19128 April 1999 ,,Vi, J4 744 -t Q tE-[ '' 'b g Pollution Prevention and Abatement Handbook 1998 Toward Cleaner Production The World Bank Group in collaboration with the United Nations Environment Programme and the United Nations Industrial Development Organization The World Bank Group Washington, D.C. Copyright @ 1999 The International Bank for Reconstruction and Development/THE WORLD BANK 1818 H Street, N.W. Washington, D.C. 20433, U.S.A. All rights reserved Manufactured in the United States of America First printing April 1999 This report has been prepared by the staff of the World Bank. The judgments expressed do not necessarily reflect the views of the Board of Executive Directors or of the governments they represent. The material in this publication is copyrighted. The World Bank encourages dissemination of its work and will normally grant permission promptly. Permission to photocopy items for internal or personal use, for the internal or personal use of specific clients, or for educational classroom use, is granted by the World Bank, provided that the appropriate fee is paid directly to Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, U.S.A., telephone 978-750-8400, fax 978-750-4470. Please contact the Copyright Clearance Center before photocopying items. For permission to reprint individual articles or chapters, please fax your request with complete information to the Republication Department, Copyright Clearance Center, fax 978-750-4470. All other queries on rights and licenses should be addressed to the Office of the Publisher, World Bank, at the address above or faxed to 202-522-2422. Library of Congress Cataloging-in-Publication Data Pollution prevention and abatement handbook, 1998 : toward cleaner production / in collaboration with the United Nations Environment Programme and the United Nations Industrial Development Organization. p. cm. Includes bibliographical references. ISBN 0-8213-3638-X 1. Factory and trade waste-Management. 2. Pollution prevention. I. United Nations Industrial Development Organization. II. United Nations Environment Programme. III. World Health Organization. IV. World Bank Group. TD897.5.P645 1998 363.73'1-dc2l 98-34574 CIP W The text and the cover are printed on recycled paper, with a flood aqueous coating on the cover. Contents Acknowledgments vi Foreword vii Abbreviations, Acronyms, and Data Notes ix I. Overview 1 Pollution Management: Key Policy Lessons 3 II. Implementing Policies in Practice 11 Basic Principles Indicators of Pollution Management 13 The Environmental Assessment Process 22 Types of Environmental Standards 27 Principles of Waste Avoidance and Utilization 29 Efficient Use of Energy 32 Monitoring Environmental Quality 38 Setting Priorities Comparative Risk Assessment 45 Economic Analysis of Environmental Externalities 54 The Effects of Pollution on Health: The Economic Toll 63 Public Involvement in Pollution Management 72 Analytical Support for Cost-Effective Pollution Control 78 Air Quality Management Airshed Models 82 Removal of Lead from Gasoline 91 Urban Air Quality Management 96 Water Quality Management Water Quality Models 101 Integrated Wastewater Management 108 Optimizing Wastewater Treatment 114 iii iv POLLUTION PREVENTION AND ABATEMENT HANDBOOK Industrial Pollution Management Developing a Culture of Industrial Environmental Compliance 120 Environmental Audits in Industrial Projects 125 Environmental Management Systems and ISO 14000 129 Implementing Cleaner Production 136 Management of Hazardous Wastes 144 Pollutant Release and Transfer Registers 151 Financing Environment Environmental Funds 155 Pollution Charges: Lessons from Implementation 160 Global and Transboundary Issues Greenhouse Gas Abatement and Climate Change 169 Least-Cost Approaches to Reducing Acid Emissions 175 II. Project Guidelines 179 Principles of Industrial Pollution Management 181 Monitoring 186 Summary of Air Emission and Effluent Discharge Requirements Presented in the Industry Guidelines 193 Pollutants Airborne Particulate Matter 201 Arsenic 208 Cadmium 212 Lead 215 Mercury 219 Nitrogen Oxides 223 Ground-Level Ozone 227 Sulfur Oxides 231 Pollutant Control Technologies Airborne Particulate Matter: Pollution Prevention and Control 235 Removal of Lead from Gasoline: Technical Considerations 240 Nitrogen Oxides: Pollution Prevention and Control 245 Ozone-Depleting Substances: Alternatives 250 Sulfur Oxides: Pollution Prevention and Control 258 Industry Sector Guidelines Aluminum Manufacturing 261 Base Metal and Iron Ore Mining 267 Breweries 272 Cement Manufacturing 275 Chlor-Alkali Plants 279 Coal Mining and Production 282 Coke Manufacturing 286 Copper Smelting 291 Dairy Industry 295 Contents v Dye Manufacturing 298 Electronics Manufacturing 302 Electroplating 307 Foundries 312 Fruit and Vegetable Processing 316 Glass Manufacturing 320 Industrial Estates 324 Iron and Steel Manufacturing 327 Lead and Zinc Smelting 332 Meat Processing and Rendering 337 Mini Steel Mills 341 Mixed Fertilizer Plants 345 Nickel Smelting and Refining 349 Nitrogenous Fertilizer Plants 353 Oil and Gas Development (Onshore) 359 Pesticides Formulation 363 Pesticides Manufacturing 367 Petrochemicals Manufacturing 371 Petroleum Refining 377 Pharmaceuticals Manufacturing 382 Phosphate Fertilizer Plants 387 Printing 391 Pulp and Paper Mills 395 Sugar Manufacturing 401 Tanning and Leather Finishing 404 Textiles 408 Thermal Power: Guidelines for New Plants 413 Thermal Power: Rehabilitation of Existing Plants 427 Vegetable Oil Processing 430 Wood Preserving 433 General Environmental Guidelines 436 Glossary of Environmental Terms 441 Acknowledgments The Pollution Prevention and Abatement Handbook The production of the Handbook and the many was prepared by a team from the World Bank related administrative tasks have depended criti- and the International Finance Corporation (IFC), cally on the tireless assistance of Sriyani Cumine led by Richard Ackermann (subsequently by (desktop publishing), Clare Fleming, Karen David Hanrahan) and comprising Gordon Danczyk, and Virginia Hitchcock (editing), Olivia Hughes (Part I), David Hanrahan (Part II), and McNeal, and Luz Rivera. Anil Somani, Sanjeev Aggarwal, and Arthur The Handbook was developed in collaboration FitzGerald (Part III). Among the principal authors with UNIDO (Ralph Luken), the Industry and of individual guidelines were John Dixon, Environment Office of the UNEP (Jacqueline Aloisi Arundhati Kunte, Magda Lovei, and Kseniya de Lardereland Fritz Balkau), and the World Health Lvovsky. Sari Soderstrom provided the infor- Organization (Dieter Schwela). The World Bank mation in Table 3 of the chapter on Indicators Group is thankful for the generous financial sup- of Pollution Management. The Handbook is port provided by the governments of Canada, the based on technical documents from the United Netherlands, and Norway and for the comments Nations Environment Programme (UNEP) and guidance provided by the United States En- and the United Nations Industrial Develop- vironmental Protection Agency (USEPA), by ment Organization (UNIDO) and on numer- Frank van den Akker (Netherlands Ministry of ous commissioned reports by consultants. The Housing, Physical Planning and Environment), documents have been extensively reviewed by and by the World Health Organization in provid- several governments, nongovernmental orga- ing technical comments and guidance. nizations, industry associations, and individual Special thanks is owed to the German govern- companies, as well as by the World Bank's In- ment for carrying out an exhaustive review of dustry and Mining Division (IENIM), the IFC, the entire Handbook and for hosting two lengthy and a World Bank/IFC Steering Committee. meetings at which the technical issues were dis- Hans-Roland Lindgren and Yasuhide Koga re- cussed in detail. The involvement of these orga- viewed the guidelines, with particular atten- nizations and of the many individuals who tion to consistency with national and European contributed to the development of the Handbook Union standards. is gratefully acknowledged. vi Foreword In 1988, the World Bank published Environmen- benefits-both environmental and economic-of tal Guidelines to provide technical advice and pollution prevention, including cleaner produc- guidance to staff and consultants involved in pol- tion and good management techniques. lution-related projects. In the years since then, The Handbook consists of three parts. there have been significant changes in technolo- Part I contains a summary of key policy,les- gies, in pollution management policies and prac- sons in pollution management, derived from tices, and in the activities and portfolio of the practical experience inside and outside the World World Bank Group. This Pollution Prevention and Bank Group over the past decade. Although Part Abatement Handbook has been prepared to update I is aimed primarily at government decision- and replace the 1988 guidelines. makers, other readers will derive considerable The Handbook is specifically designed to be benefit from a better understanding of the issues used in the context of the World Bank Group's facing government agencies. environmental policies, as set out in Operational Part Il presents good-practice notes on imple- Policy (OP) 4.01, "Environmental Assessment," mentation of policy objectives, based on experi- and related documents.' World Bank Group ence with World Bank Group projects and on policy stresses the primacy of the project-specific lessons from the policies and practices of other or site-specific environmental assessment process agencies and organizations in this field. in setting the requirements for environmental Part III provides detailed guidelines to be ap- performance. The guidelines contained in this plied in the preparation of World Bank Group Handbook are therefore subject to interpretation projects. The guidelines, which cover almost 40 in light of the results of the environmental as- industrial sectors, represent state-of-the-art think- sessment. ing on how to reduce pollution emissions from The guidelines apply to all Bank Group- the production process. In many cases, the guide- funded projects approved in principle on or af- lines provide numerical targets for reducing pol- ter July 1, 1998, unless the project sponsor can lution, as well as maximum emissions levels that demonstrate that a significant investment has are normally achievable through a combination already been made (or that a legally binding of cleaner production and end-of-pipe treatment. agreement has been entered into) on the basis of The guidelines are designed to protect human the 1988 guidelines. health; reduce mass loadings to the environment; The Handbook promotes the concepts of sustain- draw on commercially proven technologies; be able development by focusing attention on the cost-effective; follow current regulatory trends; 1. The World Bank consists of the International Bank for Reconstruction and Development (IBRD) and its concessional-lending affiliate, the Interational Development Association (IDA). The World Bank Group includes, in addition to the IBRD and IDA, the International Finance Corporation (IFC), which focuses on cooperation with the private sector in developing countries, and the Multilateral Investment Guarantee Agency (MIGA). The World Bank's Operational Policy 4.01 is a conversion of the existing Operational Directive 4.0 and contains the same basic principles as the directive. The IFC and MIGA have parallel policies. vii viii POLLUTION PREVENTION AND ABATEMENT HANDBOOK and promote good industrial practices, which WHO, and several bilateral agencies, including offer greater productivity and increased energy those of Canada, Germany, the Netherlands, efficiency. Norway, Sweden, and the United States. The application of the guidelines set out in Part In addition, extensive informal consultation III can minimize the use of resources and reduce and discussions with other international fi- the quantity of wastes requiring treatment and nancing institutions, industry organizations, disposal. The guidelines represent good environ- regulatory agencies, and nongovernmental orga- mental management practices that can be imple- nizations have taken place. Many comments have mented and maintained with the skills and been received and have been incorporated into resources typically available in countries in which the Handbook to the extent possible. It is intended the World Bank Group operates. The World Bank and hoped that the Handbook represents a broad Group is committed to strengthening manage- consensus of what is achievable through current ment and technical skills and to supporting the good practice in pollution management. development of the necessary institutions in these This Handbook is envisaged as a living docu- countries. Where relevant national regulations do ment: its implementation will be monitored over not exist, the guidelines may provide a basis for the next year, further industry guidelines will be negotiating site-specific agreements between issued, and the need for revision will be weighed regulators and enterprises. in the light of the accumulated experience. The The Handbook was compiled by staff members full text of the Handbook is available on the envi- of the Environment Departments of the World ronmental section on the World Bank Group's Bank and the International Finance Corporation website (www.worldbank.org), where any revi- (IFC). Contributions and advice came from many sions or additional guidelines will be posted. other technical and operational units within the Formal and informal consultations on the con- World Bank Group and from outside consultants. tent and application of the Handbook will con- A number of drafts were circulated and dis- tinue, and comments are welcome. Comments cussed, including a full Annual Meetings edition should be addressed to the Program Leader, in September 1997. The guidelines related to ther- Urban, Industry and Energy, Environment De- mal power plants were the subject of a two-day partment, World Bank, or to the Unit Head, En- international expert panel workshop held at the vironment and Social Review, Environment World Health Organization (WHO) in Geneva in Division, IFC, at the address given on the copy- April 1997. Officials of key borrowing countries, right page. other government and private sector representa- tives, and WHO and Bank experts attended the workshop. Andreas Raczynski The IFC and the World Bank's Industry and Director Mining Division carried out and coordinated Technical and Environment Department detailed technical reviews of the relevant indus- International Finance Corporation try-specific guidelines. Technical background material, as well as advice and comments, were Robert T. Watson provided by the United Nations Environment Director Programme (UNEP), the United Nations Indus- Environment Department trial Development Organization (UNIDO), The World Bank Abbreviations, Acronyms, and Data Notes ACM Asbestos-containing materials ADP Air-dried pulp AIJ Activities Implemented Jointly (Kyoto Protocol) AMD Acid mine drainage AOX Adsorbable organic halides BAT Best available technology BATNEEC Best available technology not entailing excessive cost BOD Biochemical oxygen demand. In this Handbook, BOD is understood to refer to BOD., BOD measured over five days. BOF Basic oxygen furnace BPT Best practicable technology CAC Command and control CDM Clean development mechanism CFC Chlorofluorocarbon CIP Clean-in-place (methods) COD Chemical oxygen demand CON Control octane number CP Cleaner production CSM Continuous stack monitoring CTC Carbon tetrachloride DALY Disability-adjusted life year DCF Directed credit fund DDT Dichlorodiphenyltrichloroethane DMT Dimethyl terphthalate DO Dissolved oxygen DRR Dose-response relationship DSS Decision Support System for Integrated Pollution Control EA Environmental assessment EAF Electric arc furnace ECF Elemental chlorine-free (bleaching) EIA Environmental Impact Assessment EMS Environmental management system EPI Economic performance indicator ESCO Energy service company ESP Electrostatic precipitators ETF Earmarked tax fund EU European Union FBC Fluidized-bed combustion FCC Fluid catalytic cracking FAD Flue gas desulfurization ix x POLLUTION PREVENTION AND ABATEMENT HANDBOOK FGR Flue gas recirculation FGT Flue gas treatment GEF Global Environment Facility GF Green fund GHG Greenhouse gas GIS Geographic information system GJ Gigajoule GW Gigawatt GWP Global-warming potential HCFC Hydrochlorofluorocarbon IARC International Agency for Cancer Research IBRD International Bank for Reconstruction and Development IDA International Development Association IFC International Finance Corporation IPCC Intergovernmental Panel on Climate Change IPPS Industrial Pollution Projection System IRIS Integrated Risk Information System ISIC International Standard Industrial Classification ISO International Organization for Standardization ISC Industrial Source Complex (USEPA model) kWh Kilowatt-hours LCA Life cycle analysis LEA Low-excess-air (firing) LIDAR Light detection and ranging (system) LPG Liquefied petroleum gas MCF Methyl chloroform MCP Marginal production cost MIGA Multilateral Investment Guarantee Agency MON Motor octane number MOS Metal oxide semiconductor (technology) MSC Marginal social cost MTBE Methylterbutylether MWe Megawatts of electricity NAPAP National Acid Precipitation Assessment Program NGO Nongovernmental organization NO2 Nitrogen dioxide NO,, Nitrogen oxide NPK Nitrogen, phosphorus, potassium (fertilizer) NSPS New source performance standard OD Operational Directive ODP Ozone depletion potential ODS Ozone-depleting substance OECD Organisation for Economic Co-operation and Development OFA Overfire air OTC Over-the-counter (medicines) PAH Polynuclear aromatic hydrocarbons PAHO Pan American Health Organization PBR Polybutadiene rubber PCB Polychlorinated biphenyl PFA Pulverized fly ash PFC Perfluorocarbon Abbreviations, Acronyms, and Data Notes xi PIC Product of incomplete combustion PM'0 Particulate matter 10 microns or less in aerodynamic diameter POM Prescription-only medicine ppb Parts per billion ppm Parts per million PRTR Pollutant Release and Transfer Registry RON Research octane number RRAD Respiratory-related restricted activity day SBR Styrene butadiene rubber SCR Selective catalytic reduction SMEs Small and medium-size enterprises SMT Surface mount technology SNCR Selective noncatalytic reduction SO2 Sulfur dioxide SO Sulfur oxide SPM Suspended particulate matter SSP Single phosphate TCLP Toxic characteristic leachate procedure TCF Total chlorine-free (bleaching) TEL Tetraethyl lead TEWI Total equivalent warming impact TFP Total factor productivity tpd (Metric) tons per day TML Tetramethyl lead TOR Terms of reference TRI Toxic Release Inventory TRS Total reduced sulfur TSS Total suspended solids TSP Total suspended particulates; triple phosphate UNEP United Nations Environment Programme UNFCCC United Nations Framework Convention on Climate Change UNIDO United Nations Industrial Development Organization USAID U.S. Agency for Environmental Development USEPA U.S. Environmental Protection Agency VOC Volatile organic compound VOSL Value of statistical life WAD Weak acid dissociable WHO World Health Organization WQO Water quality objective The references and sources of information provided at the end of chapters and guidelines are not intended to be comprehensive. Unless otherwise specified, the source of all tables is the World Bank Group. PART I OVERVIEW  Pollution Management: Key Policy Lessons Progress toward bringing about a cleaner environment has relied on a philosophy of pollution control. This has involved sometimes costly measures and controversial political decisions. As a result, developing countries, poor communities, and financially constrained enterprises have often argued that the environment is an expensive luxury that diverts resources from more productive uses. This perspective is giving way to a new paradigm stating that neglecting the environment can impose high economic and even financial costs, while many environmental benefits can in fact be achieved at low cost. For this to work, however, we need to better under- stand what motivates those responsible for pollution and their responses to different regula- tions, incentives, and other pressures. Moreover, we can no longer afford to view the environment as a technical issue to be addressed independently from overall municipal and industrial stra- tegic decisionmaking. The new approach can be summed up by the expression: environmental management, not just pollution control. Change the Emphasis Adoption of cost-effective strategies rather than specifying particular control measures. Environmental progress over the past 40 years This chapter summarizes the main issues that has relied on a philosophy of pollution control. A have emerged in the course of operational work wide range of control technologies has been de- throughout the world. veloped, and it is now technically possible to greatly reduce or entirely eliminate discharges Wor of the major pollutants. However, this approach is yielding decreasing benefits per unit of expen- Start with clear goals and objectives, not mechanisms. diture in the rich industrial countries, and the necessary preconditions for implementing pol- vrnment s et t obectiveo - lution control measures do not exist in many de- mental issues relte o orall op veloping countries. At the same time, some ment and gro olsiefo csngeon countries fear that pollution control is an expen- seijector ao r stutio n c es sive luxury that will divert resources from more Thse o ea ctiv esout ind term productive uses. ofhuan he odcti e s d The emphasis is shifting to environmental man- agement, using a broad mix of incentives and pres- An effective environmental strategy requires clear sures to achieve sustainable improvements. This priorities involves: invoves:In many countries, the task of improving envi- * Definition of environmental policies in terms ronmental performance on the ground is unnec- of goals rather than inputs essarily complicated by a reluctance to define * More explicit consideration of and reference environmental priorities and to articulate clear to priorities strategies that address them. Often, this reflects * Greater decentralization, especially with.re- a lack of political commitment to environmental spect to the implementation of policies policies. Yet effective environmental manage- * Promotion of improved performance and man- ment depends on making choices. These choices agement rather than just control of emissions form the basis for developing targets that can be 3 4 OVERVIEW understood and assessed by communities and ensure the acquiescence and understanding of the public as well as by specialists. Without most of those whom they seek to regulate, such an effort, the policy process is likely to be whether in the private or the public sector. A car- captured by special interest groups, whether rot-and-stick approach will still be necessary, but these be committed to narrow environmental the carrot may be the opportunity to participate goals or to industrial growth without regard for in critical decisions, rather than ill-directed finan- its consequences. cial assistance. Similarly, penalties for poor envi- ronmental performance may be expanded to Agree on priorities. include public exposure and social stigma, as well Dirty air (especiallyfine particulates resulting from as financial levies. incomplete combustion) and lack of clean drink- ing water are among the most important prob- Information is power; share it. lems. It is easy to tell whether policies affecting In many countries, formal regulations are diffi- these issues have been effective, and it is possible cult to implement, yet there is public demand for to gain considerable political capital from ad- a cleaner environment and for more responsible dressing them. Decisionmakers should therefore behavior on the part of enterprises. Several coun- aim to set concrete goals that mean something to tries are therefore experimenting with schemes the public and politicians and then focus their to make the environmental behavior of enter- attention on achieving real progress. This strat- prises public. egy will succeed only if progress toward meet- The evidence is very encouraging, suggesting ing the goals is regularly monitored and the as it does that enterprises value their public im- strategy is revised in response. age and are willing to take steps to preserve it. The lesson: an informed public (or regulator) can First do those things that are a high priority and that achieve much through informal pressures. are also inexpensive and easily implemented. Environmental policies often affect problems and Set realistic standards. people in unforeseen ways. Problems are often Strict standards, per se, often do not lead to a claimed to be critical even though they have little cleaner environment. In some cases, initial com- impact on human health or on sensitive ecosys- pliance deteriorates-for example, pollution con- tems. Conversely, serious issues (e.g., dust pol- trol equipment is installed but is subsequently lution) may go unnoticed. poorly maintained or is bypassed. In many cases, Problems that are relatively easy to solve but there is no enforcement culture, and the strict have large demonstrable benefits (e.g., removing standards are ignored altogether. lead from gasoline, switching home heating from Where new projects are being developed, the coal to gas) are sometimes ignored in favor of key to sound environmental performance lies in concentrating on complex problems that require a comprehensive environmental assessment (EA) very large amounts of resources to address (e.g., that must be carried out before any project de- nuclear cleanup). Some of the thinking on these sign work is started and that should be based on issues is influenced by the priorities of industrial close collaboration with local authorities and the countries that have already solved many of the community. The EA identifies the relevant emis- "simpler" problems with which developing sion levels and other measures necessary to en- countries still have to grapple. sure that the proposed project does not cause significant environmental harm. To the extent Cooperative approaches are essential. that the EA represents a genuine effort to reach Adversarial systems of environmental manage- a broadly accepted plan of action, the subse- ment typically do not work well over a sustained quent environmental performance can be ex- period. Developing and implementing effective pected to be far better than if the project is simply environmental strategies requires cooperation required to meet independently established strict between enterprises and other polluters, regional standards. and local authorities, and national agencies. En- Where existing facilities are to be rehabilitated, vironmental authorities must, at a minimum, an environmental audit will provide the neces- Pollution Management: Key Policy Lessons 5 sary information on which to base cost-effective Box 1. Strategic Choices for Cost-Effective measures to significantly upgrade environmen- Municipal Wastewater Investments: tal performance. A Sample Checklist Devolve Responsibility * Have measures been taken to reduce domestic and industrial water consumption? Delegate responsibility downward as far as possible. * Has industrial wastewater been pretreated? The division of responsibility for environmental * Is it possible to reuse or recycle water? andreglaton illdepnd n hstoica, Can the proposed investment be analyzed ina policy andriver basin context? If so, have the merits of this social, and legal factors. Just as environmental investment been compared with the benefits from authorities should not attempt to micromanage different kinds of investments in other parts of the decisions of individual enterprises and plants, the river basin? Note that a east-cost strategy national agencies should focus on the broad for achieving improved ambient water quality may framework of priorities and instruments while involve different (or no) technologies at different devolving responsibility for detailed strategy and locations. regulation to regional and local bodies wherever * Has the most cost-effective technology been reguatio toreginalused to achieve the desired improvement in possible. This may be frustrating at times, but ambient water quality? lack of local political or administrative commit- * Has an economic analysis been done to assess ment will sabotage policies imposed from above the benefits (in terms of ambient water quality) as much as would resistance from those who have that could be achieved by phasing in investments to comply with them. over, say, 10 or more years? The overall legal and institutional framework should cover legislation that establishes special- ized regional agencies such as water basin au- ments are useful but should be kept as simple as thorities or that gives national or subnational possible. agencies powers to inspect premises, collect data, It may also be useful to allow enterprises to and impose various penalties. The lack of such a negotiate with each other to agree on cost-effec- legislative framework has caused serious prob- tive measures for achieving quality improve- lems in countries where provinces or states have ments in a given watershed or airshed. attempted to introduce discharge fees to recover Appropriate solutions will vary from case to case the costs of dealing with water pollution and to and will often involve lengthy negotiations. The provide an incentive for polluters to reduce their key to success is to keep the solutions as simple discharges. as possible, and to ensure transparency and ac- countability on the part of all those involved. In Think strategically at the level of the river basin or poor countries or communities, the need to de- airshed. volve responsibility to the local level may some- Where there are few significant sources of pollu- times be even more important than in wealthier tion in a river basin or airshed, it is fairly easy to communities. Experience shows that local com- reach agreements with the polluters to improve munities are willing and able to organize effec- their performance. Where the river basin or tively to provide basic urban services (a reliable airshed encompasses a large metropolitan area drinking water supply, basic sanitation, solid with numerous sources, a range of instruments waste collection, and so on) at affordable cost and should be applied, tailored to the capacity of the in a sustainable manner, if municipalities or various implementing agencies. First, there higher-level government authorities provide ap- should be a clear understanding of the contribu- propriate incentives. tion of different sources to water or air quality and of the options at each source that would lead Set goals and objectives at a national level, but allow to cost-effective overall improvement in quality. local flexibility in implementation. (See Box 1 for a checklist of the kinds of ques- The notion of a "level playing field" within a tions that might be asked.) Market-based instru- country has a very strong intuitive appeal to both 6 OVERVIEW environmental policymakers and those whom sion standards strictly for more than a limited they regulate. Yet common sense tells us that any number of plants at a time, especially if frequent attempt to enforce uniform environmental poli- monitoring of operational performance is re- cies throughout large, diverse countries will be quired. As a result, reducing emissions from the doomed to failure. Indeed, the whole point of worst plants may be a lengthy process with much decentralization is to permit different policy re- backsliding. sponses to differences in priorities and problems. The dilemma is usually resolved by establishing Define targets, not solutions, with an emphasis on a default or minimum set of incentives, stan- operational practices and good housekeeping. dards, and other interventions. Default require- At the level of enterprises and plants, the em- ments apply wherever subnational authorities do phasis must shift to environmental performance not introduce explicit amendments, which may, viewed as one dimension of overall operational subject to certain restrictions, be either stricter or efficiency and quality management. The objec- more relaxed than the defaults. Minimum re- tive should be the consistent attainment of tar- quirements imply that no subnational authority gets and, over time, the progressive reduction of is permitted to adopt less demanding policies- emissions that are linked to important indicators although, in practice, such variation may occur of environental quality. The focus of attention as a result of differences in enforcement behav- needs to be more on operational practices, good ior. The extent of such