also review their policy, looking at whether this decision reveals a significant issue in relation
to contaminated land. This is an area that will see litigation in the future as the courts seek to
clarify who is responsible for costly clean up.
Van de Walle et al
In Van de Walle et al (case C-1/03) the European Court of Justice (ECJ) held that
hydrocarbons spilled unintentionally from a service stations storage facilities causing soil

and groundwater contamination were waste within the meaning of the Waste Framework
Directive (Directive 75/442) (the Directive). Soil contaminated by the spilt hydrocarbons was
also waste for the purposes of the Directive.
Furthermore, and worryingly for suppliers of substances that may cause pollution, the Court
indicated that the supplier of the hydrocarbons could be liable to undertake or pay for
removal of the waste if the leak causing the waste could be attributed to the suppliers
conduct.
Facts
The case concerned liability for hydrocarbon contamination leaking from defective storage
facilities at a petrol service station in Brussels and migrating to adjoining land owned by the
local authority.
The service station was leased to Texaco and run by a manager under an operating
agreement, through which Texaco made the land, building and equipment available to the
manager for operating the service station. The agreement stated that the manager was
obliged - at his own expense - to maintain the property and to ascertain that the pumps and
other equipment were functioning properly. Stocks of petrol were also the exclusive property
of the manager.
Following the discovery of the leaks, Texaco terminated the operating agreement (alleging
the manager had been negligent) and the lease agreement. Faced with a decontamination
order, Texaco partially decontaminated the site without admitting liability and replaced those
parts of the storage facilities from which the leaks had arisen. The local authority paid for
further decontamination works, then brought a claim for damages and criminal proceedings
(based on the abandonment of waste) against the managing director, two other officers of
Texaco and Texaco itself. The tribunal correctionnel (criminal court) of Brussels acquitted
the defendants, exonerated Texaco and stated it was not competent to rule on the damages
claim.
In the course of an appeal by the public prosecutor and the local authority against that
decision, the appeal court referred certain questions to the European Court of Justice:
whether hydrocarbons spilled unintentionally causing soil and groundwater contamination
were waste within the definition in the Directive and whether soil thus contaminated may also
be classified as waste even when it has not been excavated. The Court was also asked
whether the company supplying petrol to the service station could be considered to be the
producer or holder of such waste for the purposes of the Directive and therefore liable for its
remediation.

The Directive definition of waste

The Directive defines waste as any substance or object in the categories set out in Annex I
which the holder discards or intends or is required to discard. Materials that are spilled, lost
or have undergone other mishap, including any materials contaminated because of an
accident are included.
Summary
Owners and operators of land contaminated by spills and leaks of contaminative substances,
as well as persons supplying the substances, should be aware of this recent decision of the

European Court of Justice.

November 2004 - ECJ rules that contaminated land is waste
Freshfields Bruckhaus Deringer, November 2004 had not been excavated, was previously
thought not to be waste and so the obligations set out under the Directive were not triggered.
Under section 34 of the Environmental Protection Act 1990 (the Act) it is the duty breach of
which is a criminal offence of any person who produces, keeps or has control of waste to
take all reasonable measures applicable in the circumstances to (among other things)
prevent the escape of the waste from his control.
In view of the Courts judgment, allowing soil and groundwater contamination to migrate
offsite may be a criminal offence if there is a failure to take reasonable precautions against
such migration.
Under section 33 of the Act, it is also an offence to keep or dispose of waste in or on any
land except under, and in accordance with, a waste management licence, or to keep or
dispose of waste in a manner that is likely to cause pollution of the environment or harm to
human health.
The Court's judgment therefore means that, in future, anyone in control of land contaminated
by accidental spills and leaks will be required to obtain a waste management licence a far
from easy task for operator or regulator.
In the UK, remediation of sites like the one in this case was intended to be dealt with under
the highly elaborate contaminated land regime contained in Part IIA of the Act.
Following the European Court of Justices judgment, UK waste regulation authorities (WRAs)
can enforce remediation of land under section 59 of the Act, which allows WRAs to require
the occupier of the land to remove illegally deposited waste or to eliminate the
consequences of the deposit, regardless of the constraints that apply in the exercise of its
other powers under Part IIA.
Since section 78YB(3) of the Act prevents a remediation notice being served under Part IIA
where the powers of a WRA under section 59 can be exercised, Part IIA will, it seems,
become redundant in cases such as this. Anyone whose activities produce waste and the
holder is the producer of the waste or the person who is in possession of it.
The findings
The European Court of Justice said that the classification of waste was inferred primarily
from the holders actions and the meaning of the term discard. In the Court's view, this term
could not be interpreted restrictively because the aim of the Directive was the protection of
human health and the environment, and Community environmental policy aimed at a highlevel of protection based on the precautionary and polluter pays principles.
Following this reasoning, the Court concluded that the hydrocarbons were a production
residue and as such were waste, as they could not be reused without further processing. In
the Courts view, the producer of the waste involuntarily discarded the hydrocarbons at the
time the substance leaked from the storage tank. Furthermore,since the objectives of the
Directive would not have been met if accidental spills of hydrocarbons that caused

contamination were not considered waste, the Court said they must be waste.
The Court applied the same reasoning to the question whether soil contaminated with
hydrocarbons because of an accidental spill was waste. As the hydrocarbons could not be
separated from the land unless decontamination occurred, the Court held that it was waste
and as the classification as waste was not dependent on other operations being carried out,
its excavation, or not, therefore had no bearing on whether it was waste.
The Court decided the manager of the station had the hydrocarbons in stock when they
became waste and was, therefore, the person who produced the waste. He had also to be
considered as the holder as he also possessed the waste. However, the Court ruled that the
supplier of the hydrocarbons could also be said to be producer (and the holder) of the waste
if the poor condition of the service stations storage facilities could be attributed to a
disregard of contractual obligations by it, or to any actions that could render it liable.
Comment
The European Court of Justice's decision has important implications for UK waste and
contaminated land law.
Revolutionary oil tracing technique secures conviction
(19th September 2003)
A new technique of oil finger printing, used to trace the source of oil pollution, has for the
first time secured the conviction of a local business owner in Northern Ireland for the spillage
of 5,000 litres of heavy oil.
The owner of premises on the Enkalon Industrial Estate, Antrim was fined 6,500 plus
2,490 costs, after the source of oil pollution around Antrim Marina was traced back to his
premises this was the first case in Northern Ireland when the technique was used.
The incident was brought to the attention of the NI Environment and Heritage Service (EHS)
on 21st July 2001 who, after exhausting traditional methods of tracing the pollution source,
used the new technique to confirm the leakage source.
The process works by analysing the chemical signature of an oil sample using infrared
technology. Each oil sample has an individual signature, due to effects from the tanks in
which it has been stored. Using the results taken from the oil spill and comparing them with
other potential sources, it becomes obvious where the oil leakage came from.
Richard Gray of the EHS, who investigated the incident, said: This technique allows us to
determine with certainty which of several possible sources of oil pollution is the true source,
just as a human fingerprint does in criminal cases. So, even where the flow of polluting oil
has stopped, we can compare samples of oil from a river and from suspect oil tanks and
match the polluting oil to the source.
The process is, however, an expensive one and only used as a last resort, said the EHS.
John McCann, owner of the premises on the estate, claimed to be unaware that the vessels
still contained oil. However, Mr Alcorn the presiding magistrate did not accept this. Mr
McCann spent 10,000 on the clean up before the case came to court.
D&M Foods

D&M Foods of Westbury, Buckinghamshire receives reject dough, bread, chocolate, sweets
and other food products, which it dries in drum kilns, mixes and then sells on to pet food
manufacturers.
On 12th February 1999, a public complaint prompted Environment Agency staff to
investigate possible pollution of a tributary of the River Great Ouse by D&M. "Staff carried
out a biological survey and discovered there was impoverished ecology for one kilometre,"
an Agency spokesperson reported. In addition, a build-up of fungus was found for some
500m.
The fungus and diminished water quality were caused by D&M's failure to keep foodstuffs
and residues from washing off its yard and into the watercourse. Reject foodstuffs arriving at
the site in the company's own vehicles are stored under cover, however, when vehicles from
external hauliers deliver height restrictions sometimes require that foodstuffs be dumped on
the open yard before being placed under cover.
"They were given advice in December 1998 on how to prevent a similar incident and two
months later they were doing the same thing again," said the Agency spokesperson. D&M
was found guilty of an identical pollution incident that took place in December 1997 and
involved a court appearance in December 1998. At the time of the first fine, D&M was
advised to install an effluent lagoon on site.
"This company has shown a total disregard for the environment by allowing this pollution to
continue unabated for a considerable period," said the area environment protection manager
for the Environment Agency "We are in continuing discussion with the company in order to
reduce the risk to the environment."
In addition to the 10,000 fine, D&M was ordered to pay costs of 1,500.
10.0 Appendices.
These can be downloaded from http://www.sheildselearning.co.uk/file.php/6/course_images/enviro%20C6%20%20Development%20and%20Land%20Use%20-%20APPENDICES.doc

Please be advised that the course material is regularly reviewed and updated on the
elearning platform. SHEilds would like to inform students downloading these printable notes
and using these from which to study that we cannot ensure the accuracy subsequent to the
date of printing. It is therefore important to access the elearning environment regularly to
ensure we can track your progress and to ensure you have the most up to date materials.
Version 1.1c

Element 15 - Energy Use & Efficiency.

Aims:
On completion of this element, candidates should be able to:

explain the environmental aspects of and legal requirements for business use of
energy;
describe strategies and action to reduce overall energy use and manage carbon
emissions.

Relevant statutory provisions:

Building Regulations 2006 Part L

The Building and Approved Inspectors (Amendment) Regulations 2006 Regulation
19/EU Energy Performance of Building Directive
Climate Change and Sustainable Energy Act 2006
Town & Country Planning (Environmental Impact Assessment) Regulations 1999 and
amendments
The Energy Information and Energy Efficiency Regulations 2001

Recommended tuition time:

No less than 6 hours
1.0 Introduction.
As mankind has evolved and developed, so too has the need for energy.
Our main source of energy has - and still does - come from fossil fuels, which are readily
depleting. These fuels have been impacting on our environment since their discovery and
mass use.
As well as providing us with heat, light, electricity, fuels for transport etc, they have had more
devastating negative effects such as deforestation, acid rain, oil spills and an increase in
greenhouse gases leading to global climatic change.
It is due to these negative impacts on the environment and therefore mankind, that new and
cleaner sources of energy are being investigated and used in order to slow down and even
halt the damage caused by the use of fossil fuels and other destructive energy sources.
This element of the course will go into detail of such alternative energy sources and provide
information on their benefits and imitations as well the consequences of continuing with
fossil fuels.
2.0 Sources of Energy.
Before the industrial revolution, the majority of energy came from the utilisation of water
power or from burning wood and peat. At this period in history, there was only a small
demand for energy resources.
Since that time, primary sources of energy used around the globe have been, and in the
majority of cases, still continue to be fossil fuels.

These substances, when processed, produce sufficiently high levels of energy which is then
changed through mechanical, chemical or other processes into a form suitable for for human
consumption.
The individual fossil fuels will be discussed in more detail in the following sections.
2.1 Fossil Fuels.
What are they?
Fossil fuels are hydrocarbons found in the Earth's crust which - when burned - produces
heat, which can be converted to generate considerable quantities of energy. The three main
types of fossil fuels are coal, oil (petroleum) and natural gas.
Over millions of years, the remains of dead plants and animals are exposed to extremes of
heat and pressure in the Earth's crust to form the fossil fuels with which we are familiar
today.
In our industrial history, energy was produced from the use of windmills and watermills,
wood and peat burning.
The use of fossil fuels increased in the late 18th century by increased usage of gas lights
and steam engines, but it was the development of the internal combustion engine which
caused the demand to significantly increase. The advancements and increased usage in
modes of transportation such as railways and aircraft also contributed to the continued need
for fossil fuels.
Since the 1900s, it has been calculated that our utilisation of fossil fuels has nearly doubled
every year, leading to over 85% of the world's energy production coming from fossil fuels in
2005.
As fossil fuels are non-renewable and the demand continues to increase, sources are
depleting much faster than they can be created.
As this demand has increased, despite reduced supplies, the cost of sourcing, extracting
and producing energy from fossil fuels has increased.
This price increase, combined with the detrimental effects to the environment, have led to an
almost worldwide progression towards the use of renewable sources of energy, previously
thought not viable.
How is fossil fuel used?
When fossil fuels are burned, the energy produced is converted to electricity and heat.
During the burning process, the carbon and hydrogen contained within the fuel reacts with
the oxygen present in the surrounding air. This reaction creates Carbon Dioxide (CO2) and
water (H2O).
This reaction is further intensified when additional heat is produced.
Electricity is created in a generator, where heat energy is converted to electrical energy. This
is achieved by using the heat produced when the fuels are burned to heat water. The steam
formed is used in commercial power plants to turn turbines that power a generator, which
manufactures the electricity.