default or minimum re- housekeeping, and the training of workers than quirements varies greatly across countries, but on the technological and design specifications of everywhere they tend to include measures for pollution controls. dealing with the most sensitive environmental issues. In all countries, it will be the responsibil- Makefull use of compliance agreements as an essen- ity of national authorities to propose and broker tial tool in dealing with large polluters. agreements on the extent and nature of such core The achievement of environmental targets may requirements. start with the installation of new controls at the sources responsible for the most damaging emis- Adapt Solutions to Circumstances sions. This is accompanied by arrangements to monitor the effective operation of controls and Identify the target group: is it the top third or the bot- to assess their impact on the critical indicators of tom third? environmental quality. Even such a straightfor- The reality that good management is a necessary ward scenario, however, allows ample scope for condition for good environmental performance difficulties, ranging from disagreements about poses a dilemma in devising environmental poli- who should bear the costs to how the results of cies. One option is to focus on raising the stan- monitoring should be interpreted. dards of the best third of all polluters, hoping that More typically, it will be necessary to negoti- the laggards will gradually improve by learning ate with many sources, each of which-even with from the example of their peers. This strategy is good will-will have many reasons to delay or most likely to be effective when competition and modify the strategy proposed. The outcome will social pressure provide a stimulus for improve- be some balance between (a) a bottom-up con- ments in operational as well as environmental sensual approach in which agreements about tar- performance. Even then, progress tends to be lim- gets for each source are laboriously reached on ited for the worst third of plants, and the only an individual or a collective basis (as in Japan or solution may be to force them out of business. the Netherlands) and (b) a top-down approach The alternative option of setting minimum based on some combination of emissions stan- emission standards and concentrating on plants dards and economic incentives. that fail to meet them tends to lead to an adversarial style of regulation. Often, this under- Use yardstick competition to improve environmental mines attempts to encourage the better plants to performance over time. improve their performance. Few agencies have The nature of the relationship between environ- the resources or political support to enforce emis- mental agencies and those regulated may mean Pollution Management: Key Policy Lessons 7 that the best approach is a combination of mini- public participation can have a significant impact mum requirements and market incentives. In on the behavior of some polluters. such cases, it is critical that the minimum require- ments be adjusted regularly (as part of a trans- Recognize that "win-win" options are not costless parent permit system) to reflect the average when management is the critical constraint. performance of enterprises, rather than being The adoption of "win-win" options such as determined by technical criteria. The goal would cleaner production techniques, waste minimiza- be a system of regulation based on yardstick com- tion, and energy efficiency seems to offer the pros- petition, which has the desirable property of en- pect of environmental improvement at little or couraging a continuous search for cost-effective no cost. Yet diffusion of such practices is often improvements while penalizing laggards, per- frustratingly slow, and the resulting benefits are haps heavily. modest. The problem, once again, is one of man- agement capacity. The enterprises best placed to Prevention is often less expensive than after-the-fact adopt and benefit from many "win-win" oppor- measures. tunities are likely to be among those that already For the same environmental benefits, retrofitting have the best environmental performance. The existing plant has been found to be three to five same management constraints and weaknesses times as expensive as up-front measures. The lat- that lead to poor performance mean that the costs ter include implementing appropriate technolo- of innovation are likely to be relatively high and gies at the outset, applying simple yet effective the benefits low for laggards. maintenance, and setting up monitoring systems to ensure good performance and management. Improved management is the best "win-win" option, especially for small and medium-size enterprises. Promote Good Management It is helpful to thirk in terms of two categories of enterprise: Internalize environmental management. Large enterprises that tend to produce differen- Significant and lasting environmental improve- tiated products, possess ample management ments will not come until the objectives and re- and technical skills, enjoy access to world as quirements of environmental protection are well as domestic markets, and have a time internalized in the behavior of polluters, whether horizon for their business decisions of at least these be enterprises, organizations, or individuals. five years. Because the quality of their prod- ucts is often a central aspect of their competi- Rely on incentives-both financial and social- tive strategy, these enterprises are concerned wherever possible. to build up and maintain a reputation for reli- Pollution control policies have relied heavily on ability and high standards. Achieving and technological standards. Even where these stan- maintaining such a reputation means that dards are effective, they tend to be an expensive managers are used to focusing on the good way of meeting environmental goals. Market in- housekeeping aspects of production that are centives that reward good environmental man- characteristic of many "win-win" opportuni- agement offer an alternative strategy, but they ties. Of necessity, they have learned and may be resisted on grounds of fairness and be- adopted some or all of the precepts of good cause of uncertainty about the level of reduction management outlined above. Thus, good en- of total emissions. In practice, any differences vironmental performance simply becomes an- between policies based on standards and those other dimension of the continuous process of based on incentives are not large for particular implementing efficiency and quality improve- industries or sources. The real advantage of re- ments that is required to compete on quality lying on incentives lies in their flexibility and cost of output as well as on price. savings when emissions from many industries Small and medium-size enterprises that typically and sources have to be reduced. Incentives need produce undifferentiated products and ser- not be financial; the provision of information and vices for local or domestic markets, with very 8 OVERVIEW limited management and technical resources, formance of state-owned enterprises is often short time horizons, and little experience of worse than that of privately operated enterprises how to upgrade the quality and efficiency of or, at least of state-owned enterprises operated their production. Simple survival may be their on a commercially independent basis. Rectifying primary concern, so that they tend to be risk this situation depends on fundamental changes averse when it comes to changing their oper- in incentives and on the resolution of conflicting ating methods. While the quality of their out- objectives among those responsible for supervis- put may influence their customers, they tend ing such enterprises. Privatization (or at least full to compete primarily on price. The painstak- corporatization) is almost always the best and ing process of building up a reputation for high often the only way of addressing the problems. quality is usually beyond both their resources Nonetheless, privatization is no panacea. and their time horizon. Few of the conditions Careful consideration must be given to the that promote the adoption of good manage- environmental obligations to be met by priva- ment practices apply, and the firms' environ- tized enterprises, especially where these enter- mental performance will reflect the general prises are responsible for providing environ- weaknesses of their management and opera- mental services. The most important require- tional practice. ment is that a clear plan for achieving environ- The contrasting circumstances of the enter- prises in the two groups highlight the fact that manner (e.g., in a river basin context) must be a what may appear to be a clear "win-win" oppor- riatizato the ucesfu bidderis t tunity to an outsider may prompt very different alsoabezgiven The sponsbifr mn l the responses from different enterprises. Still, it should not be assumed that even the most so- long-term infrastructure decisions necessary to phisticated firms in the first group will easily or meet the environmental objectives agreed at the rapidly adopt many "win-win" opportunities. For many, the economic gains may simply be too small to justify the bother, unless there are other Reward Good Behavior? Penalize incentives. Improved management capacity in Bad Behavior? small and medium-size enterprises will yield substantial benefits, and assistance toward this Money is often not the limitingfactor. end will result in financial and environmental Our understanding of what is required to im- rewards-provided that assistance does not sim- prove the environmental behavior of utilities and ply compensate for poor management actions in enterprises is changing. It had been generally the past. assumed that violations of regulations occur be- In other words, technical solutions to improve cause of lack of resources to invest in pollution efficiency and environmental performance control. Increasingly, it is accepted that reality is should come as a result of management decisions, more complicated. Often, investments to comply not be a substitute for them. This implies that with regulations are often made, but controls are subsidies to promote cleaner production-in the then switched off or bypassed, or poor plant form of grants for hardware or of centers which management negates whatever pollution control provide technical advice-will rarely achieve measures may have been put in place. The ques- their intended purpose. However, demonstration tion is, therefore, whether improvements in en- projects that serve as concrete examples may pro- vironmental performance really depend on vide useful lessons for enterprises that do not investments in pollution control. want to be the first to try new approaches. To what extent should pollution abatement be subsidized? Are lines of credit an effective mecha- Recognize that privatization or corporatization is of- nism for reducing pollution? Who should finance ten the best and only solution to the environmental investments by public authorities? Experience problems of state-owned enterprises. with a broad range of projects throughout the Experience suggests that the environmental per- world suggests the following answers. Pollution Management: Key Policy Lessons 9 In general, governments should not subsidize Users of the services provided by public utili- investments in pollution abatement by profitable ties should be expected to pay prices that are suf- enterprises. The "polluter pays" principle is ficient to cover any investment costs involved. It clearly applicable, and the incentive effects of may be sensible and efficient for such agencies such subsidies are almost wholly undesirable. to draw on a general public investment pool, but Any exceptions to this broad precept must rest the objective should be to ensure that they have on the existence of unusual and very specific ex- individual access to financial markets as high- ternal benefits. Lack of commitment or of effec- quality borrowers. Investments in pollution con- tive regulatory oversight merely strengthens the trols should be financed either by borrowing or case for not providing subsidies, since it implies by the use of depreciation funds, not out of cur- that the resources will almost certainly be wasted. rent revenues from taxes or service charges. If utilities find that they may be unable to recoup Improve financial performance and operational the borrowing costs by increasing service charges, management. there is a question as to whether the investments Unprofitable state-owned enterprises face many are really justified. problems of more importance (to their manage- ments) than their environmental performance. Close down or privatize industrial dinosaurs; The best way of solving their environmental don't use environmental concerns as an excusefor problems is through improvements in their finan- restructuring. cial performance and operational management. The argument for subsidies appears especially Subsidies, low-interest credits, and any other as- strong for industrial dinosaurs, handicapped by sistance will do nothing to change this harsh re- an inheritance of outdated capital equipment, ality and will just be throwing good money after excess labor, and poor operational practices. bad. The advice to such enterprises must be to However, such subsidies are likely to be misdi- straighten out their overall performance and then rected to investment in new equipment, whereas focus on environmental concerns, which will al- improvements in operational performance and ready be lessened because of the benefits of bet- good housekeeping would bring about efficiency ter operational practices. as well as environmental gains. The remedy for Lines of credit for industrial pollution abate- both the economic and the environmental prob- ment are rarely an effective way of promoting lems of such plants is either privatization or do- better pollution management. The beneficiaries sure. Environmental concerns should not be used tend to be large enterprises with access to other as an excuse to defer or divert necessary mea- sources of credit. For such recipients, finance is sures to implement appropriate actions, nor not the critical constraint in implementing effec- should the enterprises be exempt from the regu- tive measures to reduce pollution. Small and lar requirements of environmental policies. medium-size enterprises may face more serious financial constraints, but these pale by compari- Set requirements for old plants that reflect their eco- son with the problems caused by lack of com- nomic life. mitment to good environmental performance and To the extent that exceptions are made to this by limited managerial or technical capacity. It is general rule, the implicit payback period for any better to allocate resources to outreach, training, expenditures, taking account of both economic and technical assistance activities than to provide and environmental benefits, should be very privileged access to finance. There are circum- short-not more than two years. This criterion will stances in which a targeted (unsubsidized) line minimize the danger of financing redundant or of credit may be a useful and justifiable comple- wasteful measures to achieve goals that might be ment to a broad action program implementing a better met in some other way Providing finance package of measures that includes real incentives for projects that produce such rapid and large ben- and effective regulatory intervention. However, efits should not delay any move to privatize the most general lines of credit simply represent the enterprise, and little will be lost if a decision is made triumph of hope over experience, to dose all or parts of the plants concerned. 10 OVERVIEW Box 2. Management of Industrial Pollution: Be realistic in drawing up environmental regula- Suggestions for Enterprises, Governments, tions. Pure coercion has not worked and will not and External Donors work. Negotiate realistic targets with industries and plants; then insist that these targets be met. Allow Enterprises adequate time for compliance. * Good environmental practice is just good manage- Strengthen environmental agencies; develop their ment; environmental problems are often a symp- technical and monitoring capabilities; encourage tom of inefficiency and waste of resources. them to understand industries. Provide advice as * Focus on plant housekeeping, maintenance, and well as enforce permits. Decentralize responsibil- management. Would you sit on your plant floor? If ity to regional authorities wherever possible. not, why not, and what can you do about it? * Involve your staff and workers. Environmental prob- External donors lems are often occupational health problems. De- 0 Focus on those issues where well-directed efforts fine clear goals, provide training, and monitor can accelerate change. Broad environmental performance. progress will come largely as a result of economic * Focus on those environmental investments that change. can be financed out of cash flow. This ensures that 0 Massive new investment may not be the solution; environmental management is seen as part of the it may add to the problem. The pursuit of invest- overall operating costs of the enterprise. ment projects may distract management attention from smaller but practical improvements and goals. Governments Investment projects should be the reward for bet- * Identify critical problems, and focus political, hu- ter management, not an incentive to attempt to man, and financial resources on priorities. This will bring it about. ensure that the greatest impact will be made on Avoid soft loans to enterprises (as distinguished the most important problems. from national governments). Apply strict economic * Get the external incentives for enterprises right. criteria in assessing projects. Grants may have a Decisions on taxes and the like may be more im- role where there are large external benefits that portant than environmental regulations. Don't ne- cannot be achieved by other means. glect pollution charges. Ministries of finance should Ensure that consultant studies and technical think of taxes as a way of changing behavior, not assistance have clear objectives and are di- just generating revenues. Get all ministries to fol- rected toward specific needs of enterprises or low consistent policies, governments. Recognize the need*for reasonable transition arrangeeents. Mainstream Environmental Concerns Concerns about fairness are valid, but only if a fair outcome is seen as one that imposes uniform The broad concepts of sustainable development obligations-emission reductions or control are now universally accepted. In practical terms, technologies-on all sources. Any focus on envi- the challenge is to find ways to integrate pollu- ronmental management must emphasize oppor- tion prevention and abatement into the ways that tunities rather than obligations. Initial differences cities are run, enterprises are managed, and in capital equipment, age of plant, and the like people lead their daily lives. The emphasis must that give rise to different opportunities decay as now be on making environmental management managers respond to the new policy framework. and performance part of the basic criteria by Thus, fairness only requires adequate transitional which the success of any operation or process is arrangements, not a permanent commitment to measured. A number of practical suggestions are inappropriate policy instruments. summarized in Box 2. PART 11 IMPLEMENTING POLICIES IN PRACTICE BASIC PRINCIPLES SETTING PRIORITIES AIR QUALITY MANAGEMENT WATER QUALITY MANAGEMENT INDUSTRIAL POLLUTION MANAGEMENT FINANCING ENVIRONMENT GLOBAL AND TRANSBOUNDARY ISSUES Indicators of Pollution Management The definition and selection of environmental performance indicators is still at an early stage, but the use of indicators is increasing, both for tracking trends in pollution and other environ- mental issues on a large scale (national or regional) and for monitoring Bank projects. This chapter provides a framework to assist in the selection of appropriate indicators for pollution projects and discusses the issues that must be considered. It provides examples of commonly used indicators of air and water pollution. World Bank involvement in pollution control and Information on the magnitude of a benefit is urban environment projects forms a significant required to determine whether it is worth the share of a growing environmental portfolio (61% resources being expended to achieve it. Similarly, of a lending portfolio that has almost doubled information on the magnitude of adverse impacts since 1992). As investments in this area grow, it might indicate whether the harm is justified, becomes increasingly important to develop quan- given the other benefits of the activity or project titative measures of the effect of such investments in question. on the environment, in this case air and water. There is therefore a heightened need to use envi- Indicator Typology ronmental performance indicators (EPIs) for monitoring the success of investments in meet- In the past, monitoring of Bank projects focused ing the stated objective of pollution management. on inputs (resources provided under the project) and outputs (the immediate goods or services Environmental Performance Indicators provided by the project). Input indicators can be specified in terms of overall funds earmarked, An indicator is "something that provides a clue specific tasks to be funded, and funding agen- to a matter of larger significance or makes per- cies. Output indicators relate to specific actions ceptible a trend or phenomenon that is not im- taken (such as electrostatic precipitators installed, mediately detectable" (Hammond et al. 1995). An rehabilitation of the water supply network, in- indicator's main defining characteristic is that it troduction of substances with low or no ozone- quantifies and simplifies information in a man- depleting potential, and switching of the fuel ner that promotes the understanding of environ- used in power plants); these would evolve from mental problems by both decisionmakers and the the design phase of the project. In addition to public. Above all, an indicator must be practical often being unduly rigid, such a project-centric and realistic, given the many constraints faced approach focuses attention too narrowly on the by those implementing and monitoring projects. process of implementing projects rather than on EPIs can help quantify impacts and monitor the results. Increasingly, it is being realized that progress. The goals are to assess how project ac- the ultimate assessment of the performance of a tivities affect the direction of change in environ- pollution-related project should be based on its mental performance and to measure the magnitude of immediate and longer-term effects on parameters that change. Indicators that allow a quantitative such as air and water quality. The emphasis is evaluation of project impacts are particularly therefore moving toward the definition of out- useful, since they provide more information than come indicators (to measure the immediate results just whether the project is improving or degrad- of the project) and impact indicators (to monitor ing the environment. the longer-term results). The input and output in- 13 14 IMPLEMENTING POLICIES: BASIC PRINCIPLES dicators relate more to project process; the out- mal power plant, or loss of a mangrove forest come and impact indicators relate to the overall because of port development).'Whatever the effect on the environmental resource, such as the cause, pressures affect the state of the environ- quality of an airshed or a water body. ment and then may elicit responses to address For example, a loan to control dust emissions theseissues. from cement plants might specify the following The state variable usually describes some indicators: physical, measurable characteristic of the envi- * Input (project-specific resources): financial ($X rare cmon tate les e i ana million); technical assistance (fo example us cncenatins * Output (goods and services produced): num-ate ber of electrostatic precipitators and fabric fil- in air or biochemical oxygen demand in water ter systems installed bodies). For natural or renewable resources, other te sstcem installae reut).eue ms measures are used: the extent of forest cover, the * Outcome (immediate results):r area under protected status, the size of an a- sions of particulate mattermapouainorgzngdstyMstEs * Impact (longer-term results): reductions in am- rel topeaiy m r tatensariables bient concentrations of particulate matter; fewer health problems from respiratory dis- The response variables are those policies, in- eases.vestments, or other actions that are introduced eases.to solve the problem. Bank projects that have Outcome and impact indicators should form important environmental components can be an integral part of assessing the success of an thought of as responses to environmental prob- environment sector project. Formulating effective lems. Such projects can affect the state either di- outcome and impact indicators, however, re- rectly, by way of ex-post cleanup activities, or mains a major challenge. indirectly, by acting on the pressures (for ex- ample, by providing alternative income sources Framework for farmers who would otherwise clear forests). In some cases, projects also seek to improve re- Considerable work has been done to come up sponses to environmental problems, for example, with a coherent framework within which to as- by increasing institutional capacity to monitor sess the positive or negative effect of human ac- environmental problems and enforce environ- tivity on the environment. In a conceptualization mental laws. Because Bank projects are them- by the Organisation for Economic Co-operation selves considered to be responses to environ- and Development (OECD 1994), three aspects of mental problems, the following discussion the environmental problem are distinguished: focuses on the use of pressure and state indica- the pressure that causes the problem (for ex- tors to monitor project outcomes and impacts. ample, emissions of sulfur dioxide, SO2); the re- The relevant question is: what immediate and sulting state of the environment (for example, long-term impacts will the project have on causal ambient concentrations of sulfur dioxide in the factors (pressures) and the condition (state) of the air); and the response to the problem (for example, environmental problem? It is important to look regulations requiring the use of low-sulfur coal at immediate outcomes that reduce pressures, as to reduce emissions and ambient levels of sul- well as at the longer term impact-otherwise the fur dioxide). The pressure and state indicators project may be incorrectly blamed (or credited) measure project outcomes and impacts, respec- for a worsening of (or improvement in) the state tively. of the environmental resource. The pressure variable describes the underly- ing cause of the problem. The pressure may be Choosing Environmental an existing problem (for example, soil erosion in Performance Indicators cultivated uplands or air pollution from buses), or it may be the result of a new project or invest- Choosing appropriate EPIs is a difficult task. No ment (for example, air pollution from a new ther- universal set of indicators exists that would be Indicators of Pollution Management 15 equally applicable in all cases. The diversity pressure and the consequent effect on the state of environmental problems, of the contexts in of the environment may be ambiguous or of un- which they arise, and of the possible solutions known magnitude. to them is simply too great. This section dis- An important factor in the design or assess- cusses how task managers might proceed to ment of a project is to determine as accurately as select EPIs for their projects and the factors that possible the relationship between the project and must be borne in mind when doing so. Given the overall state that is of concern. For example, the limited experience in this field, the discus- airshed modeling may be required to quantify sion is necessarily preliminary and is likely to the relationship between a particular point source be revised on the basis of lessons derived from and ambient air quality. actually applying EPIs. Level of Measurement Link to Project Objectives Indicators of state and pressure can both be mea- The process of selecting EPIs must necessarily sured at various levels. The objective of quanti- start from a precise understanding of the envi- fying project benefits (or costs) will be aided if ronmental problems being addressed and of indicators are selected as close to the project ob- project objectives. Vague or overly broad objec- jective as possible. This is particularly true when tives such as "reducing erosion" or "protecting the environmental function of concern plays an biodiversity" are of little assistance in selecting important economic function (air quality as an EPIs and may well indicate that the project or input into health; water quality as an input into component itself is not very well thought out. The agriculture, fish production, or human consump- appropriate responses will differ depending on tion; soil quality as an input into agricultural pro- whether, for example, erosion is caused by de- duction). For example, in the case of land forestation or by inappropriate farming practices, degradation, indicators of achievable yield are and so will the EPIs. Likewise, it makes a differ- more useful than indicators of soil depth. Well- ence whether erosion is a concern because of sedi- chosen indicators would speak directly to the mentation in downstream reservoirs or because problem of concern and, in most cases, would it undermines agricultural productivity. Again, give direct measures of project benefits (if the the EPI best suited to the specific situation should project is alleviating problems) or costs (if the be chosen. Where the environmental consequence project is causing them). The further the chosen is not an explicit project objective but a by-prod- indicator is from the economic end point, the uct of project activities, the environmental assess- more difficult it will be to evaluate the returns to ment (EA) process can aid in understanding the the project. possible impacts and hence in selecting the ap- propriate EPI. Spatial and Temporal Coverage Pressure versus State Indicators Careful thought needs to be given to the appro- priate spatial and temporal coverage of EPIs. The goal of EPIs is to monitor and evaluate envi- Project activities might have an impact beyond ronmental impacts arising from Bank-supported the area in which the project is active. The affected activities. This implies a need to measure two area may not coincide with the national territory, dimensions of the environmental problem: the making national-level measures inappropriate. state of the environment and any changes in that (Where feasible, however, it is highly desirable state, and the contribution-direct or indirect- that project-level indicators be comparable to that the project is making to those changes. Indi- national-level indicators.) There may also be lags cators of both pressure and state are therefore before project effects are felt. Changes in the long- typically required to properly evaluate project term status of biodiversity, for example, often impact. Indicators of pressure alone are often only manifest themselves over time scales much insufficient because the link between a given longer than those of typical Bank projects. 