The steam that is used in the processes is cooled and condensed in huge cooling towers
back into water and then pumped back through the system again.
Advantages and Disadvantages
Advantages:

The infrastructure and technology for using fossil fuels is already well-established.
As long as a supply of fossil fuel is continuously provided to power stations, they can
be built wherever they are needed.
Certain liquefied fossil fuels are simple to dispense, such as LPG and light crude oil.

Disadvantages:

Burning fossil fuels releases CO2, which is a greenhouse gas that has environmental
implications.
They are non-renewable and will eventually run out.
Urban heat islands are contributed to by inefficient combustion.
Dependence on oil can lead to situations of war and instability.
Damage to the environment can occur from fossil fuel extraction.
Fossil fuel stores closest to the surface have been depleted which means that
extracting the resources is becoming more difficult, dangerous and therefore more
expensive.

2.1.1 Coal.

The remains of dead plants in swampy forests were compacted under soil and water by high
levels of pressure and heat, and after millions of years formed what we know as coal. It is
the amount and type of carbon in the coal that determines the amount of heat-producing
energy the coal has.
The generation of electricity from coal can be produced on a large scale at a low cost, which
is why 28% of the worlds energy is produced from coal.

Coal has been burned since ancient times, when it was mostly used in waterproofing and the

embalming process. However, this combustible sedimentary rock is non-renewable due to

the time frame for its creation and the speed at which it is being used. There are four ranks
into which coal is classified. It is the higher ranks of coal which are able to produce more
energy as they were exposed to more pressure and heat.
The ranks of coal are defined as lignite, sub-bitumious, bituminous and anthracite.
Lignite
Lignite (also known as brown coal) is in the lowest rank category and therefore has the
lowest energy content due to the limited heat and pressure to which it was exposed.
Due to its high volatile matter and carbon content, lignite is easily converted into gas and
liquid petroleum products making it extremely suitable for burning to produce electricity.
Lignite is used for steam-electric power generation exclusively in countries such as Greece,
Germany and the United States. In Greece, lignite power plants provide up to 50% of their
electricity and up to 25% in Germany, but, unlike the higher-ranked coals, it is not traded
solely in the world market.
However, problems in transportation and storage occur from lignites high moisture content
and inclination to spontaneously combust.
Sub-bituminous coal
This rank of coal on average has a carbon content ranging from 35-45% with the properties
ranging from lignite to the higher rank of bituminous.
Its use is generally as a fuel for steam-electric power generation.
Like lignite, some types of sub-bituminous coal, with low density and high water contents,
are susceptible to spontaneous combustion if free airflow is not excluded during storage.

Bituminous coal
This is a mix of organic liquids and is composed mainly of highly-compacted polycyclic
aromatic hydrocarbons.
It has over double the heating value of lignite as its carbon content ranges from 45-86% due
to the high heat and pressure under which it was created.
Its use is in electricity production but is also an important fuel and raw material for the steel
and iron industries. However, it must be heated or diluted before it will flow due to its high
viscosity (thick and heavy).
A major problem associated with bitumens is the number of toxic elements that they contain,
such as lead, arsenic, chromium and mercury, for example.
Anthracite

Despite its high carbon content (92-98%), anthracite does not easily ignite due to its low
percentage of volatile matter.
However, it is its high value that makes it too expensive to be used in power plants for
electricity generation.
Anthracite is today mainly used in domestic stores or furnaces but in order to be of a correct
size for a particular type of store or furnace, the anthracite goes through a series of breakers
and sieves.
Despite its obvious benefits, the use of coal also has detrimental environmental impacts
such as the production of CO2 (a greenhouse gas) and sulphur dioxide, which assists in the
production of acid rain. There is also the issue of destruction of land from both strip mining
and for power station storage, which has led to increased interest in alternative energy
sources.
Question 1.
The lowest rank of coal has the most energy
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

This page

Answer 2:

False

Response 2:

The highest rank has the highest energy

Jump 2:

Next page

2.1.2 Oil (Petroleum).

Oil is composed of large quantities of organism remains, including planktons. These

organisms settled to the sea/lake bed where they were buried and exposed to excessive
heat and pressure over geological time.
During this period, the decayed remains were chemically altered through diagenesis (the
process of changing sediment to rock) producing kerogen. If it is then exposed to more heat
catagenesis occurs, which causes some types of kerogen to release hydrocarbons.
Slowly, these hydrocarbons move through any minute openings in the surrounding
rock/sediment until they become trapped by impermeable geological materials. At this point
the oil forms reservoirs, which are mainly accessed via drilling oil wells - the first one of such

occurred in Pennsylvania in 1859 from a depth of 69 feet.

The majority of oil fields can be located at tectonic plate margins - in areas around the
equator or between the tropics and the polar circles.
At these locations, the lakes and marine environments produced high organic yields and
this, combined with the geothermal conditions, meant that these were areas favourable for
the production of oil.
Whilst the first oil well was drilled in 1859, oil has indeed been used by many civilisations for
thousands of years in places wher it reaches the surface naturally. References have been
made as early as the 1st Century AD, where it was noted for its cauterising capacity.
Since the drilling of the first well, oil has become a major commodity, with crude oil being
used to create LPG, diesel and gasoline/petrol, for example.

Even though petroleum has been slowly replacing other forms of oil since the beginning of
the 19th Century, it was not until the development of the internal combustion engine that oil
became the dominant fuel source.
Today, 40% of the world's energy is provided by oil.
Advantages

Oil is easy to distribute, being in a liquid form.

It is superior to some other sources of energy due to its energy density.

Disadvantages

Oil is not present everywhere - which has led to major disputes and wars, for
example in Iraq in 1991.
Suppliers of oil can gain political leverage over consumer nations.
The emissions produced from burning create harmful environmental pollution.
In vehicles powered by oil/petroleum, only 15% of the fuel is being used - the rest is
emitted as heat waste.

Question 2.
Crude oil is used to produce which of the following products?
Multiple Choice (HP)
Answer 1:

Gasoline

Response 1:
Jump 1:

This page

Answer 2:

LPG

Response 2:
Jump 2:

This page

Answer 3:

Diesel

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

2.1.3 Natural Gas.

Organic material, composed of decaying marine plant and animal remains, accumulates on
the sea bed over millions of years.

These organic compounds, when exposed to favourable temperature conditions under

pressure, are transformed into short-chain hydrocarbon molecules to form oil. If the oil is
then exposed to even higher temperatures it is broken down into natural gas and becomes
highly compressed.
People first became aware of natural gas when escapes from rock ignited. The gas was then
used for heating and lighting once experiments had been carried out and people had learnt
enough to control and channel the deposits.
When petroleum was burned for energy, natural gas was produced as a by-product. This
gas was considered to be of no use so was flared off. The value of natural gas has since
been re-assessed and is now deemed to be a valuable resource, with 20% of the world's
energy being provided for by this fuel source.

Advantages

Reserves of natural gas are more spread out on a global level, making it more
accessible than other forms and hopefully causing fewer disputes.
It can be used not only for commercial heat/energy production, but for domestic
purposes as well.
Transportation along pipes is an easy method.
It is a cleaner fuel and produces comparatively less atmospheric pollution than other
fossil fuels.
Power stations utilising natural gas for their operations are very efficient.

Disadvantages

Even though it produces less pollution than other fossil fuels, it still pollutes.
Producer countries can control the supply of gas to consumer nations, thereby
influencing the latter.
It is estimated that the current reserves will be exhausted in around 120 years, which
means dependant countries/organisations will need to resource alternatives.

2.1.4 Nuclear Energy.

Uranium and plutonium are used in nuclear reactors in power stations to create energy.

The energy is generated by the process of nuclear fission whereby the atoms in the uranium
or plutonium are spliced in the reactor; which starts off a chain reaction.
The heat produced during this reaction is then harnessed to heat water, creating steam
which turns the turbine generator, producing electricity.
The initial energy input/investment into a nuclear power plant is substantial but using the life
cycle analysis technique it has been estimated that this initial outlay is paid back after only
about 5 months of producing energy, provided the ore is of a high grade.
As the best grades of ore are being depleted, low yields of ores have to be extracted. These
lesser ores can have yields at less than 50% which means the payback time is greatly
extended and ranges from 10-18 years.
It is estimates, based on current usage, which present economically recoverable supplies of
uranium can last from 70 years to thousands of years depending on the type involved.
The current cost of uranium is US$103/kg, but as the price for this fuel source continues to
increase, so to will the demand.
The types of nuclear reactors in use are numerous but examples include Pressurised Water
Reactors (PWR's) and Advanced Gas-cooled Reactors (AGR's).
PWR's use water to moderate the temperature in the reactor as well as a means of cooling,
should temperatures go beyond the acceptable. The water is kept under pressure in these
systems at 150 bars and at a temperature of between 295 and 330 0 C. These reactors are
only small and measure around 2-3 metres across the core.
Boiling Light Water Reactors also utilise water but in these reactors it is stored at a lower
pressure and is allowed to boil. These reactors have the added safety precaution that,
should the pressure with the reactor increase causing more boiling, the reactor reactivity will
decrease to compensate.
The Advanced Gas-cooled Reactors (AGR's) are the common design of the majority of
reactors used in Britain. They use steel covered uranium oxide for fuel. In these cases the

moderator is graphite instead of water like the others mentioned above. As water is not used
in AGR's systems, carbon dioxide is therefore introduced and installed as the coolant
material; this is effective provided a constant pressure of 40 bars is maintained.
These reactors operate at a high temperature and do not rely solely on the CO2 for cooling;
in emergency situations a back-up cooling system is activated.

nuclear power station

For many years it seemed that nuclear energy was the answer to the fossil fuel depletion
problem, however the issues with using nuclear reactors became more apparent after
nuclear incidents, such as Three Mile Island or Chernobyl, occurred.
After the very public transmission of the aftermath of these disasters, the environmental
groups started depicting other problems associated with nuclear energy production,
especially waste disposal.
The problem with nuclear waste disposal is that the NIMBY principal soon applies (Not In My
Back Yard) as people do not want such potentially toxic substances in the vicinity of their
places of work or their homes.
This had led to nuclear/radioactive waste being dumped especially into the sea. Despite
numerous countries issuing bans on such activity (USA in 1970, Europe in 1982) many
countries still dispose of their waste in this manner.
It is the extremely toxic nature of radioactive nuclear waste that is the main environmental
issue, especially as it can take many years (hundreds, even thousands) for the radioactive
elements to decay.
On 11th November 1983, Greenpeace alerted the public to the fact that a beach in Cumbria,
UK, was contaminated by nuclear waste from Sellafield Nuclear Power Station. The waste
had entered the Irish Sea, spread and finally contaminated a 25 mile stretch of coast,
causing radiation levels to increase to a level that was over 1000 times greater than the
norm.
It later transpired that previous studies conducted as early as 1979 showed that
contamination was occurring but by all accounts nothing further had been done no further
research completed nor were any countermeasures installed to effectively put a stop to this
problem.
Advantages

Nuclear energy is a sustainable source of energy.

It produces less carbon emissions than other types of fuel.

Operation safety records for nuclear power plants are better than other types of
plants.
Risk of waste storage is minor and is further reduced using modern technology in
newer reactors.
Reduces dependency on non-renewable sources of energy which can lead to
disputes.
Provides an endless supply of clean and cheap energy.

Disadvantages

Nuclear power is a potentially dangerous energy source.

The storing of radioactive waste is a main concern, especially with regards to
contamination.
Cost for reprocessing spent fuel and decommissioning costs are high.

In August 2010, the UK Energy Secretary Chris Huhne announced a new programme of
nuclear power plant building.
In an interview on the BBC, the Liberal Democrat minister admitted that in the past he and
his party stood firmly against the expansion of nuclear power but that their stance had
changed when they entered into coalition with the Conservatives.
"My position and my party's position was always one of scepticism about the economics of
nuclear power, but what we did in the coalition agreement is recognise the differences
between the Conservatives and the Liberal Democrats.
"We responded with an agreement which will say very clearly there will be no public subsidy
for nuclear because it is an old technology. But at the same time, if investors come forward
with proposals it is absolutely clear they will go through.
"We believe that will happen. We believe there are investors who will be investing in new
nuclear," Mr Huhne said.
He also ruled out fixing electricity prices as a subsidy by stealth.
"There will be no question of guaranteeing electricity prices. But what nuclear will have
access to in some way, like all other forms of low-energy technology is the advantage of not
paying through the EU emissions trading scheme.
"It will benefit from the framework we have to make the transition to a low-carbon economy."
Market Forces
Mr Huhne said it was not his job to choose what will replace oil, gas and coal. "The market
will decide which low-carbon technologies will be used," he said.
Moving away from an over-dependence on oil would make the economy more resilient
against the commodity's price rises expected over the next ten to 20 years.
Low-carbon technology could put 300 a year on the average household energy bill
according to some estimates. Mr Huhne said he thought the rising cost of a barrel of oil

would wipe out the extra cost of new technologies. The need to move away from a petroeconomy was highlighted by the BP oil spill in the Gulf of Mexico, the energy secretary said.
Speaking about the 98% rise in profits announced by British Gas last week, the energy
secretary said Ofgem, the industry regulator, had to watch energy companies pricing
structures.
"We need a very competitive market to make sure any profits that are made are competitvely
made. We need to go on stressing to Ofgem the importance of a competitive framework.
They need to look to see if we are being too generous," he said.
Question 3.
Pressurised Water Reactors & Advanced Gas Cooled Reactors are types of...
Multiple Choice (HP)
Answer 1:

Gas Reactors

Response 1:
Jump 1:

This page

Answer 2:

Coal Reactors

Response 2:
Jump 2:

This page

Answer 3:

Nuclear Reactors

Response 3:
Jump 3:

Next page

3.0 Burning of Fossil Fuels.

The main environmental concerns today (greenhouse gas emissions, ground level ozone, air
and water pollution etc) are primarily brought about by economic growth and are created
from the burning of fossil fuels for energy use.

Generally, burning fossil fuels releases pollutants (naturally present in the fuel) creating
greenhouse gases, such as Carbon Dioxide (CO2) as well as other environmentally harmful
substances such as nitrogen oxides, sulphur dioxide, volatile organic compounds (VOCs)
and heavy metals.
More specifically, the different types of fossil fuels, when burned, produce different types of
pollutants.

30% of all CO2 emissions are produced from the burning of oil.
Oil/petroleum fuels, when burned, produce CO2, Carbon Monoxide (CO3), Nitrogen Oxides,
particulate matter and unburnt hydrocarbons.
CO2, Nitrogen Oxides (NOx), Sulphur and Mercury are all released when coal is burned.
A common pollutant from all fossil fuels is CO2 (Carbon Dioxide). This is produced when the
carbon and oxygen present in these fuels combine during the burning process.
The types of fuel being burned produce differing amounts of CO2. Coal burning produces the
highest amount, petroleum produces three quarters of that produced by coal and natural
gas' CO2 production is half that of coal.
Some fossil fuels also contain uranium and thorium or other types of radioactive materials
that are released into the air when the fuel is burned. It was calculated that 5,000 tons of
uranium and 12,000 tons of thorium were released, globally in the year 2000 as a result of
coal burning alone.
We have seen what types of pollutants are released during the burning of fossil fuels so now
we will look at the effects these substances have on the environment.
Sulphur Dioxide
When sulphur combines with Oxygen (O2), Sulphur Dioxide (SO2) is produced. This is an
acid gas which affects the water and is toxic to plants and trees. This is especially so when
the gas mixes with moisture in the atmosphere to produce acid rain (covered in a later
section). The harmful effects of sulphur dioxide have been observed in many studies two
of which include Cohen and Rushton 1974, Leeds, England and Schmid 1975, North
America.
Nitrogen Oxide
Nitrogen Oxide is another acid gas and ozone precursor and is a participant in two types of
pollution mainly acid rain and smog (discussed later). The levels of nitrogen oxide have
risen since the introduction of the catalytic converter, despite its creation reducing amounts
of CO3 and hydrocarbons produced. Calculations of road transport emissions have shown
that they are now five times higher than they were in 1990.
Mercury and Heavy Metals
Airborne mercury will settle in water. This mercury is then absorbed by fish and plants. After
numerous exposures to such substances, the mercury builds up in the creatures organs
which then make them harmful to their predators, both other animals and humans.
Heavy metals (including copper, lead, zinc etc) may settle in the soil. In such areas, their
toxic nature may cause intolerant species of plants to die out and be replaced by more
tolerant species changing the ecology of the environment. These toxic heavy metals may
also adversely affect certain types of fungi responsible for the decomposition of leaf litter
waste, once again changing the environment. Therefore, the re-establishing of plant colonies
on areas of old mines or spoil heaps has become very difficult.
Particulate Matter

Large quantities of atmospheric particulate matter can prevent plants receiving sunlight and
absorbing CO2, as this matter can completely cover the leaves or block the stomata,
resulting in suppressed plant growth.
The main sources of such matter are from road traffic emissions and atmospheric chemical
reactions.
Industrial Fumes and Spills
Lower Swansea Valley in Wales became a desert (practically) after soil erosion occurred,
destroying the vegetation. This came about from the amounts of coal-burning fumes present
in the atmosphere around this locality.
If oil used for burning reaches susceptible areas (such as salt marshes or mangrove
swamps) through spills or leaks, these environments may become poisoned or smothered.
Oil prevents these anaerobic dependant plants from obtaining oxygen via their root systems
as they become obstructed or clogged by the oil itself.

3.1 Acid Rain.

Generally, rain is acidic to some extent due to the chemicals present, such as carbon dioxide
which reacts with water to produce a weak acid known as carbonic acid.
However, when pollutants such as sulphur and nitrogen oxides react with the water in the air
the acidity is increased, producing acid rain.
This can be deposited wet or dry in the form of rain, snow, sleet, fog, acidifying particles and
gases.
When acids are removed from the atmosphere and deposited on the Earth's surface by
precipitation, this is known as wet deposition.
Dry deposition is when plants, structures etc become coated with particles and gases. This
method can be responsible for a high percentage of the total acid deposition.
No matter which method of deposition occurs, the effects on flora and fauna as well as
buildings and structures can be highly damaging.
The majority of these acid rain-forming pollutants are found to be derived from human
activities such as power generation and the use of vehicles.

Acid rain is a huge problem, especially since the emissions of sulphur dioxide and nitrogen
oxides have greatly increased from the time of the Industrial revolution. Coal, containing
sulphur, was and continues to be burned for heat and electricity generation.
3.1.1 Effects of Acid Rain on Water/Aquatic Environments.
Acid rain can have devastating effects on aquatic environments and their water bodies due
to its high acidic content as well as the presence of aluminum. The most vulnerable types
are those which are sensitive to pH changes, due to the water itself and the surrounding soil
having a low buffering capacity (the ability to neutralise acidic compounds).
These vulnerable water bodies are usually found in drainage basins. A drainage basin refers
to the extent of land where water drains downhill into a body of water. The drainage basin
includes both the streams and rivers that convey the water as well as the land surfaces from
which water drains into those channels. So acidic increases in, for example small streams at
higher altitudes, will affect the whole basin, which could include vast numbers or rivers,
lakes, streams etc, and have adverse effects on the whole ecosystem of the basin.
Areas with low buffering capacity allow aluminum, which is highly toxic to many species of
aquatic organisms, to be released from the soil and enter the lakes and streams.
This reduction in pH levels due to the acidic content of the acid rain combined with the
addition of aluminum into lakes and streams alters the whole ecosystem.

Generally, lakes and streams have a pH of between 6 and 8 so when this level lowers to
become more acid, it is the more sensitive species that are affected. Changes to the
environmental conditions are especially hazardous to the young of the species. At pH5, most
fish eggs cannot hatch and once this pH level is further reduced, some adult fish die.
Therefore, the affects of acid rain can range from the death of individual fish to the complete
elimination of a particular fish species from the waterbody. Death of the species does not
necessarily have to be instantaneous; it can take some time before the changes are
apparent. Changes to pH levels can cause continual stress to species - especially fish which then leads to a lighter body weight and smaller size which makes them less able to
compete for food and territory.
This may seem like a small effect compared to other environmental hazards but when taken
into context with the food chain, the affects are much more pronounced. A species with a
high acidic tolerance will still be affected by the pH changes as part of their food supply may
disappear. This is due to the interdependence of all plants and animals within an ecosystem.

Another effect acid rain has on the aquatic environment is due to the amounts of nitrogen
oxides present. High levels of these oxides in water environments can lead to eutrophication.
This is where the amount of oxygen present is reduced. This can lead to the extensive
growth of certain algae which smother lakes and streams preventing sunlight from reaching
under the surface, causing the death of other water plants and water-dwelling fauna. These
algae also take in vast amounts of oxygen, further reducing the amount available in the
aquatic environment for other flora and fauna.
3.1.2 Effects of Acid Rain on Soils, Trees and Other Vegetation.
During and after a rainstorm, in which the precipitation contained sulphuric and nitric acids,
water is either absorbed into the surface layer of the ground or runs off until it reaches a
water body.
Some soils have the buffering capacity to neutralise some or all of the acid in the rainfall but
it is areas where the amount of acid rainfall is vast or the water and surrounding soils have a
low buffering capacity that the damage becomes apparent.
When the acid rainwater cannot be neutralised, the soil ends up with high acidic pH levels.
High acidic pH levels speeds up soil weathering and nutrient leaching, leaving the soil
incapable of supporting life, especially when intolerant microbes in the soil, which help break
down plant and animal litter, are destroyed.
The minerals and nutrients are then washed out of the soil before trees and other plants can
use them to grow.

As the acid rainwater is absorbed into the soil, trace toxic metals such as aluminum, which
were bound to the soil particles, are released. This is due to the hydrogen ions present in the
acidic rainwater breaking down (by dissolving) rocks and soil particles.
We have discussed how the soil is affected by acid rain; now we will show what effect it has
on the vegetation which depends on this soil for survival.

As soils in areas of acid rain contain high acidic pH levels and toxic substances have been
released, this ultimately affects the vegetation present in these areas.
Acid rain does not directly kill plants and trees but has a more indirect and delayed effect.
Frequent acid rain removes the waxy protective coating on the plant/tree leaves, thus
leaving the plants in a weakened state via reduced nutrient availability as well as now being
open to disease and the effects of changes in temperature.
Plants and trees in such areas with contaminated and toxic soils are now exposed and
vulnerable to poisoning when the roots attempt to take in nutrients but take in the newlyreleased toxic substances as well.
The overall results from the above mentioned problems has been a slower rate of growth in
some forest areas and the killing of numerous species of flora.
These affects are seen more predominately in mountain forests as these regions are
exposed to acidic clouds and fog, which have higher concentrations of acid and are
therefore more harmful than acid rainfall.
3.1.3 Effects of Acid Rain on Buildings & Vehicles.
Buildings
Sun, wind, rain etc have always had impacts upon buildings, causing weathering and the
slow decline in buildings' outer appearance and, in some cases, stability. However, nature
has been aided in this method of destruction by acid rain.
The affects of acid rain are varied depending on the building material, degree and amount of
exposure as well as the concentrations of the pollutants in the rain and the surrounding
climatic conditions.
Acid rain affects almost all building materials to some extent, when a chemical reaction takes
place between the sulphuric acid in the rain and the calcium compounds found in the stones
used in the construction of many buildings and monuments.
The resultant effect of this reaction is the production of a crust of gypsum, also known as
calcium carbonate, which is then more easily removed by rain/frost etc exposing more stone,
therefore continuing the weathering cycle. An example of such damage caused by acid rain
can be seen in the graveyards and cemeteries. Here, the older gravestones have become
illegible as the acid rain has partially dissolved the stone inscriptions.
Materials which have a particular vulnerability to acid rain and their reactions are limestone,
sandstone and marble. Materials such as granite, however have a more tolerant ability.
Limestone is a popular choice of building material due to its ability to be easily carved as well
as for its colour and texture. However, it is easily dissolved in weak acids due to the primary
component being calcite (calcium carbonate).