16 IMPLEMENTING POLICIES: BASIC PRINCIPLES Feasibility and Cost preproject situation but with the counterfactual situation: what would have happened in the To be effective as an aid to decisionmaking, EPIs absence of the project? An increase in a pres- must be limited in number and should highlight sure indicator could still be considered evi- essential factors concisely. They must also be dence of success if the pressure would have practical and realistic in terms of the costs in- increased even faster without the project. In volved. This may lead to tradeoffs between the some cases, control groups can be used to mea- information content of various indicators and the sure conditions in areas not affected by the cost of collecting them. These tradeoffs will ob- project; in others, statistical techniques are viously vary across technologies and will depend needed to estimate what would have happened heavily on institutional capacity. Certain indica- without the project. tors that are extremely simple or inexpensive to collect may be inadequate for various reasons. Air Pollution The case of air pollution provides an example of the tradeoffs that must often be made in select- A wide variety of airborne pollutants are of con- ing EPIs. Ideally, the project's impact on morbid- cern from the point of view of health and envi- ity and mortality would be measured, since ronmental impacts. A number of site-specific reducing these indicators is generally the in- studies have examined pollution risks, and al- tended result. Morbidity and mortality them- though results vary, there are some important selves can be measured, but establishing a clear consistent findings. Health problems have typi- link between them and either ambient pollution cally been associated with airborne particulates, levels (a state indicator) or any given source of measures of which include total suspended emissions (a pressure indicator) remains ex- particulates (TSP) and particulate matter of 10 tremely difficult, despite recent progress in this microns or less in diameter (PM10, the more dam- area (Ostro 1994). The only feasible solution in aging, smaller particles), and with ambient lead. most such situations is to fall back on indicators Damage to structures, forests, and agricultural of ambient concentrations or, if the source has crops tend to be primarily linked with sulfur di- been established as contributing significantly to oxide and with ground-level ozone. total pollution, of emissions. Even though the ultimate objective of a project might be to mitigate damage to human health, Interpreting EPIs monitoring such effects directly is extremely dif- ficult because of substantial uncertainties about Once an indicator has been selected and mea- the exposure of different population groups to sured, it must still be interpreted. Emphasis has pollutants, their response to different levels of increasingly shifted toward performance indica- exposure, and the cumulative nature of damage. tors that measure changes relative to a goal es- It is common, therefore, in gauging a project's tablished by environmental policy. Such an impact, to fall back on monitoring indicators of explicit reference to goals is important to put the ambient concentrations or of emissions, depend- project's impact in perspective. Once the project ing on the project's potential contribution to is under way, the emphasis is usually on varia- correcting the overall problem. The most com- tions in the indicator over time. A positive change monly used indicators of air pollution emis- in a state indicator or a diminution of a pressure sions and concentrations are listed in Table 1. indicator is usually considered an indication of These indicators may need to be supplemented success, as long as it can be shown that it is not by additional EPIs, depending on local condi- the result of nonproject factors or random effects. tions. (It may be necessary to establish baseline lev- els for preproject conditions and follow up with Water Pollution measurements over extended periods to ascer- tain trends with confidence.) The appropriate Industrial and agricultural chemicals and organic comparison, however, is generally not with the pollutants from agro-based industries are signifi- Indicators of Pollution Management 17 cant source of surface water and groundwater varies; a given pressure may cause few problems pollution. Acidification of surface waters from air when flow is at its peak but may have a major pollution is a more recent phenomenon and is a impact at times of low flow. threat to aquatic life. Understanding of the impact of water quality Global Environmental Problems on human health and aquatic life has improved enormously in recent years. Two broad measures Measuring the impact of projects on global envi- of water quality have come to be widely used ronmental problems such as climate change or (see Table 1): oxygen levels or demands in the damage to stratospheric ozone poses significant water, and concentration of heavy metals. A mea- problems of scale. No single project is likely to sure of pollutant concentrations could be re- have any measurable impact on these problems. garded as a pressure when measured in a stream Measuring the state of the problem, therefore, that feeds into a lake or as a state when measured does not generally fall within the scope of project- in the water body fed by the stream. Used to- level monitoring, but determining the effect of a gether, these indicators provide a rough but use- project on pressures is feasible. ful picture of the overall health of the water body and of the threats to it. Climate Change The procedures required in measuring water quality indicators are problem specific and are Climate change is linked to a number of impor- generally well understood. Sampling methods tant effects on the global life support system. Sea- differ depending on whether the water body of level rise and shifts in primary agricultural interest is, for example, a lake or a stream. Tim- production are among the most dramatic poten- ing of measurements is often an issue, since con- tial impacts. Although monitoring global climatic centrations can vary substantially as the flow effects is impractical at the project level, emis- Table 1. Selected Environmental Performance Indicators for Air and Water Pollution and for Global Environmental Problems Problem Pressure indicators State indicators Comments Air pollution Emissions Ambient concentrations The same indicators can serve as Particulates Particulates measures of pressure or state, de- Sulfur dioxide Sulfur dioxide pending on where they are mea- Lead Lead sured-at the smokestack or in the ambient air. Water pollution Discharges of industrial Concentrations of pollutants See comment on air pollution. wastes in water bodies Biochemical oxygen Biochemical oxygen demand (BOD) demand (ROD) Chemical oxygen Chemical oxygen demand (COD) demand (COD) Heavy metals Heavy metals Global Climate change Measuring the impact of specific environmental Emissions of green- projects on a global problem is un- problems house gases (carbon realistic. dioxide, methane) Stratospheric ozone Emissions of ozone- depleting substances (chSoroflurocarbons; halons; hydrochloro- fluorocarbons Table 2. Matrix of Representative Environmental Performance Indicators Outcome or pressure Impact or state Environment sector (measures the immediate outcome) (measures the long-term environmental impact) Comments Forestry Rate of deforestation Deforestation The appropriate state indicators Per capita wood consumption Area of forest depend on the objective; pressure Incentives for forest clearing Preservation of intact forest areas indicators are often similar across Area of roadless forest objectives, but the appropriate Forest fragmentation index resolution changes (for example, to Watershed protection a focus on particular watersheds). Proportion of watershed with appropriate cover Biodiversity Encroachment into natural habitats Area of natural habitat Special attention needs to be Legal and illegal hunting offtakes Habitat fragmentation index devoted to identifying and monitor- Upstream pollution sources Proportion of habitat adjoining incompatible land uses ing the state of critical natural Population status of selected indicator organisms habitats Changes in the biogeochemistry of soils and waterways Land quality Nutrient removal in excess of fertilizer Nutrient level (of nitrogen, phosphorus, potassium, and other nutrients, Appropriate indicators are very site applications and natural regeneration depending on the specific crops being grown) specific. Erosion rates Soil depth Organic matter content Total factor productivity (TFP) Air pollution Emissions of: Ambient concentrations of: The same indicators can serve as oo Particulates (TSP or PMJo) Particulates (TSP or PM10) measures of pressure or of state, Sulfur dioxide Sulfur dioxide depending on where they are Lead Lead measured. Water pollution Discharges of human and industrial wastes Concentrations of pollutants in water bodies The same indicators can serve as Fecal coliform counts Fecal coliform counts measures of pressure or of state, Biochemical oxygen demand (BOD) Biological oxygen demand (BOD) depending on where they are Chemical oxygen demand (COD) Chemical oxygen demand (COD) measured. Heavy metals Heavy metals Global environmental Climate change Measuring the impact of specific problems Emissions of greenhouse gases projects on a global problem is (carbon dioxide, methane) unrealistic. Stratospheric ozone Emissions of ozone-depleting substances (CFCs, halons, etc.) Institutional capacity Existence of environmental laws and agencies Active nongovernmental organizations (NGOs) Number of trained staff in environmental agencies Number of laboratory facilities Note: This table provides examples of EPIs used in the major categories of environmental problems that are normally encountered in Bank work; it is not meant to be exhaustive. Project effects are grouped according to whether they are primarily pressure indicators (equivalent to the project-linked outcome measures) or measures of change in the overall state (equivalent to impact indicators). Since input and output indicators are already measured by Bank projects, they are not listed in the matrix below. Examples of such indicators are best provided with a specific project in mind. See Table 3 for examples of input and output indicators for the Lithuania Siauliai Environment Project. Table 3. Use of EPIs in the Lithuania Siaulial Environment Project Output (goods and Input services produced by the project; (resources provided details to be determined at Outcome Objectives for project activities) "detailed design" phase) (direct outcomes of project activities) Risks Impact Reduce pollutant IBRD loan (US$6.20 Rehabilitated sewer network Amount of treated wastewater increased from Problems with Lower health care loads from the million) Rehabilitated wastewater 40,000 cubic meters per day (m3/d) to 50,000 availability of local costs (by X%) Siauliai area into Bilateral grants treatment plant ml/d. funding Increased tourism the Upper Lielupe (US$8.54 million) New wastewater treatment plant Pollution level reduced at the treatment plants' revenues (by Y%) river basin Government (US$7.6 Pollution control measures at pig outlets and at other locations Increased inter- million) farms At mouth of Lielupe River national political Municipal (US$0.4 Pollution control measures for Nitrogen reduced from 250 metric tons goodwill (measured million) agricultural runoff per year (tly) to 18 t/y through...) Phosphorus reduced from 56 tly to 15 tly All funds will be At wastewater treatment plant (Baselines to be utilized for procure- BOD reduced from 1000 t/y to 200 t/y determined) ment of equipment, Suspended solids reduced from 1,000 works, consultants, t/y to200 t/y and technical Nitrogen reduced from 500 t/y to 360 t/y assistance (training). Phosphorus reduced from 75 tly to20 fly Pollution levels from agricultural pilot sites and pig farms reduced at selected points down- stream (baseline to be determined). Improve the quality, Rehabilitated equipment Improved drinking water quality Outcome dependent reliability, and cost New equipment Decreased iron content on ability to adjust of water supply Restructured water utility Softer, potable water tariffs and wastewater Trained people Reduced number of breaks and trouble calls Revenue collection services in Siauliai on: difficulties Water supply and distribution system Political difficulties Wastewater collection and conveyance with organization- system (baseline to be determined) al restructuring Adequate operating ratio ( 200,000 per sensor useful near sources and for difficult to support, operate, cali- measurements taken vertically brate, and validate; not always through the atmosphere; multi- comparable with conventional component measurements analyzers Source: GEMS/Air. the benefits of beginning with a small, focused and suspended solids) at about 70 locations monitoring system and concentrating on answer- around the island. ing key management questions. A realistic set of monitoring parameters would Emissions Monitoring normally include the following (the exact require- ments will vary with specific circumstances). Emissions monitoring is usually carried out to collect information for the design and operation Ambient Air of pollution control systems or for regulatory purposes. For operational purposes, a small num- * Basic set: suspended particulate matter (pref- ber of parameters (or surrogates) may be mea- erably including fine particulate matter, PM sured on a regular or continuous basis. Sampling or PM2.5), sulfur oxides, nitrogen oxides, and schedules for regulatory requirements are typi- lead cally very specific. * Other: ozone, volatile organic compounds Emissions monitoring should include mea- (VOCs), and aerosol acid surement of flow rates, although a surrogate such as production rate is often used. Flow measure- Ambient Water ments are necessary to convert measurements of concentrations into estimates of pollutant loads. * Basic set: pH (indicating acidity or alkalinity); Continuous monitoring methods are now avail- dissolved oxygen (DO); biochemical oxygen able for many of the most important air and wa- demand (BOD); suspended solids; and flow (if ter pollutants, but the value of the additional data appropriate) obtained needs to be weighed against the cost * Other: coliform bacteria, ammonia, nitrogen, and complexity of such systems. phosphorus, chlorophyll, nitrates, and metals An environmental quality assessment is essen- tially a baseline study, either for the examination To give an example, Singapore regularly moni- of the impacts of a project (in a formal EA) or as tors 6 key air pollutants (PM1o, sulfur dioxide, a basis for the preparation or examination of nitrogen oxides, ozone, carbon monoxide, and policy options. In the more sophisticated type of hydrocarbons) at about 15 main sites. It moni- assessment, cause-and-effect relationships are tors 3 major water quality parameters (DO, BOD, estimated so that the impacts of different inter- Monitoring Environmental Quality 41 ventions can be determined. In such an assess- presenting the information in a form useful to ment, large amounts of useful data and analyses decisionmakers and other stakeholders. are often obtained, but the details are then fre- Box 3 describes an application of monitoring quently stored in a form or location that makes to a river system. subsequent access difficult. Sampling Monitoring as a System The choice of sampling methods should always Monitoring usually refers to the tracking of trends be made on the basis of an evaluation of factors over time. It must be regarded as a system com- such as reliability, accuracy, ease of operation, and prising a number of elements, with the overall cost. Documentation from the GEMS/Air pro- quality of the system controlled by the weakest gram provides an indication of the tradeoffs be- segment. tween simple (but often labor-intensive) methods Sampling refers to the collection of data that and more sophisticated approaches. are representative of a system. In some cases, the data can be measured directly (temperature is an Analysis example), but often the representative sample has to be analyzed or tested to determine the value The keyword for analytical systems is simplic- of individual parameters. Important questions ity. The developing world is littered with sophis- are the design of the sampling scheme and the ticated laboratories, funded by donors or projects, protocols for the collation, storage, and transport that are idle because of lack of funds for simple of samples. A wide range of national, interna- items such as glassware or purging gases or are tional, and sector-specific standards for sampling highly unreliable-often because the laboratory and analysis exists. buildings cannot be kept at constant temperature Analysis of samples is a critical step; the value or free of dust and contaminants. The problems of the results of the monitoring depends greatly are commonly compounded by the lack of a na- on the degree of confidence that can be assigned tional standards infrastructure to grade or cer- to the analysis. In many cases, a major issue is tify the laboratories. the capability and credibility of the laboratory Experience has shown that an incremental ap- system used for the analysis. proach is often best (see Box 4). Under such a Information management refers to processing of plan, the capabilities and reliability of existing the data obtained from the sampling system. This includes recording the data, analyzing it, and Box 4. Laboratory Upgrading Box 3. Monitoring the Vistula River Many World Bank projects have included a compo- in Poland nent to finance laboratory equipment for pollution monitoring and to train personnel. In the Poland The istla iverhasbee moitord sncetheEnvironment Management Project, a Polish-speak- The0s itha Rereshats beeng monitossih the ing external expert with many years of experience 1970, wth he esuls binguse to lasifythein managing laboratory systems was brought in to state of the river. The basic monitoring program in- inventory existing facilities and optimize the use of volved 35 stations on the main river and over 500 existing equipment. A quality control system was monitoring stations on the tributaries, which col- introduced before decisions were made on the ex- lected a standard set of samples. The samples were pansion of the laboratories and the purchase of new analyzed in 50 local laboratories across the coun- equipment. The laboratories were encouraged to try. Given the large amounts of data being collected, operate as far as possible on a commercial basis concerns arose as to the quality of the results. A and to broaden their client base beyond the state new set of five key permanent monitoring stations agencies that they had traditionally served. The has therefore been set up on the Vistula, together project also included support for national standard- with a certified laboratory testing program, to pro- ization efforts, designed to increase the reliability vide a highly reliable set of baseline data. of the overall laboratory system in the country. 42 IMPLEMENTING POLICIES: BASIC PRINCIPLES laboratories are gradually strengthened and ex- costs. The capital costs of equipment can be esti- panded. The main emphasis is on maximizing mated reasonably well, but operating costs are the use and productivity of existing systems and often highly dependent on local labor costs and in implementing quality control systems before the difficulties of obtaining spare parts. introducing new equipment or capabilities. Ex- A 1993 estimate of air pollution monitoring ternal quality control, by national or international costs by the U.S. Environmental Protection bodies, is critical for establishing the credibility Agency (USEPA) indicated an annualized figure and competitiveness of individual laboratories. of around US$26,000 for continuous monitoring of some key pollutants (see Table 2). These costs Information Management generally decrease as equipment is improved. In Germany in 1997, the average cost of these tests Definition and collection of data. Decisions on the was about US$20,000. data required and their collection will be influ- Estimates for the establishment of pollution enced by a range of factors. These include the control laboratories in India in connection with existing data and their quality; local capabilities a 1991 World Bank project were US$220,000 for a in sampling and analysis; the existing informa- regional laboratory, US$140,000 for a mobile labo- tion infrastructure, such as the availability of ratory, US$140,000 for a continuous ambient air remote-sensing data; the projected life of the monitoring station, and US$11,000 for a continu- monitoring system; and the costs of establish- ous water monitoring station. ing and maintaining the data collection system. Estimates for a 1993 project in Ukraine in- The costs of collecting and entering data can be cluded US$2.2 million for 16 stationary air qual- many times those of the hardware and the initial ity monitoring stations (costing about US$140,000 training. each), US$1.3 million for 7 mobile ambient air Data-handling systems and information manage- quality monitoring stations (about US$190,000 ment. The determination of institutional respon- each), and $1.9 million for 7 mobile emissions sibilities for handling and managing information monitoring vans (about US$270,000 each). In ad- is frequently difficult. The pragmatic approach dition, sample costs for measurement of deposi- is to have the organization that needs the data tion of toxic substances were estimated to be of do the initial collection (or contract for collection). the order of US$200-$500 per sample for poly- The initial processing should be as simple and chlorinated aromatic hydrocarbons (PAHs), poly- straightforward as possible, for example using chlorinated biphenyls (PCBs), and mercury. spreadsheets or simple database software on a As an example, a basic ambient air quality standard personal computer. Data should be monitoring program for one large metropolitan stored in a format that is simple and convenient area is based on 6 automatic monitoring stations to exchange, once agreement on responsibilities around the city each measuring sulfur dioxide, has been reached. carbon monoxide, ozone, nitrogen oxides, and More elaborate systems (often based on a geo- nonmethane hydrocarbons, and 16 manual moni- graphic information system, GIS) need to be founded on institutional agreements regarding Table 2. Costs of Monitoring Selected Pollutants technical issues such as the georeferencing sys- tem) and exchange and interpretation of data. Monitoring Annualized cost The installation of a number of GIS systems in Pollutant period (U.S. dollars) different agencies or organizations is not neces- Particulate matter sarily inefficient, but care must be taken to avoid (Pm"') Continuous 19,000 duplication and to ensure compatibility. Sulfur dioxide Continuous 26,000 Nitrogen dioxide Continuous 27,000 Costs Lead Daily 20,000 Ozone Continuous 26,000 The costs of a monitoring system include both Carbon monoxide Continuous 26,000 capital costs and operating and maintenance Source: USEPA, 1993 data. Monitoring Environmental Quality 43 toring stations measuring particulates (PMo) and It is essential that the environmental monitor- sulfur dioxide. A composite air quality index is ing unit have an assured budget to sustain the prepared and announced daily, and contingency effort. Reliance on donor funds for setup is ac- plans are implemented when the index is very ceptable, but the ongoing operations must be high. The performance of the system is audited funded at a realistic level by the country. Ex- twice a year by an internationally reputable labo- amples of the practical budget problems that ratory. The annual cost of the system is estimated have been encountered include lack of fuel to to be less than US$1 million, drive project vehicles to sampling sites, inability to pay for long-distance phone calls to regional Sustainability centers, and lack of an operating budget to pay for basic consumables such as glassware and dis- Given the costs in time and in human as well as tilled water. financial resources, it is essential to establish re- Difficulties can arise when governments seek sponsibility for the collection of data and main- grant money for the development of new moni- tenance of the information system. Data toring systems; such systems tend to be capital- collection is almost always the most costly com- intensive and overly sophisticated and therefore ponent of a monitoring system, and it is unreal- unsustainable in the long run. As awareness of istic for an environmental agency or a national these concerns grows, there is an increasing em- statistics office to attempt to collect large amounts phasis in project design on working within real- of information. To minimize the operating costs istic institutional and budgetary constraints. of the monitoring group, collection should be the responsibility of the line agencies responsible for Community Monitoring various functions such as water supply or trans- port. The coverage of the data may be less than Monitoring is usually thought of as technically desirable or optimal, but the system is far more complex, to be carried out by experts. However, likely to be sustainable in the long term. there is increasing interest in developing simple Table 3. Basic Principles for Designing an Environmental Information System Principles Practical concerns Clear objectives The system should be designed to support specific management objectives. There should be clear, easily understood questions that need to be answered. Appropriateness The level of sophistication of the sampling and analysis should match the skills and re- sources available, as well as the objectives. Achieving this may involve tradeoffs between extent of coverage, level of detail, and quality of the information generated. Institutional support The incentives for collection of data and maintenance of the systems must be clearly un- derstood. Agreements must be made up front about the sharing of data and the publication of results. Quality control The level of accuracy required of the data must be appropriate to the use foreseen and must be explicit. A quality control system must be established, with sufficient outside in- volvement to ensure confidence in the results. Flexibility The system should be set up on the minimum scale necessary; it can be expanded when the benefits of better information become clear. There should be sufficient flexibility to ad- just the system in the light of initial results. Sustainability The system must be designed in light of a realistic assessment of the long-term financial and human resources that are likely to be available. It is essential for sustainability to be able to demonstrate to decisionmakers that the system produces useful and relevant infor- mation. 44 IMPLEMENTING POLICIES: BASIC PRINCIPLES systems that can be adopted by communities to ment of communities and nongovernmental monitor their own local environment. These sys- organizations. tems can be based on simple technologies (the equivalent of a strip of litmus paper) or can be What Is a Minimum Data System? more sophisticated and involve the training of local technicians in basic sampling and testing A fundamental question should be asked: what procedures. In either case, the involvement of the is a minimum data system for a given situation? community in the design and implementation of There is no simple answer, but Table 3 sets out a the system is critical. Experience with these ap- number of basic principles for the design of an proaches is grad4ally developing and is likely to environmental information system. expand in Bank projects, with greater nivolve- Comparative Risk Assessment Comparative risk assessment provides a systematic way of looking at environmental problems that pose different types and degrees of health risk. It combines information on the inherent hazards of pollutants, exposure levels, and population characteristics to predict the resulting health effects. Using data from available sources, rapid, inexpensive comparative risk assess- ments can identify the most significant health problems. Together with consideration of costs, technical feasibility, and other factors, the results of comparative risk assessment can be used to set priorities for environmental management. Comparative risk assessment provides a general vidual country. However, relationships based framework for evaluating environmental prob- on site-specific epidemiologic data are pre- lems that affect human health.' Risk assessment ferred, if available. does not have to be cumbersome or costly to pro- Risk characterization, the final step in risk as- vide useful insights. Rapid, inexpensive ap- sessment, combines the exposure and dose-re- proaches can be considered risk assessment as sponse assessments to calculate the health risk long as certain basic concepts are included. There estimates, such as the number of people pre- are four generally recognized steps in assessing dicted to experience a particular disease, for human health risks, as described by the U.S. Na- the population of concern. Risk characteriza- tional Research Council: tion also describes uncertainties in the calcu- * Hazard identification is the process of describ- lations and provides other information to help ing the inherent toxicity of a chemical on the interpret the results of the analysis. basis of toxicological data from laboratory or Comparative risk assessment is a simplified, epidemiologic studies. focused methodology for deriving reasonable * Exposure assessment combines data on the dis- findings from readily available data. It is used to tribution and concentrations of pollution in the provide understanding and guidance in the ab- environment with information on behavior sence of detailed scientific studies and analysis. and physiology to estimate the amount, or dose, of a pollutant to which humans are ex- Issues in the Use of Risk Assessment posed. Exposure is typically estimated by modeling the dispersion of emissions from a Defining the Scope of the Analysis polluting source. * Dose-response assessment relates the probabil- An effective risk assessment must have a well- ity of a health effect to the dose of pollutant defined scope. The appropriate scope depends (see the Annex) It relies on statistical or bio- on the purpose of the analysis. For example, an logically based models to describe this rela- evaluation of emissions from a particular indus- tionship, using either experimental animal trial facility is likely to concentrate on the health data or epidemiologic studies. Estimated dose- effects on local population; a project to set na- response relationships (DRRs) are readily tional environmental priorities may include a available for a large number of industrial broader range of issues, such as the effects of chemicals and other types of pollutants and national policies on emissions of greenhouse need not be derived separately for each indi- gases and ozone-depleting substances. 