Some types of sandstone are commonly used in building and paving materials due to their
ability to resist weathering and be easy to work with. However, when some sandstones are
formed they are cemented by minerals such as calcium carbonate which makes them less
resistant to acid rain. This has been seen with Collyhurst sandstone which has been used in
the past as a building material in northern England. However, due to its low acidic resistance
many older buildings now have to be repaired or replaced in some cases.
Marble is used less often than other materials in building construction but is used in a vast
number of monuments. Like limestone, marbles main component is calcium carbonate
which makes it more likely to be damaged by acid rain.
Granite is now the most widely-used stone for buildings, monuments, and bridges due to its
hard and tough nature. Granite is primarily composed of silicate minerals, which are resistant
to acid attack and provide a good basis for construction purposes.
Other vulnerable materials include certain metals such as copper and iron, ceramics and
textiles which are easily corroded and in the case of iron, rusted. Paints are deteriorated,
prevalent with car bodywork, whilst leather and rubber are downgraded.
As well as acid rain causing damage to buildings and structures above ground, it also has
the ability to damage underground structures such as pipes, cables and even some
foundations when they become submerged in the percolated acidic water.
All of the above mentioned damage caused by acid rain can seriously reduce the aesthetic
value of so many of older buildings and monuments, not to mention the damage that can be
done to everyday common objects such as vehicles.
The repairs on acid rain-damaged buildings and monuments can have a high cost attached.
In recent years, up to ten million pounds has been spent repairing the severely eroded areas
of both York Minster Cathedral and Westminster Abbey.
In America during 1990, paint damage was repaired at a cost of 35 billion dollars.
13 million Euros was spent in 1985 on repairs to Cologne Cathedral.
Some of the worlds most famous attractions are also noticing damage of this nature - the
Taj Mahal in India and the Colosseum in Rome are two such famous displays of cultural
heritage, which are now at increased risk of accelerated weathering.
Vehicles
All forms of acid rain, including dry deposition, especially when dry acidic deposition is mixed
with dew or rain, may damage vehicle coatings. This has been noted on numerous
occasions within the last 20 years.
According to studies undertaken by the US Environmental Protection Agency, the effects
noted in these cases are hard to ascribe categorically to acid rain. It is believed that such

damage is the cause of numerous environmental factors all working together such as acid
rain, pollen, tree sap and bird droppings.
However, chemical analysis of some of the vehicles taken in for testing show that there were
high levels of sulphate present, indicating the cause was indeed acid rain.
The majority of damage, more prevalent on freshly-painted vehicles and more easily
distinguished on darker vehicles, is generally permanent and creates an appearance of
uneven scarring. As a rule, the only option after occurrence is to repaint.
Question 4.
Acid rain effects plants, animals and structures
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

3.2 Surface Ozone.

Surface Ozone is referred to as a secondary pollutant as it has no direct source of emission.
However, Ozone (O3) is naturally occurring at ground level when Oxygen (O2), Nitric Oxides
(NOx), Solar Radiation and Volatile Organic Compounds (VOCs) react.
Photolysis of Nitrogen Oxides (NO2) occurs in coincidence with the oxidation of Nitrogen
(NO). The result is decompression and a reduction of O3 concentrations; a balancing act
what is created is equal to that which is decomposed, keeping everything in balance.
When NO is oxidised by radicals such as VOCs, Nitrogen Oxide (NO2) is produced, which
leads to the accumulation in the amount of ozone present.
The accumulation of ozone, however, is simply not just dependent on the amounts of these
precursors but has more to do with their ratios in the atmosphere. If this ratio of VOCs to
Nitric Oxides (NOx), is greater than 5.5 then organic radicals are produced from the reaction
of VOCs and hydroxyl radicals OH. It is these organic radicals that help convert Nitrogen
(NO) to Nitrogen Oxide (NO2) and create more ozone formation.
If this ratio is low, the hydroxyl radicals OH react with NO2 creating nitric acid HNO3,
which decreases the amount of NO2 in the air available to take part in the reaction. Thus,
less ozone is created.
This mixture of compounds generates what is commonly known as summer photochemical
smog or oxidation smog.
Since 1850, there has been a doubling in vehicle and industrial emissions of NOx and COC
(both ozone pre-cursors). The rate of ozone formation in these areas of human activitygenerated pollutants is occurring much faster.
Global Climatic Changes are currently being slowed by the CO2 storage capacity of both
plants and soils, which can store up to 1/4 of all human produced CO2 emissions. If there is
an increase in ground surface ozone, this will result in a greater accumulation of CO2 in the

atmosphere a known participant in causing Global Climatic Changes.

O2 is persistent and can travel long distances, so it can affect not only locally polluted areas
but also surrounding and nearby areas affecting not only crops, plants and trees but also
animal and human health. It is due to these reasons that surface ozone is classed as a
significant air pollutant.
What does Surface Ozone do?
Current global pollution initiatives have led to a decrease in the production of Sulphur
Dioxide allowing ozone to become a dominant phytotoxic pollutant.
Ozone has the ability to create toxic substances as well as interfering with the function of cell
membranes, all due to its high oxidation capacity.
In environments where ozone has been present for many plant life-cycles, those sensitive to
changes in the level of ozone will be suppressed and will finally disappear, to be replaced by
less sensitive species, changing the local ecology.
This extinction of one species is achieved due to the high oxidation capacity of the ozone.
Plant cell membranes are affected which leads to physiological functions being disrupted.
Leaf and needle damage is also likely to develop, which affects the plant's ability to absorb
CO2, suppressing plant growth and leading to a decrease in local plant production and
reduced agricultural crop yields.
As well as their observed effects on ecosystems, it is surface ozones impact on human
health that is a major concern. It can result in nose and eye irritation and a reduction in lung
capacity all vital concerns.
3.3 Smog.
Smog is a form of air pollution which contains hundreds of chemicals from different sources.
It is created when sunlight reacts with various air pollutants (such as NOx and VOCs), to
produce secondary pollutants (a mix of inimical chemicals) that forms photochemical fog
when combined with the primary emissions.
The air pollutants involved in the creation of smog come mainly from vehicular and industrial
emissions.
When fossil fuels are burned in vehicle exhausts or from other sources, such as industrial
manufacturing factories, fires and waste treatment plants, Nitrogen and Oxygen are released
and, under high temperatures, create a reaction forming Nitrogen Oxides.
VOCs are released from man-made sources e.g. petrol, solvent and pesticide production
and use. Car engines, especially those using diesel, emit both soot and lead particles which
are known as air pollutants, assisting in the creation of smog.

China on a sunny day

China on a smoggy day

The reaction which creates photochemical smog leaves airborne particulate matter and
ground level ozone. This particulate matter includes CO2, dirt, soot, ozone and dusts which
can smother and clog plant pores, suppressing plant growth and causing extinctions and the
emergence of new dominant species. This in turn affects animals using these less resilient
plants as their main means of sustenance a reduction in a food source creates a reduction
in the number of species further up the food chain.
The inclusion of high levels of lead in the air, deposited in water sources, can lead to
bioaccumulation within a food chain. This pollutant would be passed from feeding parent to
infant, wiping out the younger generations and those less tolerant allowing other species to
dominate.
3.4 Persistent Organic Pollutants (POPs).
POPs are unintentionally produced toxic chemicals resulting from some industrial and
combustion processes that are harmful to the environment both flora and fauna.
They can exist in different forms, such as a gas or as a solid attached to airborne particles,
so can be transported by different media through environments and species.
POPs can be evaporated from water or land surfaces into the air, can be absorbed by
airborne particles and then returned as snow, rain or mist.
POPs can be deposited in water sources directly or transported through them by the normal
flow of water, or carried via certain migratory species of fish and/or birds to other areas.
The passing of POPs through species via the food chain is also a major problem, especially
in developing countries.
POPs can be deposited on land surfaces, to be absorbed by plant or enter water supplies.
Species that then eat these plants or drink from these water sources will be contaminated
with a small proportion of these substances. However, repeated exposures over time can
lead to the POPs building up in the species body, especially the organs and body fat,
leading to higher concentrations (biomagnification). This is then transposed further up the
food chain once these species are eaten by predators thereby spreading the POPs from
the bottom of a particular food chain right to the top predators which, in the majority of

cases, is man. This shows that even minute releases of such substances can have major
effects on an entire ecosystem.
The food chain is a transport method by which pollutants can spread through different
species but POPs can also be transferred within a species during gestation. The pollutants
can spread via the placenta or from milk directly to the embryo/infant from the parent. The
embryo/infant (not yet at full strength) may not be able to adapt to the influx of POPs leading
to the next generation of a particular species being killed in the womb or born with defects
and unable to compete for food. This can lead to the eventual extinction of a particular
species within this ecosystem.
Releases of such pollutants may only have a limited impact initially but once deposited in
ecosystems especially water environments where they bond to particulate matter and
settle, they can be re-introduced to an environment if they are disturbed, further expanding
the initial contamination.
Examples of POPs include Polychlorinated dibenzo-P-dioxins (Dioxins) and Polycyclic
Aromatic Hydrocarbons (PAHs).
There are over 100 different types of chemicals that come under the heading of PAHs. They
are produced via the incomplete burning of fossil fuels (especially coal) and from vehicle
exhausts. In high concentrations, these chemicals are toxic.
These substances can be evaporated from land or aquatic environments into the air, or they
can attach themselves to solid particles. This can occur in water where the pollutant ends up
at the bottom of the water body, or it can happen in soils where some PAHs have the ability
to percolate through to groundwater stores and contaminate them.
Some PAHs react with solar radiation and other chemicals in the atmosphere and break
down. However, this process can take between a few days to a few weeks to occur in
which time contamination of water sources and soils could already have occurred.
3.5 Carbon Dioxide - A Greenhouse Gas.
When two oxygen atoms combine with a single carbon atom, Carbon Dioxide (CO2) is
formed. In the atmosphere, at standard temperature and pressure, CO2 exists in a gaseous
state.
For the Earths temperature to be in a steady state, so that the Earth does not rapidly heat or
cool, there must remain a balance between the amount of visible light energy received from
the sun and the amount of infra-red energy constantly being emitted from the Earth to space.
The outgoing infra-red heat energy is radiated back into the atmosphere where it is absorbed
and trapped in the atmosphere by naturally-occurring gases, creating a greenhouse effect.
This effect was discovered by Joseph Fourier in 1824, and first investigated quantitively by
Svante Arrhenius in 1896.

The atmosphere, land and oceans of the Earth are warmed because of these greenhouse
gases, keeping the surface temperature at around 32oC warmer than it would be otherwise
and helps to sustain life.
In the absence of the greenhouse effect, the Earths average surface temperature of 14oC;
(57oF) would be about -18oC (-0.40F).
Many chemical compounds found naturally in the atmosphere (where vapour, CO2, methane
and nitrous oxides) exhibit these greenhouse properties as do certain man-made industrial
gases.
One atmospheric gas is more dominant in altering the greenhouse balance; this is CO2. Its
prevalence is due to its natural occurrence and the high quantities released as a result of
human activities.
Over millions of years, carbon became buried and stored under the Earths crust, forming
fossil fuels (coal, oil and natural gas). Since man discovered their existence, these stored
carbon deposits have been extracted and utilised via burning for energy production.
It is during the combustion process that carbon particles are released into the atmosphere,
where they combine with oxygen to form CO2.
The amounts of CO2 produced from the increase in the burning of fossil fuels combined with
deforestation, all a result of industrialisation, has led to an increase in the amounts of CO2
found in the atmosphere.

The observatory at Mount Loa has been taking measurements of the CO2 concentrations
and has found that they have risen by 62 parts per million (ppm) in the last 15 years
(313ppm in 1990 to 375ppm in 2005). Overall it has been estimated that since
industrialisation began, atmospheric CO2 concentrations have risen by about 35%.
Elevated concentrations of CO2 has increased the amount of infra-red radiation (heat
energy) that becomes trapped in the surface troposphere, creating an imbalance between
greenhouse gas emissions and absorptions which is believed to have caused the global
mean temperatures to increase.
This conclusion was also reached by the Intergovernmental Panel on Climate Change after
an extensive view of scientific literature. They stated that most of the observed increase in
globally averaged temperatures since the mid-20th Century is very likely due to the observed
increase in anthropogenic greenhouse gas concentrations.
The movement of carbon between the atmosphere, the land and the oceans is dominated by
natural processes, such as plant photosynthesis. While these natural processes can absorb
some of the net 6.2 billion metric tonnes of anthropogenic CO2 emissions produced each
year, an estimated 4.1 billion metric tonnes is added to the atmosphere annually.
This positive imbalance between greenhouse gas emissions and absorption results in the
continuing increase in atmospheric concentrations of greenhouse gases which perpetuates
the increase of the Earths surface temperature.
This resultant temperature increase produces changes in precipitation patterns, storm
severity and sea levels all of which will all greatly affect the biodiversity of both flora and
fauna across the globe.
Question 5.
POPs are unintentionally produced toxic chemicals resulting from some industrial and
combustion processes that are harmful to the environment both flora and fauna
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

4.0 International & National Control Strategies for Carbon Dioxide Emissions.
This section will look at some of the main strategies that are currently in operation to reduce
or stop the emissions of Carbon Dioxide into the atmosphere at both National and
International levels.
4.1 Climate Change: The UK Programme 2006.

This programme sets out the UK Governments commitments, at national, international and
domestic levels in order to reduce overall greenhouse gas emissions by around 15-10%
below the 1990 levels by 2010, and by 60% by 2050.
The programme also sets out approaches which aim to strengthen the role that individuals
can play in reducing emissions and encourages them to take action to help the UK achieve
their goals under the Kyoto Protocol.
The Primary elements of this programme are summarised below.
At an international level, the UK will:

determine the level of action needed to stabilise the climate and avoid dangerous
climate change as well as build on the progress made at the G8 Summit;

work with the EU to extend and strengthen the Emissions Trading Scheme and the
Clean Development Mechanism (CDM);

increase their effects to help large emerging countries to develop as low as carbon
economies;

ensure the expansion of new technologies, with regards to standards, research and
development, by supporting international collaborations and co-ordinations.

At the domestic level, the UK will:

monitor and report annually on emissions levels and set out future plans and
progress on a domestic level to parliament.

How this will be achieved is broken down into specific actions for different sectors.

For the Energy Supply Sector, the UK will:

spend 80m in the next three years to support microgeneration technologies (which
produce heat and/or electricity from a low carbon source);

provide 35m over four years for the development of carbon abatement technologies;

continue to support the creation of electricity from renewable sources under the
Renewables Obligation and they will address and try to overcome any barriers to
take-up.

For the Business Sector, the UK will:

increase the uptake of biofuels and ensure a long term framework is in place to
promote addition investment as part of the Renewable Transport Fuel Obligation
(RTFO);

continue to use fiscal instruments, such as Vehicle Excise Duty and Company Car
Tax to give incentives to purchase less polluting vehicles;

work strongly to achieve further commitments from vehicle manufacturers to improve

fuel efficiency;

continue to promote carbon offsetting and lead by example to offset the emissions
arising from central government air travel.

In the Domestic Sector, the UK will:

ensure that minimum standards for energy and water efficiency as per the Code for
Sustainable Homes;

raise the energy standards of new and refurbished buildings under the Buildings
Regulations in April 2006;

provide more reliable information on consumer products;

deliver energy efficiency measures in low-income households under the Energy

Efficiency Commitment, Warm Front and Decent Homes Schemes;

raise awareness of climate change and let individuals know what action they can
take to help, achieved through supporting the activities of the Energy Saving Trust
and the Climate Change Communications Initiative.

In the Public and Local Sector, the UK will:

set up a 20m new revolving loan fund to finance investment into energy efficiency.

In the Forestry, Agricultural and Land Management Sectors, the UK will:

promote resource efficient farm management in order to reduce agricultures

contribution to greenhouse gas emissions;

examine the scope and feasibility of an emissions trading scheme for the agriculture
and forestry sectors; this information is provided as a general overview of the
programme.

4.2 The Gleneagles Dialogue.

This was launched in 2005 as part of the UKs Presidency of the G8 convention as a forum
for open, honest and frank discussions. This process brings together the 20 countries with
the greatest energy needs and allows them to informally discuss innovative ideas and new
measures to tackle climate change outside of the formal negotiations under the United
Nations Framework Convention on Climate Change (UNFCCC).
This was the final ministerial meeting of the Gleneagles Dialogue and was attended by those
ministers and senior officials from the International Energy Agency, the World Bank and
Regional Development Banks, legislators from the GLOBE, related business groups and
non-governmental organisations.
At this meeting, the importance of improving energy efficiency to reduce greenhouse gas
emissions was discussed along with renewable energy. Information was shared on initiatives
for developing technologies and funding arrangements, allowing countries to expand on the
number of options open to them.
The dialogue also had another purpose, which was to monitor the commitments made under
the G8 conference to ensure all the action decided upon have been delivered.
The International Energy Agency (IEA) was asked to step in by the G8 to assist countries
with implementing their action plans by providing advice and strategies on alternative, clean
energy.
From the dialogue, the G8 and financial institutions such as the World Bank were drafted in
and asked to create a framework of investing in and financing clean energy projects.
The outcome of the dialogue was that agreements were reached on:

A political statement on the importance of climate change.

The Gleneagles Plan of Action. This is a package of measures to combat climate
change.

The Action Plan takes forward actions needed in the following key areas:

Transforming the way we use energy.

Powering a cleaner future.
Promoting research and development.
Financing the transition to cleaner energy.
Managing the impact of climate change.
Tackling illegal logging.

4.3 Climate Change Bill.

In order to tackle climate change, the UK introduced a legally binding framework (the
Climate Change Bill) in 2007. This was the first such bill to be put forward, and completed its
passage through the House of Lords in March 2008.
The purpose of the Bill is to put into law the targets devised for the UK in regards reducing
their CO2 emissions by 60% by 2050 (based on the levels from 1990).
In order to ensure that these targets are met, the UK devised 5-year carbon budgets, which
set limits on CO2 emission. To ensure compliance, independent bodies will scrutinise annual
emission records and companies/producers will be held accountable.
Under the Bill, the UK are allowed to invest in foreign low carbon technological projects,
which can gain them points under trading schemes and count towards their reduction
targets. This also ensures that the UK meets its international obligations. The Bill will also be
used to support and enhance other schemes such as the operation of the Renewable
Transport Fuels Obligation (RTFO) and local incentive schemes to encourage the
minimisation of household waste through a variety of means, including recycling.
The Bill introduces certain powers in regards to the introduction of new trading schemes, risk
assessments and action plans produced by public bodies and statutory undertakers (utility
companies providing a service). The development of new trading schemes, such as the
Carbon Reduction Commitment, through secondary legislation, allows targets to be reached
and budget boundaries to be maintained due to the greater options available. That is not to
say that new schemes will be set up at the drop of a hat; all proposals must be consulted
upon by the Government, at which point they are analysed and scrutinised before the
proposal is given the go-ahead.
In order to ensure that the impacts of climate change are correctly and frequently assessed
in line with policies, targets and reduction control measures, the Government must produce
an annual report to Parliament.
For more information please visit Climate Change Bill.
4.4 United Nations Framework Convention on Climate Change (UNFCCC).

The objective of this convention was to stabilise the concentrations of greenhouse gases in
the atmosphere to a level that would prevent further interference with the climate.
This should be achieved within a sufficient period to allow the climate to adapt naturally to
any changes in order to prevent any adverse effects on food production or economic
development.
Parties involved should take precautionary measures not only to minimise or prevent the
causes of climate change but also to anticipate and mitigate any adverse effects.
Parties are committed to:

monitor and report on their emissions;

put plans in place to control emissions;
promote sustainable management;
include climate change measures within policies;
promote and co-operate in research and development to further knowledge and
control emissions;
promote and co-operate in raising awareness of climate changes.

The UNFCCC led to the development of the Conference of the Parties, which was set up to
review and adapt any new/related legislation into the Convention.
To ensure that the Parties had access to knowledge, a subsidiary Body for Scientific and
Technological Advice was established. It comprises governmental representatives,
competent in the relevant field of expertise. This body has been given the task of assessing
new technologies and information and providing guidance and assistance as best they can.
All their research is then reported to the Conference.
To ensure that Parties can successfully promote the use of alternative methods of power
generation and control their emissions, a financial resource mechanism was set up on a
grant or concessional basis. Anyone wishing to apply for funding must go through the
conference, where their proposals are assessed.
The Conference of the Parties allows, in its policy, the adoption of Protocols to support their
goals/aims. Once such is the Kyoto Protocol.
4.5 Kyoto Protocol.

The UNFCCC was the first step in managing climate change but even this, on its own, was
not sufficient to make the necessary reductions in emissions that were felt needed in order to
prevent further climate changes. So in 1997, the Kyoto Protocol was agreed.
Where the UNFCCC encouraged developed countries to reduce their emissions of
greenhouse gases, the Protocol commits them to it.
The Protocol sets legally binding limits via a cap and trade system on the amounts of
greenhouse gases that can be released during its activation period of 2008-2012.
The gases that are the focus of the Protocol for emission reductions were:

Carbon dioxide.
Methane.
Nitrous Oxide.
Hydrofluorocarbons.
Perfluocarbons.
Sulphur Hexafluoride.

The treaty is aimed at - and places a heavier burden on - developed nations as they are
more likely to have the funds and technology needed to reduce emissions. So far 172
countries which signed the treaty have ratified it (taken it as law), except one.

Despite signing the treaty, the USA has not yet ratified it and due to its closing date of 2012,
it is thought that it will not occur. This has caused a lack of trust in the Protocol as the USA is
releasing the largest amounts of these gases.
At the start of the Protocol, all developed countries agreed their emission quotas which
should reduce overall emissions of greenhouse gases by around 5% of the levels recorded
in 1990, by the end of 2012.
Each participating country was assigned a different reduction level the UK reduction target
was -12%, Germanys was -21% whilst the Netherlands agreed to -6%.
As well as setting countries emission limits, the protocol has also set up various mechanisms
which help participating parties meet their targets.

These mechanisms are:

Bubble Policy.
Joint Implementation.
Clean Development Mechanisms.
Emissions Trading Schemes.

Bubble Policy
The bubble policy is the basis for determining and re-distributing of the targets based on a
Member States current circumstances, economic growth and future reductions.
Joint Implementation
Article 6 of the Protocol defines this mechanism, stating that countries can participate in
emission-reduction or removal projects. This benefits the host as investments are brought in
with a transfer of new technology, whilst the participating Parties have flexible and cost
efficient ways to earn Emission Reduction Units (ERUs) which counts towards reducing their
emission levels under the Kyoto Protocol.
Clean Development Mechanisms (CDMs)
The CDM is the first investment and credit scheme on an environmental level, providing a
standardised mechanism which can be used to offset levels of emissions.
Article 12 of the Protocol stipulates that countries with emission reduction/limitation targets
can take part in reduction projects in developing countries, therefore allowing them to earn
saleable Certified Emission Reduction (CER) credits (equivalent to one tonne of CO2), which
is counted towards meeting their targets.
All CDM projects are sent to the UNFCCC where they are assessed and validated
ensuring that they would indeed create actual emission savings and be a worthwhile project
to both the Party nation and the developing country.
Since 2006, more than 1000 projects have been registered under this mechanism, providing
CERs worth more than 2.7 billion tonnes of Carbon Dioxide (CO2).
European Trading Scheme (ETS)
The guidelines on these trading schemes are set out in Article 17 of the Protocol. This
scheme allows those who manage to keep their emission units below their targets to sell
them to countries which exceed theirs.
The details of the ETS will be discussed in more detail in a later section.
Overall, the schemes and the Protocol itself have led to some reductions in emissions from
some fields but there is still more work needed if the reductions are to be sufficient enough
to reduce or stop climate changes, especially considering that the largest producers of
greenhouse gas emissions are not even legally bound to participate.
5.0 EU Emissions Trading Scheme.

What is Emissions Trading?

Emissions trading is a paper-based method of pollution control, achieving pollutant emission
reductions by offering economic incentives.
This type of trading is sometimes referred to as 'Cap and Trade'.
The goal of the trading is to ensure that the least cost to the economy is experienced when
reducing greenhouse gas emissions from the covered sectors, whilst also helping the
European Union and its Member States achieve their emission targets as per the Kyoto
Protocol requirements.
5.1 What is the European Trading Scheme?.
The European Union developed the European Trading Scheme (ETS) after building on the
pioneering systems developed and set up under the Kyoto Protocol during the 1992 United
Nations Framework Convention on Climate Change (UNFCCC).
The EU ETS is the largest multi-national/multi-sector greenhouse gas trading scheme in the
world and is a major pillar of EU Climate Policy.
It was proposed by the European Commission and established through binding legislation
(Directive 2003/87/EC). The scheme was approved by the EU Member States as well as the
European Parliament and was initiated in January 2005.
The system was set up in order to reduce the threat of serious disruption to the world's
climate and focuses on emissions which can be measured, reported and confirmed with a
large level of accuracy.
The ETS is committed to reducing human produced greenhouse gas emissions by 8% from
the 1990 levels by the year 2012.
This reduction goal has been filtered down to each of the Member States by general
agreement into separate emission reduction or limitation targets that, once agreed, are
legally binding.
The EU believe the ETS offers the most cost-effective way for participating countries to
move towards the low carbon economy of the future and reduce gas emissions by
establishing markets for emission allowances and therefore creating a price for carbon.
To help all the installations participating to comply with their obligations, the ETS allows
those involved to use credits from other project-based systems currently operating under the
Kyoto Protocol such as the Clean Development Mechanism (CDM) and Joint Implementation
(JI)
In addition to being cost-effective, the scheme also helps developing countries and those
with changing economies to receive business investment for emission reduction projects.
5.2 Who Is Covered in the Scheme?.
In the first phase of the scheme (between 2005 & 2007) it was the largest emitters of gases

which were included. These were mainly those in the power and heat industries. Other
energy-intensive industrial sectors were also included which covered

combustion plants,
oil refineries,
coke ovens,
iron & steel plants,
cement works,
glass foundries,
lime kilns,
brickworks,
ceramics,
pulp and paper mills.

To help determine which plants in the various sectors were to be included, a size threshold
was used based on production capacity or output.
In 2005, when the scheme began, there were only 15 Member States in the EU - all of which
participated in the ETS.
As the number of countries in the EU increased, so too has the number involved in the
scheme. Of the 27 EU Member States, 25 of these are currently participating in the second
phase which began in January 2008.
10,500 installations across these 25 Member States are currently covered under the ETS.
These installations are estimated to equate to around 50% of the EU's total Carbon Dioxide
emissions and around 40% of its overall greenhouse gas emissions.
5.3 How Does the ETS Work?.
According to the European Commission booklet 'EU emissions trading: an open system
promoting global innovation' (2007), the ETS is based on 6 fundamental principles:

it is a cap and trade system;

its initial focus is on CO2 from big industrial emitters;
implementation is taking place in phases, with periodic reviews and opportunities for
expansion to other gases and sectors;
allocation plans for emission allowances are decided periodically;
it includes a strong compliance framework;
the market is EU wide but taps emission reduction opportunities in the rest of the
world through the use of the Clear Development Mechanisms (CDM) and the JI (joint
Implementation) and provides for links with compatible systems in the third world.