45 46 IMPLEMENTING POLICIES: SETTING PRIORITIES The purpose of most comparative risk assess- odology to be used, identify sources, and collect ments is to identify the most important health data. The study relied on existing data without risks from the point of view of the people affected. any additional environmental sampling or mon- Although the options for mitigating risks may toring. Such rapid evaluations usually mean be evaluated on a sectoral basis, the initial analy- greater uncertainty in the results, but they are still sis should consider all types and sources of envi- useful for getting a general idea of the magni- ronmental risk in making the ranking. tude of problems associated with pollution The analyst must choose the types of risks and sources and to demonstrate to decisionmakers populations to assess. These may include: that the problems posed by pollution are real and * Type and duration of health end point (acute significant. or chronic, cancer or noncancer, occupational Comparative risk assessment is an important disease) tool for helping to prioritize solutions to health * Special target populations such as children, problems by distinguishing actual risk from po- pregantwome, ad ashmaicstential exposure. Its strength lies in its ability to pregnant women, and asthmatics * Ecological effects (for example, on populations, compare and evaluate the effects of two or three uniqe hbitas, r bodivrsiy).pollutants or other hazards. Nonetheless, because uniquethese techniques emphasize pollution, they do An assessment of a particular industrial project not necessarily portray the complete range of or sector typically begins with a description of environmental health problems. Thus, for ex- the source of pollution. Models of the transport ample, vector-related diseases such as malaria, and potential transformation of the pollutants in dengue fever, and schistosomiasis-all still very the environment are used to estimate the concen- important in developing countries-would not tration of contaminants in air, water, or soil. Con- necessarily be covered in an assessment. Addi- centrations in these media are used to estimate tional public health inputs may therefore be the human dose, which, combined with dose-re- required to gain a complete portrait of environ- sponse information, predicts the occurrence of mental health risks. disease. The results of rapid assessments are likely to For some pollutants, monitored data on con- be most valuable when they are used in a rela- centrations in air or water may be available, ob- tive or comparative, rather than an absolute, way. viating the need for modeling the transport and The appropriate complexity of analysis will be fate of the pollutant. In other cases, data on mea- influenced by a number of factors, including the sures of pollutants in the human body, such as likelihood that additional refinement would re- blood lead levels, or measures of characteristic solve the uncertainties in budgets, time con- clinical responses to exposures, such as elevations straints, availability of data, and use of the results. in blood enzyme levels, may be available. These may be used as a direct measure of exposure in Quality of Data Required the dose-response functions, rather than using estimated exposure rates. The quality and quantity of data needed to pro- duce a meaningful analysis will depend on how Complexity of Analysis much uncertainty the analyst is willing to accept. Ideally, high-quality local data for all parts of the Risk assessment does not necessarily require so- analysis, including locally based epidemiology phisticated techniques or extensive data collec- for the dose-response functions, would be avail- tion. Reasonable, practical results can be derived able. The ideal will rarely, if ever, be the case. using minimal available information on pollu- However, limited good data can be supple- tion and the populations exposed to it. mented through techniques that fill data gaps For example, in a study by the U.S. Agency with reasonable assumptions and extrapola- for International Development (USAID 1994), an tions. For example, data on ambient concentra- American team worked in Cairo for six weeks tions of many chemicals are often unavailable, with Egyptian counterparts to refine the meth- since monitoring is expensive and is likely to Comparative Risk Assessment 47 be directed at only a few constituents. In its place, In Developing Countries and Transition emissions data can be used in conjunction with Economies environmental modeling systems to estimate con- centrations in the environment. Comparative risk assessment can help regions Two such systems developed within the World and countries allocate limited resources effi- Bank are the Decision Support System and the ciently (see Table 1). For example, the method has Industrial Pollution Projection System. The been applied on a citywide basis in Bangkok and USEPA has also developed and published emis- in Cairo to identify specific recommendations for sions factors for air pollution sources; these in- targeted actions such as reducing lead in gaso- clude AP-42 (USEPA 1985) for "criteria" line and managing traffic situations to decrease pollutants and Toxic Air Pollutant Emission Fac- levels of particulate matter. The method was also tors, or TAPEF. applied in the Silesia region of the Czech Repub- lic and Poland, where it was coupled with an ef- Adjustments for Site-Specific Conditions fort to identify realistic, cost-effective solutions (USEPA 1992b, 1994). Many of the data sources and analytical tech- Many of the comparative risk assessments niques used in a risk assessment will, by neces- performed in developing countries have exam- sity, be transferred from OECD contexts. It may ined urban areas that do not have significant in- be possible to adjust such data on the basis of a dustrial sources of pollution. These studies have comparison of country-specific conditions with identified a consistent set of priority problems: the conditions in the countries where the data particulate air pollution and microbiological were derived. For example, epidemiologic stud- diseases caused by water and food contamina- ies frequently use measures of ambient pollut- tion. These problems are likely to be of high ant concentrations to represent personal concern in any rapidly developing area that lacks exposure. To adjust the results of such studies, adequate municipal infrastructure and is experi- the analyst will consider how the relationship encing a rise in industrial activity and traffic vol- between ambient concentrations and personal ume. Comparative risk assessments performed exposures may differ in the country of interest. in such settings may direct resources to exanin- ing these problems first, although the specific Examples of Comparative Risk Assessment conditions of each urban area may suggest addi- tional priorities. In Industrial Countries Key Issues in Risk Characterization Risk assessment has been used during the past and Priority Setting decade in a number of OECD countries. In the United States, it has been used to set overall en- Risk assessment attempts to evaluate environ- vironmental priorities for the nation, to guide mental problems using objective, scientifically legislation, and to choose among regulatory ap- based measures. Risk management considers not proaches. Almost every environmental program only the magnitude and severity of the health within the USEPA now uses risk assessment to risks posed by pollution but also the costs and determine regulatory priorities, to perform cost- technical feasibility of abatement and the politi- benefit analysis, or to target enforcement activi- cal will and institutional capacity to manage ties. Risk assessment has been used, for example, risks. By itself, it cannot establish environmental to decide which air pollutants to control, which management priorities. It is the first of several pesticides to allow and which to ban, and to what steps in the process of setting priorities, struc- degree contaminated hazardous waste sites turing policies, and implementing strategies to should be cleaned up. In Western Europe, both deal with pollution. the EU and individual countries are working to The use of risk assessment in cost-benefit adjust risk assessment techniques for application analysis and priority setting has typically meant within their contexts. the use of overall population risk measures, such Table 1. Summary of Risk Assessment Projects In Developing Countries andTransition Economies Study location Scope of problems (reference) Intent of study examined Notable features Major findings Bangkok (USAID Comparative risk across a Air, and water pollution; solid Estimated incidence and se- Highest-priority problems: 1990) range of environmental prob- and hazardous waste dis- verity index used to rank airborne particulate matter; lems posal; microbiological dis- problems lead; infectious disease ease Bangkok follow-up Focus on air pollution from Primary reanalysis focus on Included economic valuation Priority problems: particulate (World Bank 1994) energy, transport and manu- air pollution, but other media component matter and lead; surface wa- facturing sectors; identifica- examined ter pollution from microorgan- tion of cost-effective risk isms; congestion; air pollution reduction strategies control strategies for energy and road transport discussed Cairo (USAID 1994) Comparative risk across a Air and water pollution; solid Used estimated incidence Highest-priority problems: range of environmental prob- and hazardous waste dis- and qualitative estimate of particulate matter; lead; food lems posal; microbiological dis- severity and probability to and water contamination ease rank problems leading to disease a Quito (USAID 1993a) Comparative risk scoring Air and water pollution; solid Used both quantitative risk Highest-priority problems: air across a broad range of en- waste; occupational disease; assessment and health out- pollution, and food contami- vironmental and health prob- traffic come data; performed site- nation with microorganisms lems; other problems specific ethnographic study; performed explicit scoring of problems based on probabil- ity and severity Silesia region, Czech Identification of actions to re- Air, food, water, and solid Examined ecological as well High risks from particulate (UepAbl andb 1994)d due risentd imanageenti r waste; occupational disease as human health risks; used matter and toxic air pollution (UEP, 99b,194) rometa mnaemnt ecological risks for water pol- two dimensions-severity (coke oven emissions); food capabilities in a coal- and lution and scale-to characterize contamination with PCBs; steel-producing region risk high occupational risks; se- vere risks to aquatic life URBAIR projects: Estimate the health and eco- Air pollution only Estimated health effects All studies found significant Mumbai, Jakarta, nomic impacts of air pollution using monitoring data and effects of air pollution (thou- Manila (Shah and resulting from continued ur- U.S.-based concentration- sands of deaths, tens to hun- Nagpal 1997a, 1U997b, ban growth response functions; some dreds of thousands of cases 1997d) studies include explicit mon- of illness) etization of health effects Comparative Risk Assessment 49 as the number of cases of disease predicted, as where a narrower set of likely pollution problems the preferred risk descriptor. But there may be can be identified. (See Table 2 for some recent other important measures, such as levels of indi- examples.) vidual risk, the distribution of risks across the The types of consultants needed for a risk as- general population and highly exposed subpopu- sessment will depend on the data available and lations, identification of special at-risk popula- the problems to be assessed. If industrial pollu- tions, and consideration of the relative severity tion sources are the focus, the project may need of the effects characterized. environmental scientists or engineers familiar Vital to the interpretation of risk assessments with predicting the fate of emissions in the envi- is the identification of major sources of uncer- ronment. The exposure assessment, dose-re- tainty. Open, frank description of the uncertain- sponse, and risk characterization steps typically ties in the analysis enhances its credibility and require individuals with training in risk assess- provides a context in which the results should ment, toxicology, or epidemiology The task man- be viewed. ager may also want specialists familiar with the particular country's governmental and social Resources Required structure to facilitate the collection of data from diverse sources. The scale and cost of some risk assessments that have been conducted demonstrate that the prac- Some Sources of Data tical application of standard techniques of risk assessment can enhance project design without Environmental Quality Data being overly resource-intensive. USAID (1993b) presents a typical schedule for The most important sources of environmental conducting an environmental health analysis. quality data are local and regional. When local The example suggests a project lasting four to six data are not available, other sources may provide months, from project planning through the final limited information. For example, some intera- report. The schedule assumes a full-scale analy- tional organizations maintain environmental sis of many types of problems; the actual time quality data for certain pollutants: the United required may be less for site-specific projects, Nations Environment Programme (UNEP) Gob- Table 2. Time and Resource Requirements of Some Recent Studies Approximate resources Location (reference) Time required (U.S. dollars) Notes Bangkok (USAID 1990) Approximately 3 weeks on the On the order of 60,000- ground; a few months total to 70,000 prepare report Bangkok follow-up Four to 5 person-weeks for 25,000 for risk assess- Covered risk assessment, (World Bank 1994) risk assessment portion (20 ment; 100,000 for entire cost-effectiveness analy- person-weeks for entire re- report sis, and development of port) policy framework Cairo (USAID 1994) Six weeks on the ground "Moderate cost" Quito (USAID 1993a) Five to 6 months, with local Approximately 200,000 Included health risk as- consultants on the ground in sessment, environmental advance; shorter time in health survey, and ethno- country graphic survey URBAIR projects (Shah, Covered only air problems Nagpal, and Brandon 1997; Shah and Nagpal 1997a, 1997b, 1997c, 1997d) 50 IMPLEMENTING POLICIES: SETTING PRIORITIES bal Environmental Monitoring Network System developing countries, due to differences in the is an example of such a source. Other organiza- populations and exposures considered. The peer tions may have collected environmental quality reviewers expressed concern that the time-series data for specific purposes, such as USAID envi- studies capture primarily the acute effects of air ronmental action plans and World Bank country pollution on mortality. Short-term fluctuations in reports on environmental management. The mortality due to air pollution episodes may World Resources Institute compiles environmen- largely reflect the hastening (by days or weeks) tal data from a variety of sources for its annual of the'deaths of diseased individuals in the popu- World Resources report. lation. If so, this component of overall mortality results in fewer life-years lost and may be of less Human Health and Ecological Toxicity Data significance to public health than the chronic ef- fects of long-term exposure to air pollution in International organizations are good sources of otherwise healthy individuals. information on hazard evaluations of chemicals, Two recent cohort studies, Dockery et al. (1993) including environmental standards and, for some and Pope et al. (1995), have reported a signifi- pollutants, dose-response evaluations. The World cant and dramatic association between mortal- Health Organization (WHO) develops guidelines ity in the study cohorts and long-term exposure for acceptable concentrations in environmental to airborne particulate matter. Because such stud- media based on protection of human health. Of- ies better reflect the morbidity and mortality ef- ten, the background documents supporting these fects of interest, using the results of chronic effects guidelines can provide further information on studies in comparative risk assessment is pre- chemical hazards. The International Agency for ferred, when they are available. Research on Cancer (IARC) supplies data on the carcinogenic effects of pollutants. Factors for Human Exposure Assessment Since risk assessment is widely practiced in the United States, the USEPA is an important source Exposure assessment requires the integration of of information on toxicological information and environmental quality data with an estimate of evaluation methods. The agency maintains a cen- the rate of human contact with contaminated tralized, on-line database, the Integrated Risk media. This stage of risk assessment should rely Information System (IRIS), containing toxicologi- heavily on local data, since it allows an assess- cal information on over 600 chemicals, which can ment of how particular local conditions and cul- be easily accessed by risk assessment practitio- tural practices affect risk potential. Local data on ners. Other USEPA documents, such as the sci- food consumption patterns, indoor-outdoor ac- entific documents that support standards for the tivity patterns, types of housing, prevalence of criteria pollutants (PM10, sulfur dioxide, lead, health conditions, and so on can all be important ozone, nitrogen oxides, and carbon monoxide), to the assessment process. These data can be ob- contain substantial reviews and evaluations of tamed from local health department and social the literature on these major air pollutants. service ministries, environmental ministries, A recent World Bank report (Ostro 1994) sum- NGOs, or sociological investigations conducted marizes much of this same information, with as part of the analysis. additional discussion of its applicability to de- veloping countries. In particular, it reviews health Annex. Dose-Response Functions effects studies commonly used in assessing risk and the Health Impacts of Air Pollution from particulate matter and ozone exposure. The studies were performed primarily in North Few would question that too much air pollution America and Europe, and many of them are time- is a bad thing. Not only does air pollution reduce series studies that focus on short-term (e.g., daily) visibility and destroy the aesthetic beauty of our changes in morbidity and mortality in response surroundings; it has been generally recognized to short-term changes in pollution concentra- as a health hazard. The question is not whether tions. A peer review of Ostro pointed out the dif- air pollution should be controlled but, rather, how ficulties of extrapolating these results to much should be spent to control it. To answer Comparative Risk Assessment 51 this question it is necessary to estimate the re- including bronchitis and pneumonia, and mor- ductions in health damages that are likely to oc- tality rates are studied as well. Table A.1 shows cur if air pollution is reduced. some health effects associated with selected com- Dose-response functions measure the relation- mon pollutants. ship between exposure to pollution and specific To date, most studies have examined the ef- health outcomes. By regressing a specific mea- fects of acute (short-term) exposure to pollution. sure of health on a measure of pollution expo- This should not be interpreted to mean that long- sure while controlling for other factors, the role term exposure has no effect on health. Long-term of pollution in causing the health effect can be exposure to low levels of pollution has been estimated. This estimate can then be used to pre- shown to affect an individual's tolerance of short- dict the health improvement corresponding to a term exposure to high levels of pollutants. Fur- decrease in exposure. In short, dose-response thermore, questions have been raised concerning functions translate changes in air quality into the relationship between long-term exposure and changes in health. the incidence of cancer and heart disease. Unfor- Both humans and animals have been the sub- tunately, long-term exposure is often difficult to jects of studies that examine the effects of air pol- measure due to the high immigration rates in lution exposure on health. This annex discusses some urban populations. only epidemiologic studies-those based on hu- man populations. Confounding Factors Exposure to Air Pollution A good study will attempt to control for con- founding factors that may contribute to an Exposure to air pollution is usually measured individual's likelihood of experiencing the health in terms of ambient levels of pollutants. Not outcome in question. However, these factors are surprisingly, the pollutants included in the epi- often not easy to control for and can weaken the deriologic literature are limited by the avail- results of the research. ability of data. Those commonly monitored by For instance, although individuals may be af- environmental authorities can be divided into fected by a combination of pollutants, the pres- four categories: ence of other pollutants may not be incorporated itoer studysure t o effeclte aaalthLgtyerm " Sulfur oxides, nitrogen oxides, and particulates inotesuydeothlmtdavlbltyf enxfossil fuels pollution data. Other confounding factors in- genhotoer iclx,ated ude temperature, humidity, physical activity, by Phtoheiercion oidantsf(e.g.,oh rh e smoking habits, occupational exposure to pollut- (hydrocarbons, nitrogen oxides, and the like)at d a f in the atmosphere Table A.1. Health Effects of Common " Other pollutants generated by mobile sources Air Pollutants (e.g., carbon monoxide and lead) E Miscellaneous pollutants (e.g., cadmium and Pollutant Health effect lead) generated by localized point sources such Particulate Decreased lung function; increased res- as smelters and manufacturing plants. matter; sulfur piratory morbidity among susceptible dioxide adults and children; increased mortality Health Outcomes among the elderly and the chronically ill Ozone Eye, nose, and throat irritation; chest Health outcomes are usually precisely defined, tightness; cough; shortness of breath; They are often expressed as a measure of breath- pain on inspiration ing capacity, such as forced expiratory volume Nitrogen Increased risk of respiratory disease in (FE), forced vital capacity (FVC), or forced ex- oxides children under 12 years old piratory flow (FEF). However, respiratory symptoms such as cough, phlegm, and throat Lead Impaired neurological development; high irritation, the incidence of respiratory disease, blood pressure 52 IMPLEMENTING POLICIES: SETTING PRIORITIES medical care, and age. The age structure of the believe that the dose-response relationship cal- population is especially important because chil- culated for one area will be exactly the same as dren and the elderly are more susceptible to res- that for another. Differences in the composition piratory infection. of air pollution, in the age distribution of the population, in access to and quality of medical Applying the Dose-Response Function care, in baseline health, and in education and other behavioral and socioeconomic variables Calculating the total health impact of a proposed may cause variations in the response to air pol- pollution control program is relatively easy once lution exposure. the dose-response functions have been estimated. In an effort to estimate the health effects of air The dose-response equation given below is taken pollution in Latin America, where few epidemio- from Evans et al. (1984), which summarizes the logic studies have been done to obtain dose-re- results of numerous cross-sectional analyses. The sponse functions, Romieu, Weitzenfeld, and equation relates excess mortality to total sus- Finkelman (1990) applied to a hypothetical popu- pended particulates (TSP). lation dose-response functions for TSP found in Excessthe literature (see Table A.2). The hypothetical Exces motaliy =0.45x pTP Xpopulation was similar in size and age distribu- where POP is the size of the exposed population tion to the sum of all "high-risk" Latin American and pTSP is the magnitude of the proposed cities. The assumption used was that among the change in pollution measured in micrograms per total population of 81 million people, 14.5 mi- cubic meter (pg/m). Excess mortality is ex- lionwouldbe exposed to averyhighlevel of TSP pressed as the age-adjusted mortality rate per (250 pg/n), 23.5 million would be exposed to a 100,000 persons. high level of TSP (150 pg/3), and 43 million Ideally, the total life-years saved as a result of would be exposed to a moderate level of TSP (100 an environmental improvement would be mea- pg/3). Table A.2 shows the health impacts at- sured. This can be done only when the dose-re- tributable to TSP levels above the WHO guide- sponse function is estimated separately for line value of 75 pg/r3. For instance, over 24,000 different age groups-which, unfortunately, sel- deaths, representing 6% of annual mortality, dom occurs. would be avoided if TSP levels were reduced to Recently, dose-response functions estimated 75 pg/3. for one country have been applied to popula- tions lacking their own epidemiologic studies Note in order to estimate the effects of exposure to air pollution. Although this practice, referred 1. The term risk assessment is used in a wide variety to as "benefits transfer," does provide a rough of contexts and meanings. Here, comparative risk as- estimate of the adverse health effects caused sessment refers to an analytical approach to estimating by pollution in these previously unstudied the key environmental health risks faced by a popula- countries, it should be applied with caution. tion group. The approach does not address ecosystem Without further testing, there is no reason to impacts, which should be considered separately Table A.2. Health Effects of Selected Annual Mean TSP Levels in a Hypothetical Population Micrograms per cubic meter Excess number 250 150 100 Total Mortality (thousands per year) 11.5 7.9 4.9 24.3 Chronic cough in children (millions per year) 1.1 0.76 0.47 2.3 Respiratory-related restricted activity days (RRAD) in adults (millions of days per year) 32.0 21.0 12.0 65.0 Chronic bronchitis in the elderly (thousands) 50.0 33.0 22.0 105.0 Source: Romieu, Weitzenfeld, and FinkWelman 1990. Comparative Risk Assessment 53 References and Sources egy in Asia: Metro Manila Report. World Bank Tech- nical Paper 380. Washington, D.C. Dockery, D., C. A. Pope, X. Xiping, J. Spengler, J. Ware, USAID (U.S. Agency for International Development). M. Fay, B. Ferris, and F. Speizer. 1993. "An Associa- 1990. "Ranking Environmental Health Risks in tion between Air Pollution and Mortality in Six U.S. Bangkok, Thailand." Prepared for USAID Office of Cities." New England Journal of Medicine 329(24): Housing and Urban Programs under Contract PDC- 1753-59. 1008-1-00-9066-00. Washington, D.C. Evans, J. S., et al. 1984. "Cross-Sectional Mortality Stud- _____ a. "Environmental Health Assessment: ies and Air Pollution Risk Assessment." Environmen- A Case Study Conducted in the City of Quito and tal International 10: 55-83. the County of Pedro Moncayo, Pichincha Province, Ostro, Bart. 1994. "Estimating Health Effects of Air Ecuador." Environmental Health Division, Office of Pollution: A Methodology with an Application to Nutrition and Health, Washington, D.C. Jakarta." Policy Research Working Paper 1301. _ . 1993b. "Environmental Health Assessment: World Bank, Policy Research Department, Washing- An Integrated Methodology for Rating Environ- ton, D.C. mental Health Problems." Environmental Health Pope, C. A., M. Thun, M. Namboodiri, D. Dockery, J. Division, Office of Nutrition and Health, Washing- Evans, F. Speizer, and C. Heath. 1995. "Particulate ton, D.C. Air Pollution as a Predictor of Mortality in a Pro- _ . 1994. "Comparing Environmental Health spective Study of U.S. Adults." American Journal of Risks in Cairo, Egypt." USAID Project 398-0365. Respiratory and Critical Care Medicine 151: 669-74. Washington D.C. Romieu, Isabelle, Henryk Weitzenfeld, and Jacobo Finkelman. 1990. "Urban Air Pollution in Latin UCEp (. E ir PoectionAgenc). American and the Caribbean: Health Perspectives." Opil of Air Plluion Emissions Fas." World Health Statistical Quarterly 43(3): 153-67. icetof A yar Schwartz, Joel. 1991/92. "Particulate Air Pollution and _ . 1992a. "Framework for Ecological Risk As- Daily Mortality: A Synthesis." Public Health Reviews sessment." EPA/630/R-92/001. Prepared by the 19: 39-60. Risk Assessment Forum. Washington, D.C. Shah, Jitendra J., Tanvi Nagpal, and Carter J. Brandon, _ . 1992b. "Project Silesia: Comparative Risk eds. 1997. Urban Air Quality Management Strategy in Screening Analysis." Prepared for the Technical Asia: Guidebook. World Bank, Washington, D.C. Workgroup, Ostrava (former Czechoslovakia), and Shah, Jitendra J., and Tanvi Nagpal, eds. 1997a. Urban USEPA by IEC, Inc., and Sullivan Environmental Air Quality Management Strategy in Asia: Greater Consulting. Washington, D.C. Mumbai Report. World Bank Technical Paper 381. _ . 1994. "Project Silesia: Comparative Risk Washington, D.C. Screening Analysis." Prepared for the Technical . 1997b. Urban Air Quality Management Strat- Workgroup, Katowice, Poland, and USEPA by IEC, egy in Asia: Jakarta Report. World Bank Technical Inc., and Sullivan Environmental Consulting. Wash- Paper 379. Washington, D.C. ington, D.C. . 1997c. Urban Air Quality Management Strat- World Bank. 1994. "Thailand: Mitigating Pollution and egy in Asia: Kathmandu Valley Report. World Bank Congestion Impacts in a High-Growth Economy." Technical Paper 378. Washington, D.C. Country Economic Report. Report 11770-TH. East Asia and Pacific Region, Country Operations Divi- 1997d. Urban Air Quality Management Strat- sion, Country Department I, Washington, D.C. Economic Analysis of Environmental Externalities In order to perform economic analysis of pollution prevention and abatement measures, esti- mates of the potential benefits from controlling pollution, as well as the better-known costs of new equipment or processes, are needed. This chapter discusses the economic analysis of envi- ronmental externalities, using a wide range of valuation techniques. Pollutants produced by industrial activities- turn increasing recreational use and property solid wastes, toxic wastes, and substances that values. Such externalities are real costs and cause air and water pollution-may impose costs benefits attributable to the project and should on society and individuals. The identification and be included in the economic analysis as project quantification of these pollutants and the assess- costs or benefits. ment of their monetary and nonmonetary im- Conceptually, the externalities problem is pacts are important elements in a broader quite simple. Consider Figure 1, where MPC is economic analysis of the benefits and costs of the marginal production cost of a good (e.g., various production alternatives. Information on power produced by a coal-fired boiler), as per- the costs of pollution is also important in help- ceived by the project entity. Suppose that the ing decide what level of pollution control is eco- process produces a negative externality-for nomically justified. example, it emits soot that increases the main- The effects of pollution can generally be clas- tenance costs of adjacent buildings. Because the sified into four major categories: health impacts, production process also produces an external- direct and indirect effects on productivity, effects ity, the marginal social cost is higher and is given on the ecosystem, and aesthetic effects. All these by the line MSC. For any given level of output, are commonly encountered examples of economic q*, the total cost of producing that level of out- externalities of industrial production activity, that put is given by the area under the curve. The is, the externality occurs because the individual difference between the areas under the two or resource affected is not part of the enterprise's curves gives the difference between the private decisionmaking process. For example, a factory and the social costs. The financial costs of the may emit soot that dirties surrounding buildings, project will not include the costs of the exter- increasing maintenance costs. The higher main- nality, and hence an evaluation of the project tenance costs are a direct result of the factory's based on MPC will understate the social costs use of a resource-air-that from the plant's of the project and overstate its net benefits. In point of view is free but that has a cost to society. principle, to account for the externality, one The same analogy applies to health impacts simply works with social rather than private linked to air pollution. Sometimes a project costs. In practice, the measurement difficulties makes certain groups better off, but the nature are tremendous because often the shape of the of the benefits is such that the project entity can- MSC curve, and hence its relationship to the not extract a monetary payment for them. A sew- MPC curve, are unknown. Also, it is not always erage and water supply project, for example, may feasible to trace and measure all external ef- not only improve water quality and yield direct fects. Nevertheless, an attempt should always health benefits but may also produce benefits be made to identify them and, if they appear from decreased pollution of coastal areas, in significant, to measure them. When externalities 54 Economic Analysis of Environmental Externalities 55 Figure 1. Private and Social Costs tion of coastal areas). A monetary value is as- Price signed to the costs and benefits, and they are en- MSC MPC tered into the cash flow tables just as any other costs and benefits. Project Boundaries and Time Horizon Analysts must make two major decisions when assessing environmental impacts. First, they must decide how far to look for environmental im- pacts-that is, they must determine the boundary of the economic analysis. When the internal ben- efits and costs of a project are assessed, the boundaries of the analysis are clear: if the ben- efits accrue to the project entity or if the costs are borne by the project entity, they enter into the analysis. When attempting to assess the externali- Sa ties of a project to determine its impact on soci- aQuantity ety the boundaries become blurred. Identifying externalities implies expanding the conceptual cannot be quantified, they should be discussed and physical boundaries of the analysis. An oil- qualitatively palm mill will generate wastewater that will In some cases, it is helpful to "internalize" ex- adversely affect downstream uses of water- ternalities by considering a package of closely drinking, irrigation, and fishing. Other impacts related activities as one project-that is, to draw on the environment maybe more distant or more the "project boundary" to include them. For ex- difficult to identify: the effects of emissions from ample, in the case of the soot-emitting factory, a power plant on creation of acid rain, for ex- the externality could be internalized by treating ample. How far to expand the boundaries is a the factory and the neighboring buildings as if matter of judgment and depends on the indi- they belonged to the project entity. The additional vidual project. maintenance costs then become part of the main- The second decision concerns the time horizon. tenance costs of the project entity. If the factory Like the project's physical boundaries, its time pays for the additional maintenance costs, or if horizon becomes blurred when moving from fi- the factory is forced to install a stack that does nancial to economic analysis. A project's environ- not emit soot, the externality again becomes in- mental impact may not last as long as the project, ternalized. In these cases, the formerly external or it may outlive it. If the environmental impact cost becomes an internal cost that is reflected in is shorter-lived than the expected economic life the accounts of the factory. of the project, the effects can be included in the standard economic analysis. If, however, the ef- Environmental Externalities fects are expected to last beyond the lifetime of the project, the time horizon must be extended. Environmental externalities are a particular This can be done in two ways: by extending the form of externalities that good economic analy- cash flow analysis a number of years, or by add- sis should take into account. Environmental ing to the last year of the projectthe capitalized externalities are identified as part of the envi- value of the part of the environmental impact that ronmental assessment. They are quantified extends beyond the project's life. The latter tech- where possible and are included in the eco- nique treats the environmental impact much as nomic analysis as project costs (e.g., increased one would treat a capital good whose life extends illness, or reduced productivity of nearby farm- beyond the project's lifetime, by giving it a "sal- lands) or benefits (such as reduction in pollu- vage value." 