During each phase, the individual Governments set a limit or cap on the amount of
greenhouse gases allowed to be emitted in that period.
Installations are issued emission permits and must have a number of allowances
corresponding to the specific amount they are allowed to emit.
As allowances cannot surpass their imposed cap, the level of emissions is therefore limited.
Each trading period lasts for a number of years so the allowances given out by the EU are
designed to cover the whole period. This method helps counteract annual abnormalities

sometimes experienced from extreme weather conditions, which can affect CO2 emission
levels.
At present, and since the beginning of the scheme, installations receive their allowances
from the EU Member States Governments on an installation by installation basis, free of
charge. However, installations have the option to purchase more EU allowances from other
installations, traders or the Government.
Installations having received more allowance than they need are free to sell the excess to
anyone wishing to buy.
To encourage installations to look at other approaches to emission reduction - such as the
use of newer, cleaner technologies - the EU Governments issue allowances that are less
than the installation would have normally emitted under the business-as-usual
circumstances.
To ensure the system is working efficiently and effectively, the EU requires all participating
installation to monitor and report on their emissions each year to ensure they are currently
not emitting more than their allowance permits.
5.4 Allowances.
As previously stated, most allowances are obtained free of charge fro the EU ETS - at least
90% in the second phase (2008-2012). Plans for a third phase (2013-2020) have been
announced.
Allowances for emissions must not be higher than the installations actually need and must
take into account the emission-reducing prospective of each of the installations activities.
Under the scheme, National Allocation Plans (NAPs) are drawn up by each Member State.
These NAPs allocate the total quantity of CO2 emission allowances to each installation to
cover all trading periods.
NAPs are developed using criteria and rules set out in the legal framework which fashioned
the EU ETS.
As part of the scheme, once the participating Member States have allocated allowances to
each of their installations and have agreed their National emission caps, the documentation
is then forwarded to the European Commission for approval.
Once National plans are approved by the Commission, the total quantity of allowances
provided to each Member State cannot be changed nor can the installations individual
allowance be altered once allocations have been finalised.
During the trading phases, after allowances have been allocated, Member States are
required to track and corroborate their actual emissions against the amounts that were
assigned to them.
All allowances are then returned at the end of each trading period.
Under the EU ETS, one allowance permits the holder to emit one tonne of CO2 but the
allocation of too many allowances would mean less cost-effective ways would have to be
taken in order to cut emissions.
Allocations are free to be bought and sold in the market by not only the installations included

in the scheme but also anyone else such as non-governmental organisations or even
individuals.
Unfortunately, due to their lesser long-term climate change contributions in comparison with
reducing industrial emissions, ETS credits cannot currently be gained from sinks
(environments/objects/activities which absorb CO2 emissions, e.g. tree planting).
5.5 Transaction Registers.
As part of the scheme, the Member States set up accounts in electronic registers, which hold
details of each installation's allowances.
However, to ensure uniformity within the registers, a secure and standardised system was
developed under European Commission legislation. These registers are based on the
standards developed for the UN Data Exchange.
Within this system of registries, the issuing, holding, transferring and cancelling of
allowances can be tracked.
To ensure the smooth running of the registries, the EU has appointed a central
administrator, whose role is to oversee the whole system by checking for irregularities in
every transaction log.
5.6 Trading.
The transfer of emission allowances is referred to as a trade and it is the limit of allowances
available which created the ever-increasing need for trading markets to emerge.
How and where such trading takes place is not defined in any of the legal frameworks
supporting the scheme, so participants trade directly with each other or they can buy and sell
allowances via a broker or exchange.
As with any other market, supply and demand determine the price of allowances so
companies can sell their excess allowances - should they manage to keep their emissions
below their limit.
In effect, under the scheme, those who reduce their emissions are rewarded as they can sell
their excess for profit whilst those continuing to pollute are having to pay the costs of having
to buy more allowances.
Those that have difficulty in keeping below their emissions allowances do not just have to
buy additional allowances through the markets, they also have the option of taking emission
reducing measures or mix the two options, whichever is the cheaper. This continues to
ensure that the emissions are reduced in the most cost-effective way possible.
According to the Commission, the ETS quickly became the main driving force behind the
expansion of the global carbon market and now European trading constitutes some 80% of
the global turnover of CO2 allowances and credits.
In 2005, at least 270 million allowances (tonnes of CO2) were traded with a value of 5
billion.
In 2006 trading volumes rose to more than 800 million allowances, valued at 14.6 billion
and in 2007, this level was reached after only seven months of the year.
5.7 Compliance & Monitoring.

To ensure compliance with the scheme and give economic incentives a central role, a tough
framework of measures is incorporated into the European Union's Emissions Trading
Scheme.
All emissions from the 6 greenhouse gases defined under the Kyoto Protocol, are controlled
by permits, issued to all ETS installations by its Government.
The permit is granted on the condition that the operator is able to monitor and report their
emissions, the specific requirements of which are set out in the permit itself.
Operator compliance is achieved via different measures depending on the Member State in
question. Some installations are subjected to random spot checks; one such place is the
Netherlands, which have set up regular visits to a third of all their installations each year of
the trading period.
The monitoring requirement states that all installations must keep check of all their CO 2
emissions each calendar year. These results must then be reported. All reports are
independently verified on the basis of ETS legislation criteria.
All reports are then made public.
No operator is allowed to sell their allowances until their previous year's emission reports
have been satisfactorily verified.
Under the scheme, a number of allowances corresponding to their verified CO2 emissions
must be surrendered by every installation at the end of each calendar year. The allowances
are cancelled so they cannot be used again.
It is at this point that left-over allowances can be sold or saved for future use.
A fine for excess CO2 emissions is paid by all installations that surrender too few allowances
to cover the tonnage of emissions they produced. From 2008, the fine for such an action is
100 per tonne.
To make up for their shortfall the following year, operators must obtain allowances and as a
further punishment of sorts, the installations' names are then published in a 'name and
shame' scheme.
5.8 Penalties.
If emissions trading legislation is breached, Member States should implement effective
penalties, according to Article 16 of the Directive.
Maximum fines range from 3000 to 15 million depending on geographical location.
In Hungary, an amount that is equal to the total excess emissions produced is automatically
deducted from the allowances allocated for the next trading period.
5.9 Phase 1.
Phase 1 encouraged participating Member States to trade emission allowances and credits
from other schemes amongst themselves.
This first trading period of the EU ETS commenced in January 2005 and expired in
December 2007. All the EU allowances issued during this phase became invalid once the
period terminated.

It was during this first phase that the emergence of a strong carbon markets was seen,
leading to 326 million tonnes of CO2 being traded, at a cost of 7.2 billion.
Increased confidence in the scheme was achieved on a global level in 2006 when
compliance of the ETS was at an all-time high.
However despite some benefits, the scheme received much criticism from all quarters after
this initial period ceased. Many alleged the Member States were oversupplied with
allowances and they also disagreed with the distribution methods of grandfathering rights as
opposed to the method of auctioning - which was believed to be more appropriate.
This criticism sparked an investigation by NGO Climate Action Network. The investigation
concluded that as a whole, allocations were 4.3% higher than the base year for all of the
original 15 Member States. This resulted in a price crash in the trading worth of greenhouse
gas emissions from 30 per tonne in May 2006 to 0.03 per tonne at the beginning of
December 2007, as installations have more allowances than they needed, so therefore saw
no need to trade.
Overall reduction in emissions during this first phase had been minor due to overallowancing. Tightening of these caps is the only way that the scheme will become more
environmentally effective.
5.10 Phase 2.
The second trading period has been under way since January 2008 and will last until the end
of December 2012.
In this second phase, the ETS was open to more countries which were currently participating
in other mechanisms under the Kyoto Protocol.
This time around, the EU was tougher on plans submitted by Member States - dismissing
many as requesting too many allowances.
Plans have already been announced for a third phase (2013-2020).

5.11 Outcomes.
Through the introduction of this scheme installations within the EU are now learning to
function in carbon-restricted environments and, due to allowance limitations, are now looking
at developing other strategies to reduce their emission of greenhouse gases in the most
cost-effective way possible.
For the first time in history, the strict monitoring and reporting procedures required under the
ETS are forcing companies to pay more attention to their emissions and establish
management systems and budgets for carbon.
In April 2010, figures released by the Commission showed that greenhouse gas emissions
across the European Union were in steep decline. Emissions covered by the EU Emissions
Trading Scheme between 2008 and 2009 dropped by 11%, following on from a cut of 6% the
year before.
The 11% drop in 2009 left the caps on European emissions higher than actual emissions for
the first time since the second trading phase started in 2008. The first phase of trading from

2005-07 had exactly the same problem with caps languishing high above actual emissions
thanks to member states handing out overly generous allowances. This phase was meant to
be tougher but the effect of the recession combined with continued generous allowances to
heavy industry has put paid to that.
Overall, there were 62m more permits in circulation last year than there were emissions. An
additional 70m were released for sale in auctions taking the total surplus to 142m. But this
masks the fact that there is a tug of war going on between the power companies of Europe
and heavy industry. Power generators saw their emissions fall by 119 tonnes (8%) last year
but that still left them 124 tonnes short of permits. On the other hand heavy industry
including steel and cement saw a fall of 96m tonnes (18%) leaving them with 185m tonnes of
permits spare or 30% more than they needed. If they were to sell them at today's prices this
would raise 2.4bn (2.13bn), with most of this money coming from consumers of electricity.
A decision about future caps on emissions between 2012 and 2020 had to be reached finally
in June 2010. At the moment, under the EU's target of a 20% cut in emissions by 2020 this
would mean a reduction in the cap of 1.74% a year. The released figures (April 2010)
revealed that the EU was already half way to achieving that reduction level with a decade
still to go. Given the cuts achieved to date, which can be banked, and the levels of
reductions rich countries like the EU are now expected to deliver, it would seem tighter
targets are the only sensible way forward.
5.12 Future Developments.
Currently under discussion for 2011 is the extension of the scheme to include emissions
from aviation as well as a broadening and strengthening process from 2013 to ensure that
the ETS remains a solid building block of the global carbon market.
By 2020, provided it has the full commitment from other developed countries, the EU has
stated that it will reduce its greenhouse gas emissions to 30% of the 1990 levels. Even if this
co-operation of countries is not achieved, the EU has still committed itself to a 20% reduction
in emissions in the same time frame.
In 2013, when the third trading period will begin, the emission allowance limits will be
decided upon on the basis of the new EU emission reduction targets mentioned above.
Question 6.
Which of the following are National or International climate strategies?
Multiple Choice (HP)
Answer 1:

Climate Change: The UK Programme 2006

Response 1:
Jump 1:

This page

Answer 2:

Gleneagles Dialogue

Response 2:
Jump 2:

This page

Answer 3:

Climate Change Bill

Response 3:
Jump 3:

This page

Answer 4:

All of the above

Response 4:
Jump 4:

Next page

Answer 5:

Kyoto Protocol

Response 5:
Jump 5:

This page

Answer 6:

UNFCCC

Response 6:
Jump 6:

This page

6.0 Alternatives to Fossil Fuel.

Due to the rapid depletion of current reserves of fossil fuels, it was soon realised that there
would come a time when reserves would no longer accommodate the amounts that the
world needs.
Alternative means of generating power have therefore been investigated and due to more
recent concerns over global climatic change, have been given more weight.
The following section will take a look at some of these alternatives to fossil fuels.
6.1 Solar Power.
Essentially, solar power is about converting sunlight into electricity. This can be achieved by
using solar panels to convert sunlight to heat water or using parabolic mirrors to heat water
and produce steam, which turns the turbines/generators.
However, as technologies and knowledge have increased, the methods have been
surpassed by the photo-voltaic cell. This device uses semi-conductors to directly convert
sunlight into electricity.

These cells are devised using crystals such as copper indium diselenide, gallium arsenide
and gallium antimonide. The most effective of these crystal semi-conductors is gallium
arsenide - but it also happens to be more costly.
The cost is one of the main reasons why solar power has not fully taken off as expected,
especially when combined with the fact that efficiency is currently low. This is improving but
not at a speed to warrant a breakaway from the regular fuel sources.

6.2 Wind Power.

Wind power is generated by using the wind to turn blades on a tower. These blades are
connected to turbines which cause magnets to rotate, generating electrical energy.

Although this would seem like an obvious choice as a power source, it is in fact under
utilised.
Wind farms initially have a high outlay which puts many prospective producers off, but they
can be run at a low cost.
The more efficient plants are those which are located in areas with high amounts of wind at
high speeds the greater the speed, the more power produced.

One country which has embraced the concept of utilising wind power is Denmark. Denmark
has one of the largest wind farms in the world, with 100 turbines producing electricity in the
west of Jutland in Velling. These turbines have the capacity to produce 13MW of power.
This wind farm is located inland but Denmark also has an offshore farm, the first in the world.
This farm is located up to 3km off shore from Lolland Island in the Baltic Sea. It contains 11
turbines, producing 12 million KWh of electricity, supplying 10% of Denmarks energy
requirements.
Further plans are under way to create more wind farms, encouraged by subsidies of up to
40%.

The advantages of wind power include:

It is a cleaner source of energy than fossil fuels.

No pollution occurs as a result of wind power generation as there are no by-products
such as CO2 or other greenhouse gases.
Wind power is a renewable energy source.
Wind turbines can be set up anywhere ensuring those people in remote locations
have access to power.
Wind turbines are capable of being sited with little or no disruption to the area.
Farming and grazing can still continue on areas with turbines and as such, the siting
costs are generally low.

Despite these benefits, there are negative issues associated with using wind power to
generate electricity.
These disadvantages are:

They cause noise pollution in the vicinity of the turbine.

Electromagnetic interference is also caused.
The application for wind turbines/wind farms are often dismissed due to
complaints/protests from local residents/communities. The complaints are based
around the turbines being unsightly or obstructing the view. In the UK, this has been
a re-occurring problem with wind farm applications, especially considering that the
potential sites are usually within national parks or other types of protected areas.
These areas are generally the best locations for wind generation.
Wind power generation is unpredictable, as there will be times when there is no wind
or it is at such a speed that means only a small proportion of electricity is generated.
It has been known (through studies) for wind turbines to affect the migratory pattern
of birds, and many birds have been injured or killed after flying into the rapidly-turning
blades of the tower. New turbines are built with blades which rotate at a slower rate

visible to birds.
6.3 Biofuel.
Biomass fuels utilise waste products to produce electricity. These waste products can be
from both flora and fauna which, when they decay, produce energy in the form of the gas
methane.

Rapeseed field for biofuel production

In landfill sites designed specifically for biofuels, this release of methane is captured and
burned to create electricity.
Methane is produced naturally during decay via bacteria. The organic material is broken
down by anaerobic digestion. This decay is a stepped process with the first stage being the
production of sugars, including glucose (C6 H12 O6). These sugars are then further broken
down by acetogenic bacteria to form fatty acids. The final stage is the production of the
biogas (landfill gas) when the organic matter is further broken down under anaerobic
conditions, by methonogenic bacteria.
Estimates show that over 7000MJ of heat energy can be produced from 400M2 of gas, the
equivalent of 1 tonne of bio-degraded waste.

The advantages of biomass/biofuel include:

Biomass can be used to generate electricity or, if suitably cleaned, can be used as a
substitute for other fuels, for example vegetable oil, once transesterified or heated (if

straight oil) can replace diesel.

Biofuels have higher flashpoints than other fuels, which makes them safer to use and
store.

The production of biomass recycles waste, which should ease the demand for nonrenewable fuels.

Biomass is a constant energy source as waste of this nature is always produced.

Most methods of producing biomass are clean alternatives and their environmental
impacts are negligible. Examples of such methods include fermentation and
pyrolysis.

It would only take minor modifications to vegetable oil for it to be able to be directly
used instead of diesel.

The technology, knowledge and experience is already out there as biofuel is currently
being produced for the food industry.

There is a significant biodiesel infrastructure already present globally and this is

continuously expanding.

The disadvantages of biofuel production include:

Air pollution still occurs when the product is burnt as it is carbon-based.

When crops are grown for biomass production, it takes away land which could be
used for food production or waste use leading to competition for land and disputes.

To replace all current diesel and gasoline production would require huge amounts of
land.

The production of biomass crops is seen as expensive once all the additional costs
such as farm equipment, fertiliser production and distilling are taken into account.

6.4 Hydropower.
Water has been utilised for energy production for thousands of years and is in fact one of the
oldest resources used in such a manner.
Water mills were once prominent until the Industrial Revolution, when the types of energy
resources used changed.

Water power or hydroelectric power is still widely used globally there are around 15,000
dams around the world producing energy.
The basic concept of hydroelectric power is that a river is dammed or flumed and the
pressure and flow present in the contained body of water is harnessed to turn the turbines,
which drive the generator.

Edward Cassedy and Peter Grossman in 'Prospects for Sustainable Energy - A Critical
Assessment' (1990) stated that the current capacity for hydroelectric power is double the
present installed world generating capacity for power plants of all types and sizes.

Inside of a hydroelectric plant

Other advantages of hydroelectric power include:

The fact that water can be built up and released at peak times as hydroelectric power
stations can quickly reach full capacity.

As long as there is a sufficient supply of water, the production of electricity can

continuously occur.

There is neither pollution nor primary waste created from the production of
hydroelectric power.

Water is seen as a renewable source.

Remote locations which cannot be accessed with electrical cables as part of a power
grid still have the possibility of obtaining power from utilising water.

Constructing dams or diverting rivers can have great environmental/ecological issues. On a

general basis, such activities can result in damage to/loss of vegetation, decline in
fish/animal life which depended on certain types of fauna for subsidence which can no
longer grow due to a reduction in water. The same can be said for settlements that relied on
a river for water; if that river no longer flows the settlements will need to move.
Also, when damming off rivers, lakes are formed. This means the flooding of the land
surrounding the river's previous route meaning the destruction of plants and animals and
the relocation of locals again.
An example of this flooding damage can be seen in Zimbabwe when the building of the
Kariba Dam caused the subsequent flooding of over 5000 km2 of surrounding land which
happened to be the habitat of both the rhinoceros and elephant.
People/settlement displacement is also a big factor as it adds resource stresses/pressures
on neighbouring villages/settlements/area, as the displaced must go somewhere. This was
seen with the creation of the Volta Dam in Ghana, when its creation caused the
displacement of 78,000 people.
As well as the resettlement issues concerned with the Volta Dam, there was also the
production of methane (a greenhouse gas) due to the decaying vegetation.

Another not so apparent affect of dam construction is earthquake activity. Studies of the
Hoover Dam, on the Colorado River, have apparently shown that since its construction in
1935, the number of earthquakes occurring has increased from zero prior to 1935 to more
than 1000. This increase in earthquake activity is linked to the increased height of the
ground water combined with the excess load now resting on the underlying rocks.
Other disadvantages of hydroelectric power generation are:

Hydroelectric power can only be generated and used in areas with a sufficient,
nearby, continuous supply of water.

The failure of a dam can have devastating effects as dams hold more water than the
catchment area is used to, and the water is also held at greater pressure. A failure
will cause water to be expelled at a much greater rate/velocity than would have been
experienced previously from a flood.

Capital investment costs are normally very high for the construction of dams and
reservoirs.

A reduction in rainfall, due to global climatic change, will decrease the amount of
stored water in reservoirs as higher temperatures means more water evaporating.
An example of this can be seen at Lake Powell in the USA.

Despite all the negative aspects associated with hydropower generation, it is still seen as a
way forward.
Of course, to reduce the hazards which have been noted, sites of proposed dams and
reservoirs need to be carefully selected with all likely environmental effects considered.

6.5 Tidal Power.

This method creates electricity using the rise and fall of the tides. It is a renewable resource

that is free and clean.

In order to decide which tides will be most beneficial for electricity production, coastlines are
divided into specific categories:

Micro-tidal, where the tidal range is less than 2m.

Meso-tidal, where the tidal range is between 2 and 4m.

Macro-tidal, where the tidal range is more than 4m.

The higher the tidal range, the better the conditions are for producing electricity.
The power of the tides is used by placing a water turbine within the tidal area. The turbine is
then used to activate a generator which produces the electricity.

The UKs energy potential from tidal power would be sufficient enough to fulfil about 20% of
England and Wales demand for electricity. There are currently schemes in development for
utilising certain estuaries in the UK for tidal power generation.

Tidal power generation is expected to be providing power for over a hundred years for each
plant making them value for money.
However, there are still environmental issues with such operations.
Many species of fish go through their spawning processes in these tidal areas, and this can
be interrupted causing depletion in fish populations.
It is the tides that are involved in the deposition and removal of particulate matter along a
coastline, especially to the mudflats within these tidal zones. These mudflats will be reduced
in size if barrages are constructed, as will the number and types of invertebra organisms
within this barraged area.
The cost of setting up these tidal power stations is, in the first initial stages, very expensive.
6.6 Geothermal Power.
This method uses the earths own geological temperature to generate power.
Generally, two wells are drilled into the Earths crust; through one of these wells, pressurised
water flows. As this water meets the high temperatures of the underlying rock, it turns to
steam. The steam is then focused through the other well and used to turn turbines, which in
turn power the electric generators. This method of extracting geothermal heat is known as
direct stream extraction. There are other methods available such as

single flash systems,

double flash systems and
binary systems.

The single and double flash processes generally follow the same principles as the direct
steam system, only the hot water is flashed to create steam. This flashing occurs twice in
the double flash systems in order to ensure that the energy that would have escaped is
utilised. In some cases, this recycling can use up to 20% of the waste energy. Both the
single and double flashed systems then use the steam to drive the turbines.
Binary systems obtain the geothermal energy by transferring it from the reservoir to the
turbines via an intermediary working fluid. These systems are beneficial for the smaller
geothermal power plants.
Other advantages of using geothermal energy for electricity production include:

The generally low development costs associated.

These plants can operate 24 hours a day with over 95% uptime.

Geothermal energy is obtained free of charge once the plant has been built and is
operational.

They have less impact on the environment than other types of renewable energy
plants, as they are generally smaller in size but just as effective for producing
electricity.

If the power stations are operated correctly, they should produce no air or water
pollution.

Disadvantages associated with geothermal energy production include:

Specific locations with suitable underground geothermal temperatures must be

selected in order to ensure efficiency of the plants.

Extra costs are incurred when the extracted geothermal energy contains mineral
deposits. The cleaning/filtering process is undertaken before anything reaches the
turbines.

There have been links between the production of geothermal energy and the

occurrence of earthquakes due to the drilling and excavation processes causing

geological instability.

Question 7.
Which of the following are examples of renewable energy sources?
Multiple Choice (HP)
Answer 1:

Solar power

Response 1:
Jump 1:

This page

Answer 2:

Geothermal power

Response 2:
Jump 2:

This page

Answer 3:

Tidal power

Response 3:
Jump 3:

This page

Answer 4:

All of these

Response 4:
Jump 4:

Next page

Answer 5:

Wind power

Response 5:
Jump 5:

This page

Answer 6:

Hydropower

Response 6:
Jump 6:

This page

7.0 Energy Efficiency.

Being energy-efficient simply means that you use less energy to do the same tasks as
before, without reducing the energy service level.

There has been around a 2% annual increase in energy efficiency, brought about through
new and more efficient technologies or processes. These improve the efficiency of current
available energy via better utilisation, as opposed to relying on changes in the behaviour of
the industries themselves.
The International Energy Agency have estimated that 1/3 of our energy needs could be cut
by 2050, providing we use energy efficiently in buildings, transport and processes. They
believe that being efficient with energy on a global level is a vital part of reducing/limiting the
amounts of greenhouse gas emissions.
Energy efficiency has been a topic of some discussion since 1973 when the oil crisis brought
to everyones attention issues of energy security and the depletion in fossil fuel reserves.
7.1 Energy Efficiency in Buildings.
Energy-efficient means can be incorporated into buildings at the design stage simply by
looking at the location of windows or the colour of the roof.
Windows that are south-facing take advantage of passive solar heating, increased by the
incorporation of photovoltaic cells/panels.

Dark roofs absorb heat which is transferred into the building, increasing temperatures.
Lighter roofs are cooler (reflecting heat) so less energy is needed in warmer months/in
sunnier climates to keep them cooler.
At the design stage, thought can be given to the locations from where heat may be lost. With
this in mind, heat losses can be reduced by over 25% if thermal insulation is added to walls
and foundations and windows and doors are sufficiently sealed.
The type of lighting used in buildings can also have energy reduction capabilities through the
use of energy-efficient bulbs, compact fluorescents, LEDs and sensor lights (which turn off if
no one is in the room). These may have high initial costs but work out to be cost-effective in
the long run.

Compact Energy-efficient Lightbulb

7.2 Energy Efficiency in Industry.
Examples of energy efficient means include:

Using new types of boilers and furnaces which are more efficient, burning less fuel
whilst at higher temperatures. They also have the advantage of providing fewer
pollutants.

Furnaces

Using adjustable speed drives instead of electric motors can have savings of up to
60% depending on the type and usage. These drives have the ability to vary the
energy of the motor to equal the load making them more efficient.

Incorporating superconducting materials in the make-up of motor coils can reduce

any energy losses.