56 IMPLEMENTING POLICIES: SETTING PRIORITIES Valuation of Environmental Impacts be instances where neither the market value nor the functional relationship between the level of The first step in assessing the costs or benefits of the activity and the environmental impact is environmental impacts is to determine the rela- known. Arriving at a monetary estimate of im- tionship between the project and the environmen- pacts in such cases is very difficult. A number of tal impact, that is, to determine a relationship functional relationships that relate the level of such as that depicted in Figure 2. This Handbook activity to the degree of physical damage (or ben- provides detailed information on the likely en- efit) have been developed for various environ- vironmental impacts of many classes of indus- mental impacts. Environmental damages include trial activities. The second step is to assign a changes in production (e.g., of crops or fisheries monetary value to the environmental impact. affected by polluted water), changes in health, These two steps are equivalent to determining damage to infrastructure due to air or water pol- the shape of the MSC curve shown in Figure 1 lution, and even loss of aesthetic benefits or rec- and its relationship to the MPC curve. For ex- reational opportunities. Various methods are ample, suppose an objective of the project is to available for valuing environmental externalities. reduce air pollution, perhaps through installation The choice of valuation technique depends on of scrubbers at the industrial facility or by replac- the impact to be valued, the data and time avail- ing an old bus or taxi fleet with new, less pollut- able for the analysis, financial resources, and the ing vehicles. First, the impact of the project on social and cultural setting within which the valu- air quality, as measured by some physical char- ation exercise is to be carried out. Some valua- acteristic, is determined. Second, the monetary tion approaches are more robust, and more likely value of the improvement in air quality is as- to be applied, than are others. Figure 3 presents sessed. In most cases, it is not necessary to esti- a menu of the more commonly used valuation mate the entire cost curve; it suffices to identify approaches. the cost (or benefit) of an externality at a given Although "objective" techniques rely on ob- level of activity. That is, it is enough to estimate servable environmental changes, use market the difference between the private and the social prices, and are more "concrete" and easier to cost for a given level of activity. present to decisionmakers, subjectively based In some cases, the market value of the exter- techniques (especially those using surrogate mar- nality is not readily available. There might also kets and hypothetical markets) are increasingly accepted for decisionmaking. These subjective Figure 2. Environmental Damage as a Function methods offer the only practical way of measur- of Activity Level ing certain categories of environmentally related benefits and costs. For example, suppose one Level of activity wishes to measure the recreational benefits from preventing damage to a marine park or a pris- tine forest area. Under the travel-cost approach, the time and cost of travel are used to develop estimates of the value of the park to its users. Under the various survey-based contingent valu- ation methods, users are asked to state the value they place on the "park experience," permitting an estimate to be made of consumer's surplus associated with park use. Both are fairly robust techniques if carefully applied. It is important to remember that the simplest techniques are usually the most useful. In most Bank projects, the most useful valuation tech- niques will be those that rely on actual changes Sin production, on replacement costs or preven- Environmental impact tive expenditures, or on information about im- Figure 3. A Simple Valuation Flowchart Environmental impact Measurable change Change in environ- in production? mental quality? HabitatAir and water Health effects ecreation qualityLRAettis cultural and Nondistorted market Opportunity historical assets prices available? cost approach Cost-effectiveness Sickness Death earing eapectvenes Cotefciess1 Trvlat analysis of prevention Yes No - Replacement Loss of Cost- Cnign cost approach earnings effectvenes * V ~~analysis of Cnign Use _1 Preventive preventionvauto surrogate Land value expenditures Medi Use market cost approach change- approach; Human in- apply F ca ia produc- shadow Contingent Replacement/ tivity prices to valuation relocation approach change in costs produc- valutio Source: Adapted from Dixon and B36jo in Dixon and others 1994. 58 IMPLEMENTING POLICIES: SETTING PRIORITIES pacts on human health (cost of illness). All these may require more frequent painting as a result deal with physical changes that can be valued of emission of pollutants by a nearby factory. The using market prices, and all are included in the higher maintenance costs should be included as objectively based set of techniques. These ap- a cost of the factory in the economic analysis. proaches are discussed in the following section. (For more detailed information on these and the Dose-Response Relationships other techniques, see Dixon et al. 1994.) and Health Outcomes Loss in Productivity Some investment projects yield important health benefits from reduced mortality and morbidity; A project may raise or lower the productivity of examples are an increased potable water supply, another system. In these cases the valuation is improved sewage collection and treatment, and fairly straightforward. For example, in Fiji con- reduction of vehicular pollution. Some invest- version of a coastal wetland to an industrial site ments however, may have unintended but im- resulted in lower catches in a coastal fishery that portant negative impacts on health. For example, was partly dependent on the wetland. The mon- expanded industrial production or new thermal etary value of the reduced catch was an economic power plants produce important economic ben- externality attributable to the industrial devel- efits but also result in some undesirable environ- opment project and hence an economic cost of mental externalities. These health impacts should the project. The loss in production had an assess- be identified and incorporated in the economic able market value. Because the lower production analysis, either qualitatively or quantitatively. was accompanied by lower costs of production, For air pollution, a dose-response relationship the change in net benefits yielded the net impact (DRR) is commonly used to link changes in am- of the externality. Box 1 illustrates the use of the bient pollution levels to health outcomes. The change-in-production approach in a geothermal DRR is a statistically estimated relationship be- project in the Philippines. tween levels of certain pollutants in the air and In some cases, the impact of the project is not different health outcomes-illness, lost work- on the level of production but on the costs of pro- days, and so on. Although the DRR approach was duction or consumption. For example, buildings developed in the United States and Europe, there Box 1. Assessing Disposal Alternatives for x P346/hectare = P 2,768,000) and the net return from Geothermal Wastewater in the Philippines one crop of unirrigated rice (4,000 hectares x 1 crop x P324/hectare = P1,296,000). The difference repre- The change-in-production approach was used to as- sents an annual loss of about P1.47 million. sess the impacts of various means of disposing of toxic The change-in-production approach was also ap- geothermal wastewater from a geothermal power de- plied to a coastal fishery. Various disposal options velopment project on the island of Leyte in the Philip- that did not include treatment of wastewater would pines. The analysis considered seven different cause heavy-metal pollution of coastal waters and disposal options, including reinjection of geothermal lead to closing of the coastal fishery. The cost of this wastewater, untreated disposal in local rivers, and use loss was calculated by multiplying the value of the of ocean outfalls. It estimated the economic costs of annual catch (P39.4 million) by the net return to fish- these options for irrigated rice production and an off- ing, estimated at 29%, for an annual loss valued at shore fishery. P1 1.4 million. Pollution of surface water would prevent its use for Both of these annual costs were then capitalized irrigation of 4,000 hectares in the dry season. Rain- to represent the economic damage to rice and fishery fed crop production would continue during the wet sea- production from environmental pollution. Other envi- son, but with lower average yields. The net return per ronmental costs were also calculated (some qualita- hectare was estimated at 346 pesos (P) for irrigated tively), and this information was used to help assess rice and P324 for rain-fed rice. The economic cost of the total benefits and costs of the various wastewater the loss of agricultural production on 4,000 hectares disposal management alternatives. would therefore be the difference between the net re- turn from two irrigated crops (4,000 hectares x 2 crops Source: Balagot and Grandstaff 1994. Economic Analysis of Environmental Externalities 59 Box 2. Using Dose-Response Relationships standards and the more stringent WHO standards. The to Estimate Health Outcomes in Jakarta estimated numbers of lives saved and illnesses avoided per year in the population of 8.2 million are This case study illustrates the use of dose-response shown below. relationships (DRRs) to estimate the health impacts Medium of reducing air pollution. The health impact can be estimated by the following relationship: Health effect estimate dH, = b, x POP, x dA Premature mortality (deaths) 1,200 where dH, stands for the change in population risk of Emergecy-romisis 4,00 health effect i; b.for the slope from the dose-response Reric-ctivits 6 0,00 curve for health impact i; POP, for the population at Resiatory ie(s 10,000 risk of health effect i; and dA for the change in ambi- Ashm atck s (cases) 464,000 ent air pollutant under consideration. Rspiratayts (cases) 3,0,000 Foreign dose-response functions were applied to Chro brnhts (cases) ,00 local conditions in Jakarta to assess the benefits of Chronic_bronchitis_(cases)_9,600 reducing airborne pollution to meet both Indonesian Source: Ostro 1994. is increasing acceptance of its transferability to methods are used in practice: estimation of will- other countries. Recent Bank work in Jakarta ingness to pay to avoid premature death, wage (Ostro 1994) and Chile (Ostro et al. 1995) illus- differential approaches, and, although not eco- trate what can be done (see Box 2). nomically sound, a "human capital" approach Whereas everyone breathes the same air in a lo- that estimates the present value of the future earn- cation, actual exposure to polluted water is the key ings of an individual that would be lost due to variable in determining whether a person becomes premature mortality. The difficulty arises when ill. Individuals can "self-insure" themselves from one compares estimates for different countries, the effects of contaminated water by, for example, especially countries with very different income boiling their water or using bottled water. Epide- levels. For example, a common value for a "sta- miologic studies are therefore usually required in tistical life" in the United States s now US$3 m- order to estimate the impacts of changes in water lion-$5 million or more, as determined by income quality on health outcomes. Such studies take into levels and willingness to pay to avoid premature account the important social and economic factors death (see Box 3). that determine the links between contaminated Clearly this same value cannot be applied di- water and illness and death. rectly to another country with a per capita in- Once the impacts on health have been identi- come one twentieth the size of the U.S. economy. fied, they can be quantified in physical terms and, Yet, deflating the U.S. value by the relative dif- where feasible, assigned a monetary value. Sick- ference in income levels also ignores important ness is much easier than death to measure in eco- dimensions, including purchasing power parity. nomic terms. For illness, it is possible to estimate, In the absence of careful national studies of the for example, the costs of medical treatment and value of a statistical life, it is often best to present hospitalization (doctors' visits, medicine, hospi- mortality data in terms of the number of lives tal costs, and lost work time). It is more difficult lost or saved rather than in terms of dollar value. to estimate the "cost" of pain and suffering to the sick individual, relatives, and others. The Measuring Intangibles measured costs of illness based on direct expen- ditures (or their appropriate shadow prices) are One of the most difficult valuation areas is mea- a minimum estimate of the true costs of illness suing subtle or dramatic changes in ecosystems, and, in turn, of the potential benefits from pre- destruction of nonsubstitutable goods (such as venting morbidity. biodiversity), effects on historical or cultural For death, we do not have an equivalent, sites, and recreational benefits. Although these equally applicable valuation approach. Various considerations are seemingly distant from this 60 IMPLEMENTING POLICIES: SETTING PRIORITIES Box 3. Use of Statistical Techniques a particular life. However, the current consensus is that for Valuing Life the societal value of reducing risk of death cannot be based on such an estimate. Although most economists The use of loss of earnings to value the cost associ- do not favor using this method for policy analysis pur- ated with premature mortality is referred to as the poses, it is often used to establish ex-post values for human capital approach. It is similar to the change- court settlements related to the death of a particular in-production approach in that it is based on a dam- individual. age function relating pollution to production, except An alternative method of valuing reductions in risk that in this case the loss in productivity of human of death-the wage differential approach-uses infor- beings is measured. In essence, this method is an mation on the "wage premium" commonly paid to idi- ex-post, exogenous valuation of the life of a particu- viduals with risky jobs (e.g., coal miners and steel lar individual using as an approximation the present construction workers) to impute a value for an value of the lost (gross or net) market earnings of individual's implicit valuation of a statistical death. This the deceased. value is found by dividing the wage premium by the This approach has many shortcomings. By reduc- increased chance of death; for example, a US$100 ing the value of life to the present value of an peryearpremiumtoundertakeajobwithachanceof individual's income stream, the human capital ap- accidental death of 1 in 10,000 is equivalent to a value proach to the valuation of life suggests that the lives of US$1 million for a statistical death. Information on of those with high earnings are worth more than the self-insurance and other measures also gives an idi- lives of those with low earnings. As a direct conse- cation of an individual's willingness to pay to avoid quence, the lives of residents of rich countries would premature death. be rated as more valuable than the lives of people in In many cases, a project's impact on the environ- poor countries. Narrowly applied, the human capital ment is not apparent, but the market value of the ex- approach implies that the lives of subsistence work- ternality is assessable, albeit sometimes indirectly. For ers, the unemployed, and retirees have a low or zero example, property values decrease with the proximity value and that the lives of the underemployed have a of houses to a highway. The increased noise from traf- very low value. The very young are also valued low, fic creates a project externality that should be included since their future discounted earnings are often off- in assessing the costs of the highway. The exact rela- set by education and other costs incurred before they tionship between the highway and the noise level may entered the labor force. Furthermore, the approach be unknown, but the value of quiet surroundings can ignores substitution possibilities that people may make be assessed indirectly. For example, information from in the form of preventive health care, and it excludes another neighborhood may be used to compare the nonmarket values such as pain and suffering. value of houses that are close to a highway with the At best, this method provides a first-order, lower- value of houses farther away, controlling for differences bound estimate of the lost production associated with in other characteristics of the properties. Handbook's main concern, industrial pollution, in damage to buildings, equipment, and other capi- many cases an important benefit from control- tal goods as a result of pollution. Cleaner air will ling pollution may be the protection or enhance- also improve visibility-an important but ment of a recreational site or important natural unpriced benefit. Ideally, the visibility benefits habitat. It is possible, although difficult, to esti- should also be entered into the economic analy- mate economic values for, say, the consumer's sis. Because of data and measurement difficul- surplus of visitors to parks and protected areas, ties, however, these measures are usually entered by using the travel cost approach or conducting into the analysis only qualitatively. contingent valuation studies. Recent work in East Africa is incorporating the results of such Preventing and Mitigating studies in the analysis of projects (see Box 4). In- Environmental Impacts tangible benefits often include important envi- ronmental benefits that are secondary to the Sometimes a project can go ahead only if the primary benefits produced by a project. Air pol- implementing agency takes measures to prevent lution control projects in Santiago and Mexico or mitigate its environmental impact. If the im- City, for example, will yield primary benefits pact is completely prevented, the costs of pre- from reduced health effects and reductions in vention are taken into consideration in the Economic Analysis of Environmental Externalities 61 Box 4. Valuing Consumer Surplus of average increase in willingness to pay per trip of $24 International Tourists in Madagascar per tourist. If 3,900 foreign tourists visit the new park- a conservative assumption that uses the same num- This example presents an application of the travel cost ber as currently visit the Perinet Reserve-the annual and contingent valuation methods for estimating some "benefit" to foreign tourists would be $93 600. of the benefits associated with the creation of a new The contingent valuation method was used to es- park in Madagascar. A strong point of the study is that timate directly the value of the proposed park to for- it used questionnaires based on two different valua- eign tourists. Visitors to the Perinet Forest Reserve tion techniques to estimate consumer surplus and were provided with information about the new park. compared the estimated results. Using a discrete choice format, they were asked how Questionnaires were prepared and administered much more they would have been willing to pay for to visitors to the small Perinet Forest Reserve adja- their trip to Madagascar if in the new national park (a) cent to the proposed Mantadia National Park. Visitors they saw twice as many lemurs, and (b) they saw the tended to be well off and well educated, with, on aver- same number of lemurs as on their current visit. Since age, annual income of $59,156 and 15 years of edu- most of these visitors are expected to visit Madagas- cation. The average stay in Madagascar was 27 days. car only once, their response represents a one-time, Data from the visitor survey, supplemented with data lump-sum payment they are willing to make in order from tour operators, was used in an econometric to have the park available. Mean willingness to pay analysis that employed the travel cost approach. To for the park (conditional on seeing the same number estimate demand by international tourists, traditional of lemurs) was $65. Assuming current visitation pat- travel cost models have to be reformulated because terns, the total annual willingness-to-pay for the park people who travel to a country like Madagascar en- would be $253,500. gage in a variety of activities, of which the visit to the The information from these two estimates could proposed national park would be only one. The travel be used to help design policies to capture part of cost model was then used to predict the benefits to this willingness to pay and compensate nearby vil- tourists (the increase in consumer surplus) under the lagers for income lost when the establishment of assumption that the new national park would result in the park prevents their traditional activities within a 10% increase in the quality of local guides, educa- the park. tional materials, and facilities for interpreting natural areas in Madagascar. The estimation indicated an Source:Kramer 1993; Kramer et al. 1993. economic and financial analysis of the project. If References and Sources a factory is required to install equipment to elimi- nate air pollution, there is no environmental im- Balagot, B., and S. Grandstaff. 1994. "Tongonan Geo- pact. If the factory is merely required to mitigate thermal Power Plant: Leyte, Philippines." Case the environmental impact, the cost of the miti- Study 5 in Dixon et al. (1994). gating action is a direct and identifiable cost Of Dixon, John A., and Paul B. Sherman. 1990. Econom- the project, but the value of the residual environ- ics of Protected Areas: A New Look at Benefits and mental impact also needs to be considered in the Costs. Washington, D.C." Island Press. costs of the project. If a dam reduces fish catch Dixon, John A., Louise Scura, Richard A. Carpenter, downstream, despite mitigating measures, the and Paul B. Sherman. 1994. Economic Analysis ofEnvi- reduction of the catch is still a cost of the project. ronmental Impacts. London: Earthscan Publications. Care however, must be taken to avoid double Kramer, Randall A. 1993. "Tropical Forest Protection counting. If the favored solution to an environ- in Madagascar." Paper presented at Williams Col- mental impact is to let the damage occur, tax the lege, Williamstown, Mass. culprit, and then repair the damage, the cost ofhe Sa E Kamer Rumber ohusa n tsheir curni. Sara,e. the project should include the environmental cost Mercer, and P. Shyamsundar. 1993. "Valuation of only once-as the cost of repairing the environ- Biophysical Resources in Madagascar." In Mohan mental damage or as the tax (if the tax is exactly Munasinghe, ed., Environmental Economics and Sus- equal to the cost of repairing the environment), taable Development. World Bank Environment Pa- but not both. per 3. Washington, D.C. 62 IMPLEMENTING POLICIES: SETTING PRIORITIES Ostro, Bart. 1994. "Estimating the Health Effects of Air Ostro, Bart, Jos6 Miguel Sanchez, Carlos Aranda, and Pollution: A Methodology with an Application to Gunnar S. Eskeland. 1995. "Air Pollution and Mor- Jakarta." Policy Research Working Paper 1301. tality: Results from Santiago, Chile." Policy Re- World Bank, Policy Research Department, Washing- search Working Paper 1453. World Bank, Policy ton, D.C. Research Department, Washington, D.C. The Effects of Pollution on Health: The Economic Toll Measuring and valuing the health impacts of pollution are very complex, and available meth- ods ofeconomic analysis are often rudimentary. In recent years, however, considerable progress has been made, especially in respect to air pollution. This chapter summarizes the latest find- ings and outlines some basic approaches that can be applied in the economic analysis of Bank projects and sector studies. It should be noted that some uncertainty remains, and great care must be taken in the application of these methods. Investments in air pollution control in Mexico chest discomfort, to chronic bronchitis and City alone are likely to total more than US$4.7 asthma attacks, to premature death. There is billion over the next five years. Even modest ample evidence that inadequate water supply water and sewerage projects cost hundreds of and sanitation can have a significant impact on millions of dollars. Health improvements are the incidence of mortality and morbidity associ- often cited as the major justification for such ated with diarrhea, intestinal nematodes, and investments. Consequently, one of the more other diseases. troublesome problems, both practical and ethi- The most accurate way of measuring the health cal, facing policymakers is that of valuing the impacts of air pollution or of lack of access to health impacts of pollution. While some argue clean water and sanitation in a given area is to that it is not possible (or morally ethical) to place conduct epidemiologic studies for that area that monetary values on sickness or death, in many establish dose-response relationships (DRRs) situations governments have to make choices linking environmental variables with observable about health interventions or investments. health effects. However, given the time and cost Should available funds go to air pollution reduc- involved in such studies, as well as likely prob- tion, or would they be better spent on water sup- lems with data availability, it may often be the ply and sanitation? Or should priority be given case that DRRs established in other locations will to education and health care, or to some other have to be used instead. This chapter summa- pressing concerns? Putting a value (even if it is rizes recent progress in quantifying air pollution underestimated) on morbidity and mortality due dose-response functions and addresses major to pollution can be a powerful tool for demon- problems in applying these functions to other strating the costs of inaction. situations. In the case of water pollution, estab- The problems of valuing the health impacts of lishing DRRs is more complicated and far less pollution are twofold. The first difficulty is with advanced, since it is not ambient water quality the actual identification and measurement of per se that affects health but access to clean drink- health impacts. The second is that once impacts ing water and adequate sanitation, along with have been determined, it is often necessary to the household's level of income and education. estimate monetary values for the associated mor- Box 1 describes an approach adopted in a recent bidity (illness) and mortality (death). study of pollution problems in Brazil. Measuring the Health Impacts of Pollution Air Pollution Dose-Response Studies The health impacts of air and water pollution are Dose-response functions correlate mortality and well recognized. Air pollution affects human morbidity outcomes for susceptible population health in a variety of ways, from itchy eyes and groups with the ambient concentrations of a 63 64 IMPLEMENTING POLICIES: SETTING PRIORITIES given air pollutant. Most have focused on the effect and a specific air pollutant does not prove mortality effects of exposure to particulates. causality, the inference of causation is strength- Chronic exposure to particulates can lead to pre- ened if epidemiologic results are duplicated mature death by exacerbating respiratory illness, across several studies, if a range of effects is pulmonary disease, and cardiovascular disease. found for a given pollutant, and if these results Acute exposure (short-term peaks in the levels are supported by human clinical and animal of particulates) can increase the chance that a toxicology literature. An approach for reduc- person in a weakened state or an especially sus- ing the uncertainty associated with individual ceptible person will die. Detailed studies com- studies is to use meta-analytical techniques that, pleted in recent years conclusively indicate that on the basis of the statistical pooling and aggre- fine particulates (usually measured as PM2.5) are gating of results from several studies, produce a responsible for most of the excess mortality and "best estimate" in which more confidence may morbidity associated with high levels of expo- be placed. sure to particulate matter. (See Airborne Particu- The reported epidemiologic studies involve late Matter in Part III of this Handbook.) two principal study designs: time-series and Although a single study that finds a statisti- cross-sectional. The more common time-series cally significant association between a health studies correlate daily variations in air pollution Box 1. Health Benefits of Water Supply Impact of water and Sanitation in Brazil: A New Approach and sanitation on mortality rates Few studies have attempted to use epideifiologic Infant Under-five data on water-related diseases as the basis for set-ti ting priorities in expanding water and sanitation ser-i t lt vices. A recent World Bank study in Brazil drew on Change (reduction) per 10- a detailed epidemtiologic study of the impact of wa- percentage-point rise in: ter and sanitation on infant and under-five mortality Urban access to piped water 0.8 0.25 to estimate the net benefits of improvements in wa- Urban access to sewers 0.6 0.15 ter and sanitation. Average mortality rate 39.4 8.8 The analysis was carried out using a sample of 1,533 municipalities in four states-Minas Gerais, The health benefits that would be generated by Pernambuco, Rio de Janeiro, and Sgo Paulo-that expanding urban water and sewerage services are represent the full range of incomes and living condi- large. The analysis shows that in the four states tions in Brazil today. The main independent variables sampled, it should be possible to avoid nearly 3,000 used in the analysis were average income of head of deaths of babies and young children each year and household, percentage of population living in urban so reduce the burden of disease by nearly 220,000 areas, percentage of females age 5 or older who are disability-adjusted life years (DALYs). The largest im- illiterate, percentage of urban population served by pact would be achieved by ensuring that the entire piped drinking water, and percentage of total popula- urban population has access to piped water, at an tion served by sewers or septic tanks. The analysis average cost of US$1,560 per DALY. The average cost established that the coeff icients for the variables char- per DALY saved by expanding urban sewers is much acterizing income per person, the level of female edu- higher, US$2,440, but it is still well below a reason- cation, and access to piped water and sanitation are able estimate of willingness to pay to save a DALY in highly significant and negative. The coefficient on Brazil. Even if the value of statistical life (VOSL) were the level of urbanization turned out to be very sig- set at only US$1 million for the United States, this nificant and positive; infant and under-five mortality would imply an average willingness to pay per DALY rates are higher in urban than in rural areas if other saved for Brazil of about US$5,500 in 1991, well above factors are held constant. The relative importance the annualized costs per DALY saved by expanding of water and sanitation can be illustrated by the im- water supplies and sewers for all but a small number pact on mortality rates of 10-percentage-point in- of municipalities. creases in water and sanitation variables, as shown below. Source: World Bank 1997. The Effects of Pollution on Health: The Economic Toll 65 with variation in daily mortality in a given city Since cohort studies are few and cross-sectional and measure, primarily, the effects of acute ex- studies are less reliable, the question remains, posure to air pollution. The advantage of these how can long-term exposure to particulates be studies is that they do not have to control for a factored into results based on acute exposure large number of confounding factors, since the mortality studies that seem to provide lower- population characteristics (age, smoking, occu- bound estimates for the health effects of air pational exposure, health habits, and so on) are pollution? basically unchanged. On the basis of meta-analy- In addition to mortality counts, dose-response sis of acute mortality studies that measure the functions can also be derived for many lesser ambient levels of particulates of less than 10 mi- health impacts, for example, respiratory hospi- crons in aerodynamic diameter (PM10), estimates tal admissions, emergency room visits, bed dis- of average percentage change in total mortality ability days, restricted activity days, minor per 10 microgram per cubic meter (mg/m3) restricted activity days, asthma attacks, acute change in PM10 range from 0.74 (Maddison 1997) respiratory symptoms, chronic bronchitis, lower to 1.23 (Ostro 1996).1 respiratory illness, and so on. The principal re- A cross-sectional analysis compares differences sults from meta-analyses of available studies for in health outcomes across several locations at a a number of key air pollutants (PM10, sulfur di- selected point or period of time and, in principle, oxide, nitrogen dioxide, and ozone) are summa- allows the capture of both acute and chronic ef- rized in Table A.1. fects of air pollution. Two types of cross-sectional long-term exposure studies can be distinguished. Valuation of Health Impacts The first type is a retrospective (ecological) cross- sectional study design that correlates variations Several methods have been used in various stud- in air pollution levels with mortality rates across ies to value the health costs associated with en- various locations at a single point in time. Such vironmental pollution. These methods can be studies have consistently found measurably grouped in two broad categories. The first in- higher mortality rates in cities with higher aver- cludes methods that measure only the loss of age levels of particulate matter in the United direct income (lost wages and additional expen- States. A common concern about these studies is ditures). These measures do not include incon- whether potential omitted and confounding vari- venience, suffering, losses in leisure, and other ables have been adequately controlled. less-tangible impacts to individual and family A second type involves a prospective cohort well-being and may seriously underestimate or design in which a population sample is selected completely ignore the health costs of people who and followed over time in each location. These are not members of the labor force. Therefore, studies use individual-level data, allowing other they indicate only the lower bound of the social health risk factors to be better taken into account. costs and understate the total costs to individu- Two such studies conducted to date (Dockery et als. The second category includes approaches that al. 1993; Pope et al. 1995), both in the United attempt to capture individuals'willingness to pay States, reported a statistically significant corre- to avoid or reduce the risk of death or ill health. lation between exposure to particulate matter, The principal techniques are summarized in measured as PM10 or PM2.5, and mortality, which Table 1 and discussed below. was considerably higher by comparison with acute mortality studies. (Pope et al. 1995 found a Lower Bound of the Social Costs Estimates 4.2 percent change in all-cause mortality per 10 mg/m change in PMI.) Prospective cohort stud- The human capital approach, which places a value ies have potentially greater value for public on a premature death, is the easiest but perhaps health and environmental policies and for es- the least accurate and most ethically troubling timating dose-response functions that can be method of valuing health impacts. It considers applied elsewhere. However, these studies are individuals as units of human capital that pro- most expensive, so their replication is difficult. duce goods and services for society. Just as the 66 IMPLEMENTING POLICIES: SETTING PRIORITIES Table 1. Valuation Methods for the Health Effects of Pollution Valuation method Example Human capital Earnings forgone due to premature death as a result of exposure to air or water pollution Cost of illness Lost workdays, plus out-of-pocket costs (medical and other), due to health effects of pollution Preventive or mitigative Purchase of bottled water to avert health effects of polluted water expenditure Installation of air conditioners to avert air pollution in the residence Wage differential Value of reduction of risk to health implicit in the difference in otherwise similar occupa- tions Contingent valuation Direct questioning to provide a value for a potential change in air quality or health useful life of man-made capital can be calculated Even taking only this minimal estimation of on the basis of the discounted stream of future the cost of deaths, the economic benefits of in- production, the human capital theory assumes vestments that prevent the health effects of pol- that the value of each unit of human capital is lution are often apparent. For example, the equivalent to the present value of the future out- minimal estimate of the "worth" of the life of a put, in the form of earnings, that might have been child outweighs the costs of a major immuniza- generated had the individual not died prematurely. tion program. The values calculated are very dependent on The cost of illness approach applies to morbidity the age of death and on income, skill level, and and is consistent with the human capital ap- country of residence. (Both the very young and proach. The direct cost of morbidity can be di- the old would have low values when the human vided into two categories: medical expenditure capital approach is used; see Table 2.) For ex- for treating illness (a large portion of the costs of ample, in Mexico each life lost due to exposure hospital admissions and emergency room visits) to TSP pollution was valued at US$75,000, using and lost wages during days spent in bed, days the human capital approach, whereas in Brazil, missed from work, and other days when activi- the cost of premature death was estimated at ties are significantly restricted due to illness. US$7,700 for Sdo Paulo in 1989 and at US$25,000 For example, in Mexico in 1990, cases of non- for Cubatao in 1988. The big difference between lethal diarrhea were estimated to number Sdo Paulo and Cubatao was accounted for by the 3,360,000. The costs of treatment and laboratory difference in average age at which exposed analysis alone came to US$30 million, or about people died. US$9.00 per person. (This figure represents less than 1% of the estimated costs for deaths from Table 2. Human Capital and Mortality Cost similar causes.) by Age, United States Under the preventive expenditures approach, ten- tative inferences about the minimum amount Age group Life years Mortality cost people are willing to pay to reduce health risks (years) lost (1992 U.S. dollars) are made on the basis of the amounts people liv- Under 5 75 502,421 ing in polluted areas spend on averting measures. 5-14 68 671,889 For example, expenditures on bottled water can 15-24 57 873,096 be used to infer the minimum value people are 25-44 42 785,580 willing to pay to avoid waterborne diseases. 45-64 25 278,350 65 and older 10 22,977 Willingness-to-Pay Approaches Note: The cost estimates are based on life expectancy at the time of death and include labor-force participation rates, aver- If people's preferences are a valid basis on which age earnings, the value of homemaking services, and a 6% discount rate. Source: Institute for Health and Aging. well-being, it follows that changes in human The Effects of Pollution on Health: The Economic Toll 67 mortality and morbidity should be valued ac- A weighting function that incorporates discount- cording to what individuals are willing to pay ing is used for years of life lost at each age to for (or are willing to accept as compensation for) reflect the different social weights that are usu- the changes in health status or the risks that they ally given to illness and premature mortality at face. This is not the same as valuing an actual different ages. Thus, it is possible to link the VOSL life and should not be interpreted as such. In- obtained from wage differential and contingent stead, it involves valuing ex-ante changes in the valuation studies with the corresponding num- level of risk people face and then aggregating ber of DALYs lost and so estimate the implicit those changes. Since the exact identity of those value per DALY, as well as adjust the respective at risk is unknown, valuing ex-ante changes in VOSL according to an average number of DALYs the level of risk is the appropriate policy context. lost in a specific study. DALYs can also serve as The wage differential approach uses differences an independent aggregate measure of health ben- in wage rates to measure the compensation efits (losses) in cost-effectiveness analysis of pol- people require for (perceived) differences in the lution control policies and options. chance of dying or falling ill from occupational Although the valuation of morbidity is very hazards. Recent wage differential studies in the important to cost-benefit analysis of air pollution United States have produced estimates of the control programs and to many other areas of eco- value of statistical life (VOSL) in the range of nomic activity, relevant studies are much more US$1.9 million-$10.7 million (1990 dollars). limited in scope and are based entirely within The contingent valuation approach uses survey the United States. The main findings are shown information to determine what people are pre- in Table A.2.2 pared to pay to reduce the likelihood of prema- ture death or of certain diseases. Contingent How Can These Methods Be Used valuation studies have produced slightly lower in Developing Countries? estimates of US$1.2 million-$9.7 million (1990 dollars) per statistical life. How appropriate is it to transfer the results from A question often asked is how a difference in dose- the age distribution of those involved in willing- resontuies o air pon in in ness-to-pay studies and those primarily affected countries inote contef deelong by pollution would affect the VOSL estimates. Wage differential studies measure compensation Measures ofparticulate matter. To obtain reliable for risk of instantaneous death for people of about results when applying dose-response functions 40 years old and thus value approximately 35 derived in other countries, it is essential to use years of life (Viscusi 1993). Because death from epidemiologic studies based on or PM,*5 air pollution reduces life years by less than 35 in combination with P or PM2.5 measure- years, on average, labor market estimates should ments for the country in question. be adjusted accordingly. For instance, the rela- Disease-specific mortality profile. If the distribu- tive numbers of people over 65 and people un- tion of deaths by cause differs significantly be- der 65 who will die prematurely from air tween the country of interest and the countries pollution in the United States (estimated at 85% where dose-response studies were done, it may of the over-65 group), coupled with some evi- be necessary to use dose-response functions dence of a lower willingness to pay for that group for disease-specific mortality or to adjust for (about 75% of mean willingness to pay), implies the difference to improve the accuracy of the that the respective VOSL should be adjusted projections. For instance, exposure to particu- downward by 20%. lates affects primarily respiratory and cardio- The concept of disability-adjusted life years vascular deaths, which account for half of all (DALYs) provides a standard measure of the bur- deaths in the United States. In Delhi, fewer den of disease (World Bank 1993; Murray and than 20% of all deaths are attributable to these Lopez 1996). DALYs combine life years lost due causes. Therefore, even identical reactions by to premature death and fractions of years of susceptible groups of population in Delhi and healthy life lost as a result of illness or disability the United States to the change in the levels of 68 IMPLEMENTING POLICIES: SETTING PRIORITIES particulates would result in a lower total mor- estimate of the VOSL in a developing country, a tality in Delhi (Cropper and Simon 1996). lower-bound U.S. value, adjusted for the income The age pattern of deaths from air pollution causes. difference, can be used. The age profile of those affected by air pollu- Application of this approach to valuing a va- tion may be very different in developing and riety of health effects of exposure to particulate industrial countries. Whereas peak effects were matter in China produced estimates of the total observed among people age 65 and older in health costs of urban air pollution countrywide the United States (Schwartz and Dockery of about US$27 billion-$32 billion. Estimates of 1992), in Delhi, peak effects occur in the 15-44 the costs attributable to mortality were age group, implying that more life years are US$llbillion-$15 billion. It is important to stress lost there as a result of a death associated with that, under a number of assumptions on dose- air pollution (Cropper et al. 1997). response levels and base costs for these health The need to adjust the social costs of mortality effects drawn from different studies, the social and morbidity for income levels in different coun- costs of morbidity consistently appeared to be as tries is obvious. In the United States, for example, significant as those of mortality. VOSL estimates are typically 5 to 10 times higher than the value of forgone earnings. If people in impact and health costs of pollution outlined other countries were equally risk averse, it would above represent the cutting edge of research in be appropriate to multiply the value of forgone this area. Although carefully scrutinized in the earnings by the same factor. It is plausible to as- light of the best available evidence from toxico- sume, however, that risk aversion varies with liv- logical, epidemiologic, and economic work, these ing standards and that the value of a statistical approaches are inevitably surrounded by some life in developing countries is a smaller multiple degree of uncertainty and controversy. They are of forgone earnings than in the United States. presented to respond to the need of Bank staff Unfortunately, the literature on the income elas- and consultants to strengthen the economic analy- ticity of willingness to pay for reducing the risk sis of pollution control projects and policies and of insults to health is extremely limited, and em- to help in advising policymakers on the neces- pirical analyses in industrial countries do not sary level of targets and interventions. Applica- lend sufficient support to this assumption tion of these approaches to a specific context of (Maddison, et al. 1997). Until further research is any particular project or study requires careful conducted, one possible approach is simply to interpretation, and the limitations of the analysis adjust an average U.S. value for the income dif- should be fully understood before making con- ference between countries. For a conservative clusions and recommendations on its basis. The Effects of Pollution on Health: The Economic Toll 69 Annex. Measuring and Valuing the Morbidity Effects of Air Pollution Table A.1. Morbidity Effects for Key Air Pollutants PM10 so, 1-hour ozone Health effects (per ug/m3) (per ug-/) NO, (per ppm) Respiratory hospital admis- 1.2 0.201 0.165 0.77 sions per 100,000 population (Ostro 1994) (Maddison 1997) per ug/m3 (Ostro 1994) 0.294 (Maddison 1997) 0.429 (Maddison 1997) (Maddison 1997) Asthma attacks per 100,000 3,260 6,800 asthmatics (Ostro 1994) (Ostro 1994) 6,499 7,356 (Maddison 1997) (Maddison 1997) Emergency room visits per 23.54 100,000 population (Ostro 1994; Maddison 1997) Restricted activity days per 5,750 100,000 adults (Ostro 1994; Maddison 1997) Lower-respiratory illnesses 169 per 100,000 children (Ostro 1994; Maddison 1997) Respiratory symptoms per 18,300 5,475 100,000 adults (Ostro 1994; (Ostro 1994; Maddison 1997) Maddison 1997) Chronic bronchitis per 6.12 100,000 adults (Ostro 1994; Maddison 1997) Cough days per 100,000 1.81 children (Ostro 1994; Maddison 1997) * Chest discomfort days per 1,000 1,000 100,000 adults (Ostro 1994; per ppm Maddison 1997) (Ostro 1994) Minor restricted activity days 3,400 per 100,000 adults (Ostro 1994; Maddison 1997) Eye irritation per 100,000 2,660 adults (Ostro 1994; Maddison 1997) Note: ppm, part per million; PM,,, particulate matter 10 microns or less in aerodynamic diameter; SO,, sulfur dioxide; NO,, nitrogen dioxide. 70 IMPLEMENTING POLICIES: SETTING PRIORITIES Table A.2. The Social Costs of Morbidity Duration Valuation Value per case Morbidity effect Study (days) type (1993 U.S. dollars) Respiratory hospital admissions Cropper and Krupnick 1989 9.5 Cost of illness 7,248 Emergency-room visits Rowe et al. 1986 1 Cost of illness 242 Severe chronic bronchitis Viscusi et al. 1991 15,596 Willingness to pay 1,030,000 Bad asthma days Rowe and Chestnut 1985 9.5 Willingness to pay 578 Cough day Tolley et al. 1986 1 Willingness to pay 35 Eye irritation Tolley et al. 1986 1 Willingness to pay 38 Notes Dockery Douglas W., C. A. Pope, X. Xiping, 1. Spengler, J. Ware, M. Fay, B. Ferris, and E Speizer. 1993. "An 1. Only estimates based on studies using PM10 are Association between Air Pollution and Mortality in cited here, because PM1o is a better proxy for fine par- Six U.S. Cities." New England Journal of Medicine ticulates than other measures (e.g., TSP; black smoke, 329(24):1753-59. or BS) employed in a variety of studies. A number of Esrey, S.A., et al. 1993. "Effects of Improved Water Sup- estimates have been produced across studies that use ply and Sanitation on Ascariasis, Diarrhoea, Dra- different measures of particulate matter. In producing cunculiasis, Hookworm Infection, Schistosomiasis, these estimates, TSP is usually converted to PMo, us- and Trachoma." Bulletin of the World Health Organi- ing a factor of 0.55, and BS and COH are considered zation 69(5): 609-21. equal to PM10. These estimates are less reliable, how- ever, because variations in the levels of TSP or other Maddison, D. 1997. "A Meta-analysis of Air Pollution measures of particulates may be quite different from Epidemiological Studies." Centre for Social and those for PM10 and even more different for PM25. As Economic Research on the Global Environment. more studies using PM2,5 become available, the analy- London: University College London and University sis will have to focus on those studies. of East Anglia. 2, A potentially useful approach is to integrate the health status index literature with the willingness-to- Maddison, D., et al. 1997. "Air Pollution and the So- pay morbidity valuation literature. The health status cial Costs of Fuels." World Bank, Environment De- index literature attempts to measure perceptions of partment, Washington, D.C. well-being on a cardinal scale from 0 (death) to l (per- Margulis, S. 1991. "Back of the Envelope Estimates of fect health). Once the relationship between the health Environmental Damage Costs in Mexico." Latin status index and willingness to pay is found, willing- American Region Discussion Paper. World Bank, ness to pay can be predicted for any condition (which Washington, D.C. can be described using the health status index), even conditions for which no valuation experiments are Mitchell, R. C., and R. T. Carson. 1989. "Using Surveys available. This approach has been taken in TER (1996) to Value Public Goods: The Contingent Valuation and Maddison et al. (1997). Method." Resources for the Future, Washington, D.C. References and Sources Murray, Christopher J. L., and Alan D. Lopez, eds. 1996. The Global Burden of Disease. The Global Burden of Cropper, Maureen L., and Alan J. Krupnick. 1989. "So- Disease and Injury Series, 1. Harvard School of Pub- cial Costs of Chronic Heart and Lung Disease." Re- lic Health. Cambridge, Mass.: Harvard University sources for the Future, Washington, D.C. Press. Cropper, Maureen, and Nathalie Simon. 1996. "Valu- Ostro, Bart. 1994. "Estimating the Health Effects of ing the Health Effects of Air Pollution." DEC Notes Air Pollution: A Method with an Application to 7. World Bank, Washington, D.C. Jakarta." Policy Research Working Paper 1301. World Bank, Policy Research Department, Wash- Cropper, Maureen L., Nathalie B. Simon, Anna Alberini, ington, D.C. and P K. Sharma. 1997. "The Health Effects of Air Pollution in Delhi, India." Policy Research Working 1996. "A Methodology for Estimating Air Paper 1860. World Bank, Development Economics Pollution Health Effects." WHO/EHG/96. Geneva, Research Group, Washington, D.C. World Health Organization. The Effects of Pollution on Health: The Economic Toll 71 Pope, C.A., M., Thun, M. Namboodiri, D. Dockery, J. Tolley, George, et al. 1986. "Valuation of Reductions in Evans, E Speizer, and C. Heath. 1995. "Particulate Human Health Symptoms and Risk." In Contingent Air Pollution as a Predictor of Mortality in a Pro- Valuation Study ofLight Symptoms and Angina. Wash- spective Study of U.S. Adults." American Journal of ington, D.C.: U.S. Environmental Protection Respiratory and Critical Care Medicine 151: 669-74. Agency. Rowe, R., and V. Chestnut. 1985. "Oxidants and Asth- Viscusi, W. Kip. 1993. "The Value of Risks to Life matics in Los Angeles: A Benefits Analysis." U.S. and Health." Journal of Economic Literature 31: Environmental Protection Agency, Washington D.C. 1912-46. Rowe, R., et al. 1986. "The Benefits of Air Pollution Viscusi, W. Kip, et al. 1991. "Pricing Health Risks: Sur- Control in California." Energy and Resource Con- vey Assessments of Risk-Risk and Dollar-Risk sultants Inc., Boulder, Colo. Tradeoffs." Journal of Environmental Economics and Schwartz, Joel, and Douglas Dockery. 1992. "Increased Management 21(1):32-51. Mortality in Philadelphia Associated with Daily Air World Bank. 1993. World Development Report 1993: In- Pollution Concentrations." American Review of Res- vesting in Health, New York: Oxford University piratory Disease 145: 600-604. Press. TER. 1996. "Valuing Morbidity: An Integration of the . 1997. "Brazil: Managing Pollution Problems Willingness to Pay and Health Status Index Litera- -The Brown Environmental Agenda." Washington, tures." Durham, N.C. D.C. Public Involvement in Pollution Management Formal public involvement at the scoping and draft review stages is part of the environmental assessment (EA) process and is usually required for industrial projects. The wider use of par- ticipatory approaches in World Bank pollution management projects is still evolving. Public involvement in setting priorities for pollution management is not yet common, although there is evidence that an informed public has an influence on reducing pollution. In the development of projects with a pollution management component, emphasis should be placed on improving consultation between government, industry, and the public. Value of Public Involvement Public involvement is a way of ensuring that the project is relevant to local needs and responds Public participation, in a broad sense, is becom- to local concerns. It can improve the overall qual- ing part of Bank activities in many areas, includ- ity and success of a project and should be en- ing sector work, as well as projects. Participatory dorsed by task managers as an integral part of approaches have been most widely used in rural project identification and design. development projects, but there is increasing in- volvement of local communities in the design and Public Involvement implementation of urban and rural water and sanitation programs. A study of rural water sup- Levels of Public Involvement ply projects concluded that the effectiveness of participation was the single most important de- Public involvement can be defined as a social terminant of overall quality of implementation communication process whereby individual citi- (Narayan 1994). zens, NGOs, the private sector, and other inter- Recent OECD annual Evaluation Results have ested parties participate with government at concluded that beneficiary participation in prepa- various levels in decisionmaking. The World Bank ration enhances the sustainability of projects. In Participation Sourcebook (World Bank 1996) pre- response to concerns of task managers, it was noted sents experience on projects, lessons learned, and that although participation typically added 10-15% methods of participation. There are several broad staff-weeks to preparation time in the design phase, levels of public involvement: much of the additional cost was covered by out- side funding sources. Furthermore, the longer * Information dissemination is a one-way flow, preparation time was typically offset by speedy usually involving disclosure of information negotiation and quick loan effectiveness. about a proposed project to interested parties. Bank experience with public involvement in * Consultation is a two-way information ex- pollution management is still limited, but this is change between stakeholders; decisionmaking changing. In addition to involving those directly authority remains with the promoter but other affected by a program or project, public involve- groups provide feedback on decisions. ment can help build an informed constituency to * Participation is a process through which stake- influence priority setting in pollution management holders influence and share control over de- and support for enforcement. It may also be a way velopment initiatives and the decisions and to reach and educate small-scale industry. resources that affect them. There are several 72 Public Involvement in Pollution Management 73 types of participation: joint assessment and_col- The same concept underlies the U.S. require- laboration both involve partnership in design ments for publication of the Toxic Release Inven- and implementation, while empowerment puts tory. Focusing public attention on the wastes decisionmaking responsibility and resources being generated in facilities has prompted sig- in the hands of the stakeholders directly in- nificant reductions in the actual levels in subse- volved in the project. quent years. Recent developments in the EU on In practice, in industrial projects, the empha-designed sis has normally been on information dissemi- nation and consultation (for example in the EA region, the Australian government and the OECD process for a new facility). Formal, structured are promoting the development of Pollutant Re- exercises in participation are less common but lease and Transfer Registers (PRTR) for countries may occur, for example, in environmental audits or in industrial monitoring activities. Involvement with Specific Identifying Stakeholders Industrial Projects The key to successful participation is the effec- New Plants tive involvement of all the main stakeholders. The World Bank Participation Sourcebook defines stake- Public consultation is required as part of the holders as "those affected by the outcome-nega- scopmg and review of the draft EA for major new tively or positively-or those who can affect the industrial projects (those ranked as Category A). outcome of a proposed intervention." For Category B projects, the formal require- Stakeholder identification is essential to the ments for consultation are less well defined, process of public involvement. The task manager, but the benefits of early consultation should be the project sponsor, or the government can pre- considered. pare an initial list of stakeholders, and others will The focus of the formal consultation has typi- usually come forward or be identified through cally been those people directly affected, usually the public involvement process. Stakeholders fall because of resettlement concerns (OD 4.30) or into four broad groups: impacts on indigenous peoples (OD 4.20). In some cases, issues may be raised concerning pol- * The borrower or project sponsor lution and health impacts, and this input pro- * Beneficiaries of the project vides information for resettlement planners. * Other groups affected by the project A project that involved a wide range of orga- * Other interested parties (for example, NGOs nizations was the preparation of a waste man- and other donors). agement program in the Caribbean. By contrast, Social assessment procedures may be neces- preliminary consultations on an oil project in sary for systematic stakeholder identification and Central Asia could not identify any NGOs out- participation (see World Bank 1995). side the government system and had to rely on appointed local officials to provide input. Impacts of Information Upgrading Old Plants An informed and active public can have a sig- nificant impact on the performance of industry. In some cases where a highly polluting industry Detailed studies by the Bank in Indonesia and is also a major local employer, public concerns elsewhere have shown that industries in areas have led to a "jobs versus pollution" debate on where there is an educated and informed popu- the options (remediation or shutdown). lation are less polluting than their counterparts For example, a USAID technical assistance elsewhere. Clearly a number of reasons underlie project in Romania has involved extensive con- this difference, but the impact of public opinion sultation and discussion. There, a major copper is a key factor. smelter and refinery is the main source of envi- 74 IMPLEMENTING POLICIES: SETTING PRIORITIES ronmental health risks in surrounding towns. munity-based group regularly monitors the pol- Working groups have been established on a num- lution performance of the plant, disseminates the ber of issues of high concern (for example, blood information gathered, and provides feedback to lead levels). The groups included representatives the plant and the relevant authorities. Monitor- from the smelter, local government agencies, ing in this context could mean simple visual medical researchers, and organizations such as observation, basic testing of effluents, or partici- the local kindergarten. The groups are working pation in a more formal regular sampling and to develop and implement work plans for short- testing program. Participation of community term actions to improve local conditions. groups and NGOs in the preparation of projects In a Bank project in Algeria, local NGOs from (as is beginning to happen) clearly provides a the communities surrounding a major steel plant basis for longer-term involvement. were brought into a health assessment process to identify the local impacts of the plant. These Involvement in Priority Setting groups have been active in discussions on realis- tic options for upgrading the productivity and In the past, priorities for pollution management environmental performance of the plant. have typically been set by "experts" from spe- The design of a pollution abatement project in cialist government agencies or by outside con- Egypt promotes the involvement of NGOs (in- sultants. An example from Calcutta (see Box 1) cluding the influential professional associations) demonstrates the increasing recognition of the and the media, in order to build public expecta- shortcomings of this attitude. There is growing tion and pressure for the adoption of good envi- understanding that priority setting must involve ronmental and safety practices by the industries all the parties (that is, all the stakeholders) af- in the project area. fected by the issues. Newer approaches have been In many cases, environmental audits are car- based on various forms of community involve- ried out to provide data that can inform the de- ment, through existing political structures and bate. The solutions have typically involved ad hoc consultations. Comparative risk assess- closure of certain processes and upgrading of ment methods (see the chapter on this topic) have others. Worker representatives should be in- been used to present information on pollution volved in such