Efficiency rates of compressed air systems can be increased by 20-50% simply by

installing variable speed drives as well as ensuring all systems are operating
effectively via planned preventative maintenance schemes.

Compressed air tools

Recycling heat by-products from industrial processed to usable energy

(cogeneration) for other purposes such as steam generation or heating can be an
efficient way to manage waste and produce power.

Using pyrolosis to produce energy from hydrocarbon fuels allows some of the
hydrocarbon waste energy to be recycled.

Pyrolysis technology
7.3 Energy Efficiency in Vehicles.
Examples of energy efficient means include:

A 3% improvement in fuel economy can be achieved through the use of new,

advanced types of tyres which have a decreased tyre to road friction and rolling
resistance, ensuring that the tyres are inflated to the correct pressure.

The fuel economy from vehicles can be further increased by decreasing the vehicle
weight by using new, lighter materials.

The efficiency of using vehicle fuel can be increased at the design stage by ensuring

drag is reduced by improving the aerodynamics of the vehicle and by creating fuelefficient vehicles such as hybrids, which allow the efficient running of the vehicles by
regaining energy.

Fuel consumption can be increased by up to 10% by simply ensuring that air filters,
which have become clogged, are replaced.

Question 8.
Energy efficiency in buildings can be increased by.....
Multiple Choice (HP)
Answer 1:

All of the above

Response 1:
Jump 1:

Next page

Answer 2:

Using solar panels

Response 2:
Jump 2:

This page

Answer 3:

Using compact fluorescent light bulbs

Response 3:
Jump 3:

This page

Answer 4:

Choosing the correct roof colouring

Response 4:
Jump 4:

This page

Answer 5:

Ensuring as many windows as possible are south-facing

Response 5:
Jump 5:

This page

Question 9.
Using pyrolosis to produce energy from hydrocarbon fuels allows some of the hydrocarbon
waste energy to be recycled.
True/False (HP)
Answer 1:

True

Response 1:
Jump 1:

Next page

Answer 2:

False

Response 2:
Jump 2:

This page

8.0 Provision of Information on Energy Efficiency.

There are numerous sources of information concerned with energy efficiency that a person
can use to be able to gain further knowledge of what exactly is required.
Some of these sources of information will be discussed in the following sections.
8.1 Directive 2002/91/EC - The Energy Performance of Buildings.
This Directive came into force on 4th January 2003 and relates to all buildings (domestic and
non-domestic).
It is intended to ensure that all new buildings meet current energy performance requirements
and older buildings are adapted, so far as is practicable, to include energy efficiency
measures.
The demand for such a Directive came about as part of the Kyoto Protocol on Climate
Change when it was realised that the hundreds of millions of buildings are currently creating
over 40% of the European Union's carbon dioxide emissions.
The Directive requires the careful and realistic consumption of natural resources, especially
those emitting carbon dioxide, via the inclusion of energy efficiency within policies and
control measures.
The European Commission's action plan on energy efficiency made specific requirements
for the building sector in this Directive.
The Directive's main objective is to promote the improvement of buildings energy
efficiency/performance in a cost effective manner.
The Directive lays down the requirements for:

the framework for calculating a buildings energy performance;

the minimum energy performance requirements for new buildings;
the minimum energy performance requirements for major renovation works;
energy certificates for buildings;
regular inspections.

Some of the main points of the Directive will now be discussed.

8.1.1 Article 3 - Adoption of Methodology.
This part of the directive requires that Member States have a method of calculating the
energy performance of their buildings.
This applies at both the National and Regional levels.
8.1.2 Article 4 - Setting Energy Performance Requirements.
The Member States set the minimum energy performance requirements under this Article.
This minimum requirement is based on different types of buildings and climate conditions.
These requirements are reviewed at regular intervals which should not exceed 5 years and

should be updated based on current technological progress at the time.

8.1.3 Article 5 - New Buildings.
New buildings should meet the minimum energy performance requirements and those with a
total useful floor area of over 100 metres must have all alternative systems considered
before construction begins.
8.1.4 Article 6 - Existing Buildings.
During major renovation, the energy performance of existing buildings (with a total floor area
of over 1000 metres) should be upgraded as far as technology, functionality and economics
allows.
8.1.5 Article 7 - Energy Performance Certificates.
When buildings are constructed, sold or rented out, an energy performance certificate is
made available by the owner to the new owner, prospective buyer or tenant.
The certificate contains current legal standards and benchmarks that enable consumers to
compare and assess the building's energy efficiency.
The certificate should be accompanied by cost-effective recommendations for improving
energy performance.
However it should be noted that the certificate is only valid for 10 years.
8.1.6 Article 8 - Inspection of Boilers.
To reduce energy consumption and limit carbon dioxide emissions, Member States shall
either lay down measures to establish regular inspections of boilers fired by non-renewable
liquid or solid or they should take steps to ensure advice is available to users on
replacements, modifications and alternative solutions.
8.1.7 Article 9 - Air Conditioning.
This article requires the establishing of regular inspections of systems with a rated output of
more than 12 KW
8.1.8 Article 12 - Information.
Member States may take necessary measures to inform the building users as to the different
methods and practices that serve to enhance energy performances.
8.2 The Building Regulations 2006 Part L.
Part L of these regulations deals with the conservation of fuel and power in buildings.
The current version of 'Approved Document L: Conservation of fuel and power' is split into
four parts:
Approved Document L1A: Conservation of fuel and power (New dwellings) (2006 edition)
Approved Document L1B: Conservation of fuel and power (Existing dwellings) (2006 edition)
Approved Document L2A: Conservation of fuel and power (New buildings other than
dwellings) (2006 edition)
Approved Document L2B: Conservation of fuel and power (Existing buildings other than
dwellings) (2006 edition)
The regulations states that reasonable provision should be made for:

limiting heat loss through the fabric of the building;

controlling the operation of space heating and hot water systems;

limiting heat loss from hot water vessels and hot water service pipework;
limiting heat loss from hot water pipes and hot air ducts used for space heating.

The above mentioned requirements only apply to dwellings and buildings whose floor area
exceeds 30 m2.

installing artificial lighting systems which are designed and constructed to use no
more fuel and power than is reasonable in the circumstances - this only applies
within buildings where more than 100 m2 of floor area is to be provided with artificial
lighting and does not apply within dwellings.

A new version of Part L is due to come into force in October 2010.

8.3 The Town & Country Planning (Environmental Impact Assessment) Regulations
1999.
All planned projects which qualify under a set of criteria must have their likely environmental
impacts considered by the Planning Authority.
The applicant, if the project qualifies, must carry out an Environmental Impact Assessment
(EIA) where the likely environmental effects are identified, described and assessed.
This is then put into a report (the Environmental Statement) which is submitted to the
Planning Authority.
Before the project is approved the Environmental Statement is open to consultation with the
public and statutory consultees. The Planning Authority takes into account all information
within the Statement and any concerns/issues raised during consultation.
The regulations apply to mainly large scale developments which are more likely to have
greater environmental impacts. However, small-scale projects can still be included as they
can still have damaging effects especially when they are located in sensitive areas.
8.3.1 Project Schedules.
The regulations have divided projects into 2 classes:

Schedule 1
Schedule 2

All projects under the schedule 1 classification are required to have an Environmental Impact
Assessment (EIA).
Projects which come under Schedule 2 are assessed on an individual basis to determine
whether they are likely to have any environmental impacts. If their impacts are considered
significant, an EIA must be undertaken.
The EIA Directive is a broad directive and just because a specific type of project is not
named directly in either schedule does not mean that it is not covered. The types of
developments listed in the Directive or its accompanying regulations are not exhaustive.
An example of how this applies can be seen in Goodman + another v Lewisham London
Borough Council [TLR 21/2/03].
The Big Yellow Property Company Limited put forward proposal for a storage and

distribution facility. It was decided by the Planning Authority that an EIA was not necessary
as this type of development was not noted in the Directive or Regulations.
This development proposal was challenged and taken to the Court of Appeal, where it was
decided that the development was not excluded under the Directive or the Regulations as
previously decided.
The development's planing permission was revoked and the application had to be resubmitted.
If an applicant is ever in doubt about whether their project requires an EIA, they should seek
legal advice.
8.3.2 The Environmental Statement.
The Environmental Statement (ES) must include:

the environmental effect of the project, both directly and indirectly on aspects such as
flora, fauna and water etc;
all alternative methods/locations of the project;
mitigation measures - what has to be done, by when and how;
a non-technical summary.

Schedule 4 of the Directive contains the full details of what should be included in the
Environmental Statement.
There is no standard format for the report but it should contain all environmental effect
information relevant to the project.
8.3.3 Planning Authority.
The planning authority's roles include:

screening - to determine whether an EIA is required;

scoping - to advise on what should be included on the Environmental Statement;
consulting with the public and other consultees;
evaluate all information received before making a decision;
publicising their decision.

8.3.4 Screening.
Screening is the process by which all proposed projects are evaluated to determine if an EIA
is required.
Before submitting their application for planning permission, the applicant can ask the
planning authority for a screening opinion to determine whether an EIA is needed. A reply
from the authority is usually given within 3 weeks.
The screening opinion is usually the responsibility of the officer who deals with the planning
application and requires that all likely environmental impacts are considered to determine if
an EIA is needed.
If it is decided that an EIA is required, then the relevant environmental information must be
provided.
When deciding on whether a project has significant environmental impacts to require an EIA,

the planning authority officer uses their own professional judgement.

It is only when the planning officer comes to the conclusion that an EIA is required, that they
will need more in-depth knowledge of the environmental effects the project may produce.
8.3.5 Scoping.
The applicant can request a scoping opinion, in which the environmental impacts and issues
that should be included in the environmental statement are set out.
Before the Planning Authority reaches its decision, it should have in its possession all the
information it requires in order to evaluate the proposals impacts on the environment.
Under Regulation 19, the Planning Authority can request all the necessary relevant
information.
However, the need for additional information should not really be necessary if the applicant
carries out the EIA in-line with the scoping opinion.
8.3.6 Consultation.
It is a requirement of the regulations that the Planning Authority consults with the necessary
statutory bodies with regards to planning applications.
The ES and planning application itself must be open for interested and relevant parties to
comment on and any views expressed must be taken into account when decisions are
made.
The documents in question should be open for viewing/inspection for 21 days before a
decision can be made.
After the 21 days, the Planning Authority then carefully reviews and evaluates all the
documentation attached to the proposal. If some points are not clear or issues are not
addressed appropriately, the Planning Authority can challenge and request more information
before granting or declining the applicant's planning proposal.
8.4 The Building & Approved Inspectors (Amendment) Regulations 2006.
The regulations apply to the erection of any building, providing it is not a listed building,
monument, place of worship or a temporary building. It does however include extensions to
any buildings or work carried out to or in connection with such buildings or extensions.
The Secretary of State sets out the minimum energy performance requirements for Carbon
Dioxide (CO2) emission rates for new buildings and approves a methodology for calculating
a building's energy performance.
New buildings should not exceed the target CO2 emission rates previously approved for the
building.
The Regulations require CO2 emission rates to be tested. The tester provides the local
authority with a notice which specifies the building's target CO2 emission rates as well as the
actual emission rates.
As proof that the company is keeping to the targets, a person registered by FAERO Limited
or BRE Certification Limited may submit a certificate stating the CO2 emission rates of the
building.

The local authority has authorisation to accept this certificate as evidence that all
requirements are met.
Accompanying the certificate is notice confirming the building has been constructed in
accordance with specifications or listing any changes to the specifications that have
occurred during the building's construction.

Part L of the Regulations require the conservation of fuel and power by:

limiting heat gains and losses through thermal elements and other parts of the
building fabric and from pipes, ducts and vessels used for space heating, space
cooling and hot water services;
by providing and commissioning energy-efficient fixed building services with effective
controls;
providing to the owner sufficient information about the building, the fixed building
services and their maintenance requirements so that the building can be operated in
such a manner as to use no more fuel and power than is "reasonable" in the
circumstances.

During building work, initial notice is required to be given to the local authority for works
described in Schedule 2A which accompanies the regulations.
The person carrying out the work noted in Schedule 2A provides a certificate confirming it
meets the requirements; this must be supplied within 30 days of completion. The approved
inspector is authorised to accept this as evidence that the requirement of the regulations
have been met. A copy of the certificate is given to the occupier.
Question 10.
Which of the following are sources of information on energy efficiency?
Multiple Choice (HP)
Answer 1:

All of the above

Response 1:
Jump 1:

Next page

Answer 2:

The Building Regulations 2000 Part L

Response 2:
Jump 2:

This page

Answer 3:

The Building & Approved Inspectors (Amendment) Regulations 2206

Response 3:
Jump 3:

This page

Answer 4:

Directive 2002/91/EC - The Energy Performance of Buildings

Response 4:
Jump 4:

This page

Answer 5:

Town & Country Planning (Environmental Impact Assessment)

Regulations 1999

Response 5:
Jump 5:

This page