discussions. impacts in a structured and informed way and, in some approaches, as the basis for community Community Relations Programs awareness raising and education. For example, in Nizhnii Tagil in the Urals re- It is increasingly common practice in industrial gion of Russia, an American NGO is applying a countries for major facilities to develop a formal community action model to concerns about the community relations program. To date, experi- impacts of the many sources of industrial pollu- ence with these approaches in Bank work has tion. As a result of the intervention, a broad- been limited. A project in Central Europe (funded based committee has been appointed by the city by another development bank) that involved to identify and address the most urgent pollu- upgrading of a large metal smelter included a tion problems. The committee is carrying out a specific component for the establishment of a comparative risk assessment of the many toxic community group to track progress of the up- air pollutants that have been identified, and lo- grading. An independent technical consultant cal specialists are developing a prioritized risk was appointed as the liaison between the project reduction strategy. and the community. One broad possible community role is that of Community Monitoring a "watchdog" over the performance of the par- ticular enterprise, an attitude sometimes known Approaches as environmental vigilance. This is preferably done as part of a structured community involve- Community monitoring is not a new concept: con- ment program developed by the enterprise, but cer for environmental issues has been a grass-roots it can also be done separately. Typically, a com- issue in many countries. The new aspect of com- Public Involvement in Pollution Management 75 availability of simple and reliable testing meth- Box 1. Environmental Concerns and Social ods that can be used by local communities. For Impacts in Calcutta example, the use of litmus paper strips may be Over the last two decades, Calcutta's Urban Devel- sufficient to monitor the acidity of wastewater opment Program (CUDP) has focused on providing discharges from a plant. More sophisticated sys- basic infrastructure services, without specific pro- tems can be developed; in Canada, a number of vision for taking environmental effects into account. members of a native-peoples community were A new Calcutta Environmental Strategy and Action trained in simple laboratory methods, allowing Plan will address the environmental constraints and them to monitor and control the quality of the opportunities related to the CUDP's development local water supply This Canadian community is goals. The new plan will include consultations with stakeholders and will address such questions as willingness to pay for different options. The inter- munity on such methods. esting point is the recognition that implementation Community monitoring methods can span a of environmental priorities without careful regard for wide range of technologies. A number of NGOs social impacts could exacerbate the plight of the are working on the development of simple kits poor. An example is the imposition of "polluter pays" using locally available materials. Commercial principles without considering ability to pay and the loss of jobs that could follow from the closure of polluting factories. Resolution of such issues will basic testing systems that can measure a wide be difficult. range of parameters for, typically US$0.5-$2.0 per test for each parameter. At a slightly more Source: Biswas 1995. expensive level, robust portable monitors are available for a number of key environmental pa- rameters. Once purchased, these instruments are munity monitoring is to extend interest in the en- reliable and simple to use. vironment from the educated elite to the broader The availability of technology is only a part of population directly affected by pollution and other any monitoring system. Regular and reliable issues. Community monitoring is also a logical pro- sampling and good analysis and reporting are gression of the change of emphasis in environmen- also essential. Sustaining local interest in moni- tal management, from source control alone to toring over a long period can be a difficult task; achieving real ambient improvements. experience is lacking on this question. The advantages of involving the community in monitoring can include a clearer view of pri- Policy Work: Lessons from the Urban Sector orities, cost-effective extension of the database, and mobilization of local support for necessary Many industrial pollution problems have an ur- preventive and remedial actions. In particular, a focus on the health and economic impacts of pol- ban conein andmstran pollut prb- lution at the local level can allow assistance to be emv ena i rial comnn t rbn targeted at critical problems, with the active sup- eirnmet iori setin s fq nl port of those directly affected. For example, stud- ies by USAID in periurban neighborhoods of ings on public participation emerging from ur- Quito identified a number of health risks, such instria ollution. as food poisoning, gastrointestinal diseases, and Theuran Man bronchial infections (from dust in the dry sea- Tue tha "one en oributios o son), that required quite different solutions from environmental degradation is the lack of public those proposed for dealing with perceived awareness of the problems and low participation citywide problems. in efforts to improve the urban environment."' Techniques In particular: -A fundamental problem is lack of effective The introduction of community monitoring or public information and education; a public environmental vigilance approaches requires the educated in environmental issues and possible 76 IMPLEMENTING POLICIES: SETTING PRIORITIES alternatives is in a position to apply pressure. number of problems related to procurement, con- Opportunities to influence and participate in tracting, and disbursement when dealing with decisionmaking are also crucial. small and often rather unstructured organiza- There is a need to build public pressure and tions (Bartone et. al. 1994). These issues are still political will. In the absence of public pressure, being resolved, but the key point is that they need decisionmakers will choose options that offer to be addressed early in the preparation process. the highest short-to-medium-term benefits. One recommendation is that an implementation This is a particular problem where decision- manual be prepared for the particular circum- makers may have a vested interest in promot- stances, setting out clear and simple contractual ing new industrial development, for example. practices that would be acceptable under the Through participation, the people affected (es- project. pecially the disadvantaged) can influence policy Support to ask Managers and management decisions. Participation should continue over the life cycle of a project or program. The Social Policy and Resettlement Division of However, "urban environmental improvement the World Bank's Environment Department cannot be initiated or sustained without constitu- encies that demand a better quality of life." In NVs as perdaeris of Dissmiation most developing-country cities, there is already Nan ohe dce ts onarTi and a powerful constituency for the environment an pre as k maagers eialso among the upper class; the challenge is to build in the regions who can assist with project design a constituency among the urban poor. and implementation. Outline of a Participatory Process Note The following general practice pointers are used 1. The Urban Management Programme is jointly to guide the participatory process and to keep sponsored by the World Bank, the United Nations the necessary time and cost to a minimum. Development Programme (UNDP), and the United * Start the participatory process as early as pos- Nations Centre for Human Settlement (Habitat). sible in the project design. References and Sources * Ensure government support for a participatory approach. Bartone, Carl, Janis Bernstein, Josef Leitmann, and * Identify and then involve the stakeholders. Jochen Eigen. 1994. Toward Environmental Strategies * Involve intermediary NGOs that have local for Cities: Policy Considerationsfor Urban Environmen- credibility. tal Management in Developing Countries. Urban Man- * Identify and involve responsive individuals or agement Programme Series Paper 18. Washington, agencies in the government. D.C.: World Bank. * Build community capacity to make decisions Biswas, K. 1995. The Urban Age, pp. 6-7. World Bank, and to convey information back and forth. Transport, Water, and Urban Development Depart- * Make a particular effort to understand the con- ment, Washington, D.C. cerns of the poor, who are often not well rep- resented. * Facilitate participation by women, who may Financed Projects with Community Participation: Pro- not be represented in the formal structures. cussin aper shnt .C. * Consider institutional or regulatory measures to support participation. Narayan, Deepa. 1994. The Contribution of People's Par- ticipation: Evidence from 121 Rural Water Supply Procurement Issues Projects. Environmentally Sustainable Development Occasional Paper 1. Washington, D.C.: World Bank. Early experience with projects with a high level World Bank. 1993.: "EA Sourcebook Update No.5. Pub- of community participation demonstrated a lic Involvement in Environmental Assessment: Re- Public Involvement in Pollution Management 77 quirements, Opportunities and Issues." Environ- . 1995. "Dissemination Note No. 35." Envi- ment Department, Washington, D.C. ronment Department, Washington, D.C. . 1994. "The World Bank and Participation." . 1996. World Bank Participation Sourcebook. Operations Policy Department, Washington, D.C. Washington, D.C. Analytical Support for Cost-Effective Pollution Control Analytical tools have been developed by the World Bank Group to estimate rapidly the extent and impacts of pollution in a given situation and to support decisions on pollution manage- ment. These tools help decisionmakers overcome the frequent lack of data concerning emissions from different sources, their impact on ambient quality, and mitigation alternatives. Decision Support System for Integrated cording to the United Nations International Pollution Control (DSS) Standard Industrial Classification (ISIC) at the four-digit level What Is the DSS? e Principal control options available for each process, including "good housekeeping" and The Decision Support System for Integrated Pol- waste prevention programs lution Control (DSS), developed by the World - Emissions factors associated with these pro- Bank in collaboration with the World Health Or- cesses and "process-control option" combi- ganization (WHO) and the Pan American Health nations Organization (PAHO), allows a rapid assessment 9 Normalized costs and parameters for control of the pollution situation in a specific geographic technologies location, such as a metropolitan area or water - Health guidelines for air and water pollutants. basin. The DSS is designed to assist in the analy- where applicable. sis of alternative pollution control strategies and policy options. It is a personal computer software Editing and calibration features of the soft- program and database that has been developed ware allow adjustment of the default data to from the approach and parameters provided in local conditions when actual information is the 1989 WHO working document on manage- available. ment and control of the environment. The DDS Computation modules enable the user to generates estimated pollution loads in a study estimate: area by applying emissions factors to data on * Air, water, and solid waste emissions, based economic activities. This load data can then be further processed to estimate areawide concen- onvn lin trations or to examine the impacts and costs of Ambient concentrations of air and water pol- selected pollution control measures. Full details lutants, obtained by using simple (screening) of the system, the basic assumptions, and the base dispersion models with minimum meteoro- parameters are given in the manual that accom- logical and hydrological data panies the software. The following databases are included, com- u stsnoficon in,erive by piled by medium of discharge: usins * Pollution-intensive technological processes e Long-run marginal cost schedules for achiev- across all sectors of economic activity, includ- ing a certain level of emissions reduction (or ing mining, manufacturing industries, energy, decline in ambient concentration) for a cho- transport, and municipal sectors, grouped ac- sen pollutant. 78 Analytical Support for Cost-Effective Pollution Control 79 What Are the Uses of the DSS? industries and in the municipal sector. The sys- tem supports integrated approaches to airshed The DSS can be used by Bank staff, environmen- management and wastewater treatment by cap- tal agencies, pollution engineers, economists, and turing and evaluating the effect of all kinds of policy analysts for the following tasks: sources on pollution load and ambient quality. * Obtaining information on typical emissions factors and control costs (at a generalized level) tons ana abatement acros in- * Managing data on economic and industrial tininmrnacosofbte ntcosi- activityng data on o ads dustries and other sources. It defines the control * Estiv ingty and elated p ltions levels and associated investments that should be * Conducting trainingiand oanalyzing optio s adopted for different industries to achieve a de- and ucnget sired pollution abatement target (in terms of ei- and mnageent.ther emissions reduction or concentration decline Each task is discussed in detail below. of a particular pollutant) at least cost for the area Information. The DSS database can provide in- as a whole. Specifically, the system estimates the formation on pollutants, emissions factors, tech- amount of pollution that can be reduced with- nological processes, control options, and unit out costly investments, just by improving man- costs that can be independently applied in other agement, operation, and maintenance. The models or studies or can serve as a point of refer- software can also be used to support the selec- ence. However, the range and variability of the tion of alternative locations for new industries parameters included is frequently large, and the or industrial zones, as well as for urban devel- database should be validated or adjusted for lo- opment and expanding municipal services. It can cal conditions wherever possible. estimate the possible effects of different policies Data management. The DSS helps to estimate on the pollution situation and the associated costs pollution conditions in the absence of moni- of compliance with environmental regulations in tored data on emissions and ambient concen- each proposed location. trations and permits identification of the major As a first step in analyzing pollution control pollution sources. It can also help to highlight policies, such as policies setting environmental gaps in the existing system of data collection standards or applying economic instruments, the by providing a framework for organizing the DDS can be used to: information-gathering process systematically - Estimate the costs of attainin roposed emis- and presenting the information in a convenient sions standards or a p format as a table, chart, or map. The system area requires a detailed inventory of industries in a - Estimate the impact on ambient quality of pro- given area, including data on key inputs and posed emissions standards or technological outputs in physical units and the types of ex- standards isting pollution controls. This type of data is * Allocate emissions limits across pollution often more readily available than actual pol- sources in an area in a cost-effective way lutant emissions or concentrations. * Estimate the incentive level of an emissions When such an inventory is not possible within charge rate needed to achieve a certain envi- the limited time and resources available, the In- ronmental target in the area or watershed (us- dustrial Pollution Projection System (IPPS), ing long-run marginal cost schedules) which has less demanding data requirements, can be used to estimate pollution loads from manu- Educational tool. The DSS helps to make key facturing industries for a number of air and wa- issues and causal links in pollution management ter pollutants. The IPPS is described in greater transparent. It can demonstrate the comparative detail below. effect on pollution load and ambient quality of a Analytical tool. The DSS is designed to help number of factors that can be affected by sectoral develop a cost-effective pollution control strat- and environmental policies. It can promote pub- egy across various pollution sources for a given lic participation and consensus building by in- area and identify priority investments in specific forming various stakeholders about the key 80 IMPLEMENTING POLICIES: SETTING PRIORITIES pollution problems, major pollution sources, and no reliable information about their own emis- principal mitigation measures in the area. sions, but many of them have relatively detailed In applying the DSS, it is important to remem- industry survey information on employment, ber that the system is a rapid and rough assess- value added, or output. IPPS converts any of ment tool that can only indicate where problems these measures of manufacturing activity into are likely to occur, the relative significance of estimates of the associated pollution output. different pollution sources, and the order of The IPPS initially combined extensive U.S. magnitude of the costs and effects associated databases on manufacturing activity (Census with alternative pollution control strategies. Its Bureau data) and industrial emissions (USEPA main advantage is in helping to create a com- data) to produce sectoral measures of "pollution prehensive picture of the pollution problems intensity"-the level of emissions per unit of in an area and to focus further analysis on spe- manufacturing activity. Pollution intensities have cific priorities. been developed for seven criteria air pollutants, two key water-pollution indicators, and several Implementing the DSS System total indices of toxic pollution. The high level of sectoral detail in the U.S. databases and the The DSS software runs under Windows and can great diversity of U.S. industry make it pos- be closely linked to Microsoft Excel. The data- sible to match IPPS data with the industrial base is established using Access software but can profile of virtually any country, but the data be manipulated directly through the DSS system. are being refined on the basis of information The minimum data for starting the system are from other countries. industrial output or input for major industries The IPPS exploits the fact that levels of indus- (at the four-digit ISIC level), together with basic trial pollution are closely related to the scale and information on municipal services and traffic. sectoral composition of industrial activity and to From this minimum information, the system can the level of control. The system is easy to use, in estimate emissions loads, using the default coeffi- conjunction with macroeconomic or sectoral pro- cients. The estimates can be improved with further jections at various spatial levels, to trace the po- knowledge on the levels of industrial pollution con- tential environmental implications of industrial trol and local emissions factors, which can be used growth and for rough screening of current indus- to refine the default values. The system also in- trial emissions when more specific information cludes simple air and water dispersion models that is not available. can offer estimates of pollutant concentrations if The outcomes of the IPPC should be used pri- basic geographic data are provided. manly for estimating a relative change in emis- In addition, the system can generate total and sions according to different scenarios of industrial marginal costs for the reduction of pollution activity rather than for drawing conclusions loads. These costs are also based on default val- about absolute levels of industrial emissions. ues; the results can be refined by introducing lo- cally specific economic data. Compatibility of the DDS and the IPPS The system database covers 150 industry pro- cesses and other polluting activities and 30 air The DDS and the IPPS are broadly compatible and water pollutants, as well as solid wastes. An because they operate at different levels of aggre- expanded database covering about 1,500 activi- gated data. The IPPS can be used to quickly as- ties and over 300 pollutants is also available. sess the relative magnitude of emissions from different industries in cases where the applica- Industrial Pollution Projection System tion of DSS is constrained by lack of data on in- puts and outputs in physical units. However, The Industrial Pollution Projection System (IPPS) since the IPPS is limited to manufacturing indus- is a modeling system that uses manufacturing in- tries, it has to be supplemented with other as- dustry or trade data to generate profiles of in- sessment tools when analyzing the pollution dustrial pollution for countries, regions, or urban situation in urban areas. Where local industrial, areas. Most developing countries have little or municipal, and transport data are available or can Analytical Support for Cost-Effective Pollution Control 81 be collected, the DSS provides a greater capabil- IPPS ity for estimating loads and concentrations and Environment, Infrastructure, and Agriculture analyzing control strategies. Division Policy Research Department Additional Resources World Bank Washington, D.C. DSS Urban, Industry, and Energy Team or check the environmental section on the World Environment Department Bank Group's Website (www.worldbank.org). World Bank Washington, D.C. Airshed Models Modeling may be necessary to estimate the changes in ambient air quality-both local and at a distance-caused by a particular set of emissions. Modeling can be appropriate for new plants and for modifications to existing plants. This chapter provides guidance on some mod- els that may be useful in the context of typical World Bank Group projects. Air quality is an issue of increasing concern in utilize different types of models, which are dis- many countries. Projects that introduce new cussed elsewhere in this Handbook. sources of emissions or are designed to reduce Although thermal power plants are often emissions require careful analysis to quantify the singled out as major polluting sources, nearly all effects as far as possible. For many sources, this industrial facilities, especially those with short will typically require mathematical modeling of stacks, have the potential to cause localized the changes in ambient concentrations that result areas of unacceptable air quality. In addition, from the new emissions. The few widely used urban areas can act as diffuse sources of air pol- models are reviewed in this chapter. lution, particularly where poor-quality fuels Air quality modeling can be a complex task, are burned in household stoves. Cases of mul- and the objectives need to be clear. The costs of a tiple point sources or area sources (or both) can study can range from US$10,000 to US$500,000, often be modeled by using simplifying assump- depending on the complexity of the situation and tions or by integrating the impacts of individual the level of detail required; in many cases, costs sources. are at the lower end of this scale. The simplest approach uses a point source dispersion model Use of Near-Field Dispersion Models to estimate the ground-level concentrations of the pollutants of interest at some distance (typically Typically, dispersion models have been used in from hundreds of meters to tens of kilometers) developing countries only in isolated cases where from a point source. More complicated models air pollution had been recognized as a serious allow the examination of multiple sources, in- problem (e.g., Mae Moh, Thailand, and Krakow, cluding area (nonpoint) sources. For an area con- Poland). However, with increasing pollution taining a number of point and nonpoint sources, problems and more emphasis on air quality stan- an air quality model can be constructed that in- dards in developing countries, dispersion mod- cludes all of the sources in the area. In practice, els are expected to be used more extensively in such models are rare because of the costs of de- the future for sector- and project-level environ- velopment and the data required to make the mental assessments, as well as for assistance in model a realistic tool. establishing specific emissions requirements. This chapter examines the application of the As a general guide, it is suggested that a basic most commonly used air quality dispersion mod- analysis of possible impacts on ambient concen- els for assessing the impact on air quality of key trations be carried out on installations that have pollutants-sulfur dioxide (SO2), nitrogen oxides the potential to emit annually more than 500 (NO), and particulates-emitted from point metric tons of sulfur dioxide or nitrogen oxides, sources.' Far-field dispersion and acid rain depo- or 50 metric tons of particulate matter or any sition are governed by different principles and hazardous air pollutant. In many cases, simple 82 Airshed Models 83 calculations based on loads and air volumes may Key factors that affect these calculations, and be sufficient to provide an order-of-magnitude therefore the selection of dispersion models, estimate. However, the use of formal models are: should be considered for any project involving large new plant or significant modifications. For cTpraphy. the aa on ing t t major sources, the modeling should include the rain or complex terrain (having downwind lo- planned source or sources, as well as existing cations with elevations greater than stack sources in the same general area-within a ra- dius of 10 to 15 kilometers (km)-so that the height). cumulative effect of all the facilities on local Lan u. Whethertt surruding areas air quality can be assessed. In some cases, typically have large structures and heat building-wake effects are important (for ex- sources that affect the dispersion of pollutants. ample, where release points such as stacks and In addition, the density of the population af- vents are less than 2.5 times the height of fects the numbers potentially impacted. nearby buildings), and more detailed modeling Pollutant properties. Physical and chemical may be appropriate. The models described in this document per- port of thel infuence thir tain to "near-field" (less than 50 km from the to F m oden sludioxd tin point source) dispersion of sulfur dioxide, nitro- mto 1k o assure, o ceca tra s gen oxides, and particulates. Such models esti- mations arexsuedto occur.Beon thi mate the ground-level concentration of pollutantsuseful. Most nitrogen oxide is emitted as in the air, which is then compared with ambient air quality standards or guidelines.2 Other mod- netri o (N) butinamtt of mite els that address photochemical smog are not de- deeningon t iilit of ozon it be- scribed in detail here. cmsntoe ixd.Tedpsto fpr scried i detil hre.ticulates is a function of particle size and travel time. Factors Affecting Dispersion of Pollutants Source conguration. The height and tempera- ture of the discharge and proximity to struc- The dispersion and ground-level concentration tures affect dispersion. Effective plume height of pollutants are determined by a complex inter- is the physical height of the stack adjusted for action of the physical characteristics of the plant factors that raise the plume (as a result of buoy- stack or other emission points, the physical and ancy or momentum) or lower it (as a result of chemical characteristics of the pollutants, the downwash or deflection). meteorological conditions at or near the site, and Multiple sources. All dispersion models assume the topographical conditions of the surrounding that the concentrations at any one target site areas. are the arithmetic sum of concentrations from In general, three different calculations are each of the sources being examined. Note that needed to estimate the time-averaged concentra- it is the effects that are summed, not the emis- tion of pollutants at a location downwind from a sions rates or stack parameters. plant: Time scale of exposure. The recommended mod- els make calculations for the basic time period * The plume rise above the stack must be estab- of one hour. Concentrations for longer time pe- lished (effective stack height). nods, such as 8 hours or 24 hours, are the arith- * The dispersion of the pollutants between the metic averages of the hourly concentrations of source and the downwind locations of inter- those time periods. Annual averages are com- est must be mathematically modeled on the puted by averaging hourly concentrations for basis of atmospheric conditions. a full year or by using models that use a fre- * The time-averaged concentration at ground quency distribution of meteorological events level must be determined, to compute an annual average. The recoi- 84 IMPLEMENTING POLICIES: AIR QUALITY MANAGEMENT mended models have the necessary "book- well as at other specified distances, are deter- keeping" incorporated into the processing or mined. No consideration of wind direction is re- available as postprocessor routines. quired because the output represents the concentrations directly downwind. (This model Selecting an Appropriate Model is designed for average North American condi- tions; care should be taken in using it under dif- Model selection requires matching the key char- ferent climatic conditions.) acteristics of the site and the requirements of the Options in the model allow for the effects of evaluation with the capabilities of the model. a single dominant building and for terrain dif- Normally, expert advice is required in making a ferences between the source and the receptors. selection. As a general principle, modeling should To refine the estimates in complex terrain, a always begin with the simplest form possible, more sophisticated screening model is avail- moving to more complex approaches only where able in CTSCREEN, derived from CTDMPLUS their necessity and value can be demonstrated. (see below). At the most basic level, a crude mass balance can Although only a single source (stack) is con- indicate whether a new source is likely to pose a sidered, multiple nearby sources can be screened problem. Alternatively, a simple screening model, by using the sum of the emissions rates from the as described below, can provide a realistic esti- sources as the emissions rate for this single stack. mate of the order of magnitude of the impacts of This will yield an overestimate, since the effects a source. Situations involving multiple sources of geographic separation of the sources or the or varying terrain may require a more sophisti- points of maximum concentration will not have cated effort involving site-specific data collection been included. Scaling factors to estimate con- and more complex models. centrations for longer time averages (3 hours, 8 In some cases, more than one model may be hours, 24 hours, and even one year) are included required. For example, modeling of gaseous in the user's guide. emissions and particulates in the Mae Moh Val- If the concentrations determined by using a ley, Thailand, required the use of one model for screening model are within the relevant guide- the valley floor, where the terrain is flat, and an- lines, no additional modeling should be neces- other for the mountains that surround the valley sary. If concentrations exceed the guidelines, on three sides (KBN Engineering and Applied more refined modeling should be done. Since the Sciences, Inc. 1989). simplifying assumptions made in the screening model tend to overestimate impacts, refined Commonly Used Models modeling nearly always yields somewhat lower estimates of concentration. Screening Models Screening is straightforward and does not re- quire difficult decisions as to the relevance and The preliminary scoping of the magnitude of the representativeness of meteorological data. It may air pollution problem can be accomplished by the be carried out by competent local specialists, per- use of screening models designed to determine haps with some expert assistance. quickly and easily the impacts from a single source. If it is obvious that several sources are Refined Models contributing to concentrations, screening is not appropriate. A useful screening model is More refined modeling of near-field dispersion SCREEN3 (EPA 450/4-9-006, Modeling Guide- can be carried out with one of several simple line, and EPA 454/R-92-019, Screening Proce- Gaussian plume models. These models predict dures for Stationary Sources). This approach the dispersion patterns of nonreactive pollutants requires no site-specific meteorological input, as such as sulfur dioxide, nitrogen oxides, and par- calculations are made for a spectrum of possible ticulates within 50 km of the emissions source combinations of wind speed and atmospheric and are generally expected to produce results stability (using Pasquill classes). Concentrations within a factor of 2 of the measured values. Most at the downwind point of maximum impact, as such dispersion models are similar in design and Airshed Models 85 performance and do not attempt to account for 9 PARADE, developed by Electricite de France complex situations such as long-range transport * PLUME 5, developed by Pacific Gas & Elec- and highly reactive chemical emissions. tric Co., San Ramon, Calif., and applicable to What distinguishes the various models is their both urban and rural areas with complex ter- capability to handle different settings. Some of rain the models (such as ISC3 and CTDMPLUS, de- - The German TA Luft procedures. scribed below) are characterized as "preferred Table 1 provides the key characteristics of the models" by organizations such as the USEPA be- commonly used air quality dispersion models. cause they meet certain minimum technical cri- More details on these, as well as on other disper- teria, have undergone field testing and have had extensive peer review. This does not make the sion md L TAQ, COMPE, SDM, nonpreferred models less suitable for an appli- SCSTER 3141 and 4141 are rovided in USEPA cation, but it does mean there is a documented (1993) experience base for the preferred models, which (1993). may add more credibility to the analysis or elimi- nate the need for model validation. Two of the most commonly used models for assessment of able for developing countries, as demonstrated pollutant dispersion are from the USEPA. by their use in, for example, the projects in Mae Moh, Krakow, and Sri Lanka mentioned below. * The ISC3 (Industrial Source Complex) model However, they may require some adaptation to is used for point (stack), area, and volume or calibration for topography and weather pat- sources in flat or complex terrain. The com- ters that are not common in industrial countries. plex terrain analysis does not employ a sophis- For example, dispersion models have not been ticated algorithm. There are two versions: subject to a comparison of model calculations of ISCST3, for averaging periods of 24 hours or existing sources with monitored air quality data less, and ISCLT3, for averaging periods of 30 in tropical weather conditions. days or longer. * The CTDMPLUS (Complex Terrain Disper- ISC3 and CTDMPLUS Models sion) model is for use in complex terrain. A screening version of this model, CTSCREEN, The Industrial Source Complex (ISC) model is a provides estimates if only one or two stacks steady-state Gaussian plume model used to as- affect high terrain. sess pollutant concentrations from a wide var- Other commonly used models are: ety of industrial sources. It accounts for settling and dry deposition of particulates; wake effects * UK-ADMS, the United Kingdom Meteorologi- stemming from building obstruction; plume cal Office Atmospheric Dispersion Modeling rise as a function of downwind distance; and System multiple but separate point, area, and volume Table 1. Key Characteristics of Commonly Used Dispersion Models Terrain Source configuration Time scale Flatl Corn- Pollutant Ele- Mu/- Short- Long- gently plexb Land use Soan Parti- vated tiple term term rolling rough Urban Rural No culate Point point point exposure exposure SCREEN3 Yes Yes Yes Yes Yes Yes Yes Yes No Yes No ISCLT Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes ISCST Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Noa PLUME5 Yes Yes Yes Yes Yes No Yes Yes Yes Yes Yes CTDMPLUS No Yes No Yes Yes Yes Yes Yes Yes Yes No Note: All of the above models except PLUME 5 are available through NTIS, Springfield, Va. 22161. PLUME 5 is available through Pacific Gas and Electric ao, San Ramon, Calif. a. "YesT if all hours for the time period are averaged (e.g. 8,760 hours in a 365-day year). 86 IMPLEMENTING POLICIES: AIR QUALITY MANAGEMENT sources. It has the ability to analyze concentra- screening models, but they can be applied in a tions in any type of terrain, and it can estimate basic manner when the necessary data are diffi- hourly to annual pollutant concentrations. This cult to obtain or in order to determine the value model is recommended for both urban and rural of collecting further data. For example, in a com- areas. plex airshed with several sources and differing An earlier version of the ISC model has been meteorological conditions, it may be appropri- used in a number of World Bank projects such as ate to calculate the impacts of each major source Mae Moh, Thailand (KBN Engineering and Ap- individually, using simplified meteorology for plied Sciences, Inc. 1990), Krakow, Poland that source. The impacts from all the sources can (Adamson et al. 1996), and Sri Lanka (Meier and then be summed, producing estimates that are Munasinghe 1994). not as precise as a multisource model but that Several private firms offer enhanced versions may give a reasonable indication of the overall of the EPA models (see, for example, Scholze impact. 1990). The enhancements include user-friendly In complex situations, significant effort and data input, the capability of easily plotting the professional judgment are often necessary for output, custom output summaries, and techni- estimation of the emissions inventory (defining cal support. Some of these firms offer training in all the sources to be included), for collection of the use of models, both in the United States and local meteorological data, and for selection of the overseas. specific combinations of conditions to be mod- Addresses for obtaining further information eled. For example, in an industrial city, it may be on the USEPA and German models are given at appropriate to group the sources into different the end of this chapter. types, such as major sources, smaller industrial or municipal sources, and indeterminate residen- Other Models tial emissions. Identification of sources and esti- mation of the emissions inventory for use in the In addition to the above-mentioned models, model would be significant tasks. For the major there are models that are not used widely but sources, site-specific details should be obtained. that may be the most suitable for specific loca- Smaller industrial sources might be handled by tions because they have been developed by lo- aggregating them into groups or by defining typi- cal institutions and have taken into account cal characteristics. Residential sources would local requirements. For example, a World Bank have to be partitioned in accordance with some study in Krakow, Poland (Adamson et al. 1996) estimates of population density or housing type. utilized a model developed by the Warsaw Efforts would have to be made to understand the University of Technology. local meteorology in some detail, addressing van- For a facility within 200 km of an urban center ability across the area, patterns of inversions, and that has a smog problem, one may wish to exam- perhaps day/night variations to reflect patterns ine the effects of photochemical reactions be- of residential emissions. tween volatile organic compounds (VOCs) and Credible modeling in such complex situations nitrogen oxides, if the new source contributes requires significant effort and resources. Collec- more than 1-2% to the total emissions of these tion and interpretation of the data required compounds in the airshed. This analysis requires as input can take a large part of the overall an enormous amount of data, takes highly skilled resources-perhaps 50% or more. modeling personnel, and is generally quite ex- pensive. Commonly used models for such an as- Data Requirements sessment are the USEPA Urban Air Quality Model (UAM) and the Regional Oxidant Model (ROM). The data requirements of dispersion models fall Use of Refined Models into three categories: - Source data, including location of stacks and other Models such as ISCST3 are more sophisticated sources (coordinates), physical stack height and in their structure and capabilities than the simple inside diameter, stack exit gas velocity and tem- Airshed Models 87 perature, and pollutant release rate. The latter cally by an expert) to compare them with local is usually given as the time-weighted average ambient air quality standards and identify "hot (per 1 hour, 24 hours, or year). spots"-areas where pollutant concentration is Some dispersion models may require addi- above desirable levels. tional inputs such as point source elevation, It should be emphasized that mathematical building dimensions (e.g., average building modeling of complex atmospheric processes in- width and space between buildings), particle size distribution with corresponding settling veloci- can be made worse when data are lacking or un- ties an sufacerefecton ceffciets.reliable. Model results must therefore be treated ties,with care when using them in formal decision- * Meteorological data are required for predicting making. The presentation of results shouldnor- the transport, dispersion, and depletion of the mally include a discussion of the probable pollutants. Most models accept hourly surface variability and the confidence limits. weather data that include the hourly Pasquill For decisionmakers, the results need to be stability class, wind direction and speed, air summarized in a clear, understandable way. temperature, and mixing height. Ideally, a year Table A.1, which sets out the key findings from a of meteorological data would be available. In modeling study of a proposed power plant, is an cases where some long-term data are available example of such a presentation. in the region (typically, readings taken at an airport), shorter-term local observations may Resource Requirements allow the long-term records to be transferred for Dispersion Studies to the site under examination. Where appro- priate, a local meteorological station can be Information on screening models is generally established (estimated cost, about US$30,000- readily available. The costs of acquiring the $40,000 for setup and one year of operation of model, some training, and the actual study one automated site). should be less than US$10,000. Local consultants * Receptor data, meaning identification of all key can rapidly acquire skill with the screening mod- receptors (e.g., areas of high population or ex- els. Where refined modeling is required, the nec- pected maximum ground-level concentration). essary skill level increases sharply. Usually, receptors are specified by their coor- Air quality monitoring and model validation dinates and elevation. can have significant costs. In the United States, Values of input parameters can be determined air quality analysis costs for power plants have by direct measurement, sampling, or estimates ranged from US$100,000 to US$2 million. The based on sound engineering principles. The lit-this range corresponds to the case erature may provide data or empirical correla- teaii aralare tehih e nd h a tions that can be used for estimating dispersion includes ambient ar qualiy motrng model inputs.inldsabetarqaiymnoigcss mode inpts.and, in some cases, the cost of demonstrating the inappropriateness of a model approved by the Interpretation of Results regulatory agency or of validating a model not approved by the regulatory agency. Although The results of dispersion modeling are typically these costs are based on experience from indus- maps showing the concentration of the consid- trial countries, costs in other countries are ex- ered pollutants (usually sulfur dioxide, nitrogen pected to be similar. Some cost reductions could oxides, and particulates) throughout the imme- be achieved by maximizing the utilization of lo- diate area surrounding the facility. The map con- cal consultants, particularly if the local consult- sists of the computed concentrations at each site ant has the opportunity to carry out four or five and a plot of the isopleths (lines of constant con- such projects annually. Unless there is frequent centrations). Since plotting results in "smooth- use of dispersion modeling, it may not be worth- ing," the actual computed data should be while to acquire the skill because of the rapid evaluated. The maps need to be evaluated (typi- changes in the models themselves and in the com - Annex. Example of Summary Output from an Airshed Model Table A.1. Air Pollution Characteristics of a Proposed Thermal Power Plant A. AIR QUALITY PROJECTIONS (all units are yg/m3) Reference values World Bank quidelines National standards Annual average Daily maximum Annual maximum Backqround levels Monitorinq point 1 Monitorina point 2 Monitorinq point 3 Monitorinq point 4 Annual average Daily maximum Annual maximum Design coal: Monitoring point 1 Monitoring point 2 Monitoring point 3 Monitoring point 4 background plus two 600 MW units Annual average Daily maximum 00 Annual maximum Design coal: Monitoring point 1 Monitoring point 2 Monitoring point 3 Monitoring point 4 background plus four 600 MW units Annual average Daily maximum Annuaf maximum Check coal: Monitoring point 1 Monitoring point 2 Monitoring point 3 Monitoring point 4 background plus two 600 MW units Annual average Daily maximum Annual maximum Check coal: Monitoring point 1 Monitoring point 2 Monitoring point 3 Monitoring point 4 background plus four 600 MW units Annual average Daily maximum Annual maximum B. ASSUMPTIONS 1. Sulfur content Design value: 0.31% Check value: 0.92% 2. Ash content Design value: 15.5% Check value: 28.4% 3. Stack height 4. ESP efficiency C. PROJECTED EMISSIONS World Bank guidelines National standards Two 600 MW units Four 600 MW units SO2 (tons/day) Design Check 0 TSP (mgl4w) Design ICheck NO, {ng/J) Design_ Gheck Note: SO2, sulfur dioxide; TSP, total suspended particulates; NO., nitrogen oxides; MW, megawatt; ESP, electrostatic precipitator; mg/M3, milligrams per cubic meter; ng/J, nanograms per joule. 90 IMPLEMENTING POLICIES: AIR QUALITY MANAGEMENT puter technology needed to effectively use the Notes models. 1. Dispersion refers to the movement of parcels of When Should the Modeling Be Done? gases, whether vertically or horizontally, and their si- multaneous dilution in the air. Dispersion modeling should be part of the ini- 2. Standards pertain to the environmental require- tial environmental assessment for a power ments of the country or the local authority; guidelines projct,for xamle. t i recmmeded hatthe are practices suggested by organizations such as WHO project, for example. It is recommended that the the World Bank. dispersion modeling be carried out early in project preparation (e.g., as part of the feasibility References and Sources study) before the plant location and the detailed design have been finalized. Adamson, Sebron, Robin Bates, Robert Laslett, and Alberto Pototschnig. 1996. Energy Use, Air Pollution, Additional Resources: For Further and Environmental Policy in Krakow: Can Economic Information on the Models Incentives Really Help? World Bank Technical Paper 308. Washington, D.C. * USEPA (U.S. Environmental Protection Electric Power Research Institute. 1986. "Estimating the Agency). "ISC Dispersion Model User's Guide: Cost of Uncertainty in Air Quality Modeling." EA- Volumes 1 and 2. " EPA 454 / B-95-003, a, b, and 4707. Palo Alto, Calif. c. Office of Air Quality Planning and Stan- KBN Engineering and Applied Sciences, Inc. 1989. dards, Research Triangle Park, N.C. "Mae Moh Air Quality Update: Units 1-11." Pre- * USEPA. "CTDMPLUS Model User's Guide." pared for the Survey and Ecology Department of EPA 600/8-89/041. "Terrain Processor." EPA the Electricity Generating Authority of Thailand. 600/8-88/003. Office of Air Quality Planning Bangkok. and Standards, Research Triangle Park, N.C. KBN Engineering and Applied Sciences, Inc. 1990. All USEPA models are available from the EPA "Sulfur Dioxide Air Quality Impact Analysis for SCRAM bulletin board free of charge. Mae Moh: Units 1-13." Prepared for the Survey and Tel:919541-742Ecology Department of the Electricity Generating Tel: 919/541-5742 Authority of Thailand. Bangkok. e-mail: TTNBBS.RTPNC.EPA.GOV In addition all EPA models are available for a Meier, Peter, and Mohan Munasinghe. 1994. "Incorpo- fee from the National Technical Information Ser- rating Environmental Concerns into Power Sector vice(NTI), prinfiel, V. 2261.Decisionmaking: A Case Study of Sri Lanka. World viceBank Environment Paper 6. Washington, D.C. * Germany, Federal Ministry for the Environ- Scholze, R. H. 1990. "Dispersion Modeling Using Per- ment, Nature Conservation, and Nuclear sonal Computers." Atmospheric Environment 24A(8): Safety. 1992. "Manual of Ambient Air Quality 2051-57. Control in Germany" Berlin. USEPA (U.S. Environmental Protection Agency). * Germany, Federal Ministry for the Environ- 1993. "Selection Criteria for Mathematical Mod- ment, Nature Conservation, and Nuclear els Used in Exposure Assessments: Atmospheric Safety. 1992. "Air Pollution Control: Manual Dispersion Models." EPA/600/8-91/038. Wash- of Continuous Emission Monitoring." Berlin. ington, D.C. Removal of Lead from Gasoline Human exposure to lead is a major environmental health hazard, a large part of which is attributed to the use of lead in gasoline. Experience has shown that significant reduction of present and future human exposure to lead can be achieved cost-effectively by removing lead from gasoline. This chapter provides guidance on implementation of programs to phase out lead from gasoline. Impacts and Sources of Exposure to Lead Rationale of Removing Lead from Gasoline Lead is a highly toxic heavy metal that ad- Since the 1930s, alkyl-lead compounds have been versely affects the nervous, blood-forming, car- widely used to improve auto engine performance diovascular, renal, and reproductive systems. by increasing the resistance of the internal com- Of most concern are its effects on the nervous bustion engine to early ignition (measured by the system of young children-reduced intelligence, octane rating of gasoline). The use of lead addi- attention deficit, and behavioral abnormali- tives allowed car manufacturers to produce ties-and its contribution to cardiovascular larger and more powerful engines, leading to disease in adults. Such impacts occur even at rapid growth in the use and emission of lead from low levels of exposure; there is no known lower vehicular sources. Two major factors have threshold. brought about a decline in the use of lead in gaso- Human exposure to lead can be attributed to line since the 1970s: four types of sources: vehicular, when lead addi- o The introduction of catalytic converters, de- tives are used in gasoline; industrial emissions, largely from the mining, smelting, and process- sign to reduceetailpipetemiss ion of ing of lead and lead-containing metal ores; waste p ol ih requre the nrtoso disposal and processing of lead-containing sub- -nleaedogason to t he conve stances through such means as incineration; and at e ieven use of lead-containing products such as water ato eure lel ch induce ma pipes and solder, food-can solder, ceramic glazes, sure ecth leacte s paint pigment, and batteries. Many of the uses of lead (for example, in paint) have been banned Because the social benefits of phasing out lead by most countries. As a result, vehicular traffic largely outweigh the costs, policies should facili- is often the largest source of human exposure, tate the reduction of lead from gasoline in addi- accounting for as much as 90% of all atmo- tion to and beyond the demands of changing car spheric lead emissions in many urban areas. A technology. close connection has been discovered between the use of lead in gasoline and human health Worldwide Experience with Phasing Out impacts (USEPA 1985). In addition to the im- Lead from Gasoline mediate health exposures through inhalation, lead also accumulates in the soil, causing long- Phase-out of lead is in different stages around term exposure. the world. Argentina, Austria, Bermuda, Brazil, 9:1 92 IMPLEMENTING POLICIES: AIR QUALITY MANAGEMENT Canada, Colombia, Costa Rica, Denmark, El Sal- Technical Issues vador, Finland, Germany, Guatemala, Honduras, Hong Kong (China), Japan, Nicaragua, the Slo- Refinery Capacity to Produce Unleaded Gasoline vak Republic, Sweden, Thailand, and the United States, among others, have completed a total Gasoline-importing countries have greater flex- phase-out. In some countries, such as the United ibility in phasing out the use of lead in gaso- States, the phase-out was initially driven by the line than do countries where domestic oil- desire to protect catalytic converters. In others refining capacity determines the options and (for example, EU member countries), the regu- cost of adjustment. Experience shows that the lation of lead levels in gasoline preceded the modifications required in refinery processes to widespread use of catalytic converters. Brazil reduce lead may be quite modest, depending and Colombia, among others, have introduced on such factors as refinery complexity (more alternative fuels such as alcohol. Many devel- complex refineries adjust more easily), spare oping countries, however, still use alarmingly octane capacity, and the octane requirement of high concentrations of lead in gasoline and the car fleet. The additional cost of producing have not yet introduced unleaded gasoline (see unleaded gasoline rarely exceeds US$0.01- Table 1). $0.02 per liter of gasoline. The potential adverse Table 1. Worldwide Use of Lead in Gasoline Maximum allowed Market share of unleaded gasoline lead in gasoline Low (0-30) Medium (30-70) High (70-100) Low Cyprus, Greece, Ireland, Belgium, Brunei, France, Argentina, Austria, (< 0. 15 g/l) Israel, Italy, Malaysia, Hungary, Iceland, Bermuda, Brazil, Canada, Philippines, Poland, Portugal, Luxembourg, Norway, Colombia, Costa Rica, Spain, Turkey Singapore, Switzerland, Denmark, El Salvador, Taiwan (China), United Finland, Germany, Kingdom Guatemala, Honduras, Hong Kong (China), Japan, Netherlands, Nicaragua, Slovak Republic, Sweden, Thailand, United States Medium Bahrain, C6te d'lvoire, Australia, Ecuador, Mexico (0.15-0.40 g/1) Egypt, Iran, Jordan, Kenya, Laos, Mauritania, Mauritius, Namibia, Paraguay, Qatar, Russian Federation, Saudi Arabia, Sri Lanka, South Africa, United Arab Emirates, Uruguay, Vietnam High Algeria, Angola, Bangladesh, (> 0.40 g/l) Benin, Botswana, Burkina Faso, Burundi, Cameroon, Chad, China, Cuba, Ethiopia, Gabon, Ghana, India, Jamaica, Kuwait, Lebanon, Liberia, Libya, Madagascar, Malawi, Mali, New Zealand, Niger, Nigeria, Oman, Pakistan, Panama, Peru, Romania, Senegal, Syria, Venezuela, Yemen, Zimbabwe Note: Table is based on 1993-95 data; g/l, grams per liter. Source: Lovei 1996. Removal of Lead from Gasoline 93 environmental impacts of certain refinery Public Awareness-Building and Education processes should restrict the choice of technolo- gies for replacing lead. Specifically, an increase Public awareness of the rationale of phasing in the aromatic (benzene) content of gasoline out lead from gasoline plays an important role should be avoided by relying on isomeriza- in changing consumer habits and demand. tion, alkylation, and the use of oxygenates Public education should provide information such as methyl-tertiary butyl ether (MTBE) on: to replace the octane-enhancing capacity of lead. *Tehat mat fla lead.* The feasibility of using unleaded gasoline in The Impact of Unleaded Gasoline on Cars Designed various types of cars to Use Leaded Gasoline Recommended fueling practices * Recommended maintenance requirements. Besides enhancing engine performance, lead lubricates the exhaust valves. In the past, this characteristic allowed car manufacturers to use soft, low-grade metals in the engine valves. The A lead phase-out program requires the partici- lubricating function of lead has become unnec- pation of various stakeholders whose consensus essary in the new generation of cars; as most in the support and implementation of the pro- car manufacturers began using hard metals in gram is essential. National programs should be valves during the last two decades. However, designed with the participation of the main stake- a significant share of the car fleets in many de- holders including: veloping and transition economies may still - The ministries of energy, industry, transport, consist of old cars with soft valves. The reces- environment, health, and finance sion of these soft valves (especially the valve * Interest groups such as associations of car seats) caused by unleaded gasoline has been manufacturers and oil refineries seen as an obstacle to the rapid phase-out of * Consumer groups such as auto clubs lead from gasoline in many countries. Tests and * NGOs. experience show, however, that (a) this prob- lem is not as serious as is believed; (b) much Fuel Specifications lower lead concentrations than are found in most leaded gasolines still provide adequate Fuel specifications should provide clear require- protection to sensitive engines; (c) significant ments for scheduling the reduction and ultimate maintenance savings are associated with the elimination of lead use in gasoline. To avoid the switch from leaded to unleaded gasoline; and potential negative health impacts of certain re- (d) valve seat recession can be avoided by add- finery processes, fuel specifications should also ing lubricants to unleaded gasoline. limit the aromatics and benzene content of gaso- line. Policy Issues Regulations for Implementation Since the social benefits of removing lead from gasoline are large and the technical obstacles are Government regulations should facilitate the relatively easy to deal with, the key to successful cost-effective adjustment of gasoline supply to lead phase-out programs is the introduction of changing demand and requirements. In countries proper government policies. Recognition of the where a large number of refineries exist, the op- lead problem and political commitment to tackle timal timing and speed of adjustment at each re- it play a decisive role in initiating phase-out. The finery is likely to vary Incentive regulations, such main areas on which government policies should as lead trading among refineries (implemented, focus are discussed below, for example, in the United States) allow for flex- 94 IMPLEMENTING POLICIES: AIR QUALITY MANAGEMENT ibility in the timing of compliance with chang- vice, typical emissions factors of the car model, ing fuel specifications. and age of the vehicle. Price Policies Promotion and Training Gasoline prices should enable domestic refiner- Governments can accelerate the adjustment of ies to adjust. Liberalized price and market poli- markets to the wider use of unleaded gasoline cies allow refineries to generate sufficient by encouraging promotion of unleaded gasoline resources and returns to finance such adjustment. and by supporting the training of technicians and Controlled gasoline prices, however, can facili- car mechanics in the proper maintenance and tate such adjustment only if prices are set at adjustment of the various types of vehicles to least at the level of prevailing international enable use of unleaded gasoline. market prices. Gasoline price subsidies should be eliminated to encourage rapid supply-side World Bank Experience adjustment. Policies Tax Policies A tax rate that is higher for leaded than for un- old expsur e in, or em e dne leaded gasoline is justified to reflect the social Meico, T n, he Midd le, andoCetal costs of negative health impacts caused by lead. andiEan re Eidene ofsth aderse Experience has shown that differentiated taxa- health impacts of lead has led to government ac- tion which results in a 5-10% difference in favor tion to address the problem and, with the as- of unleaded gasoline prices facilitates the rapid sistance of the Bank, to design and implement adjustment of consumer habits and demand. If lead phase-out programs and supporting poli- revenue neutrality is an objective, the difference cies in a number of countries, including Bul- in tax rates will need to be adjusted over time as garia, Mexico, the Philippines, and Thailand. the market share of unleaded gasoline increases Experience in Thailand has shown that rapid during the phase-out period. lead phase-out is possible if the government sets clear deadlines, gasoline prices are liber- Environmental Policies alized, and refineries respond to market changes and regulations. The lead phase-out Air pollution causes serious health damage, es- program was severely hampered in Mexico, pecially in densely populated urban areas. Traf- where price policies and market liberalization fic is generally a large and growing contributor efforts failed to support the adjustment of re- to these pollution problems. In many cases, the fineries and of consumer behavior. requirement to install catalytic converters is jus- tified to reduce the damage. Such regulations fa- Implementation cilitate the shift in gasoline demand toward unleaded gasoline brands. The Bank has provided financial support for the restructuring of the Bangchak refinery in Thai- Import Policies land to enable the refinery to produce unleaded gasoline. The Bank's financing role has been Import regulations and customs levied on im- largely catalytic, to attract the participation of ported cars on the basis of their age and environ- commercial sources. As a result of government mental performance affect gasoline demand. policies and rapid refinery adjustment, lead was Import policies should reflect the social cost of completely phased out from gasoline by the end pollution generated by imported cars, using such of 1995 in Thailand. A similar project, in prepa- proxies as presence of an emissions control de- ration, will assist the main refinery in Bulgaria Removal of Lead from Gasoline 95 to improve its technical capacity to increase the Lovei, Magda. 1996. Phasing Out Lead from Gasoline: production of unleaded gasoline. World-Wide Experience and Policy Implications. Envi- ronment Department Paper 40. Washington, D.C.: References and Sources World Bank. Nriagu, J. 0. 1992. "The Rise and Fall of Leaded Gaso- Hertzman, Clyde. 1995. Environment and Health in Cen- line." Science of the Total Environment 92: 13-28. tral and Eastern Europe: A Report for the Environmen- tal Action Programme for Central and Eastern Europe. Octel. 1994. Worldwide Gasoline Survey 1992-1993. Lon- Washington, D.C.: World Bank. don: The Associated Octel Company Ltd. Hirshfeld, D., and J. Kolb. 1995. "Phasing Out Lead USEPA (U.S. Environmental Protection Agency). 1985. from Gasoline: Feasibility and Costs." Implement- Costs and Benefits of Reducing Lead in Gasoline: Final ing the Environmental Action Programme for Cen- Regulatory Impact Analysis. EPA-230-05-85-006. tral and Eastern Europe. World Bank, Environment Washington D.C.: Office of Policy Analysis. Department, Washington, D.C. Urban Air Quality Management Poor air quality due to pollution is a serious environmental problem in most urban areas. The greatest burden of pollution is on human health. Urban air quality management requires an integrated approach that determines which are the most serious problems; identifies the mea- sures that offer cost-effective and feasible solutions across a range of economic sectors and pollution sources, and builds a consensus among key stakeholders concerning environmental objectives, policies, implementation measures, and responsibilities. Rapid urbanization, motorization and economic domestic use of fossil fuels, especially heavy fuel growth contribute to a growing air pollution oil, biomass, and brown coal, is a significant problem in most large developing urban cen- source of ambient particulates and sulfur diox- ters. Comparative risk assessment and health ide, especially in temperate regions (e.g., in China studies have been carried out in a number of and Eastern Europe). Traffic is a large contribu- cities (e.g., Bangkok, Cairo, Mexico City, Quito, tor to both particulate and sulfur emissions in Santiago, and cities of Central and Eastern Eu- cities with frequent traffic congestion and with rope). These studies indicate that the greatest large, poorly maintained fleets of vehicles that damage to human health comes from exposure use high-sulfur diesel fuel (e.g., in Asia). In cities to fine suspended particulates-particulate where leaded gasoline is still used, traffic may matter with an aerodynamic diameter of less than contribute 80-90% of atmospheric lead concen- 10 microns (PM,o and smaller)-and to lead. trations. (Poorly controlled emissions from lead Other pollutants of concern are sulfur dioxide (SO,), to the extent it contributes to fine particu- Figure 1. Sources of Particulate Emissions lates and long-range environmental damage; in Selected Cities ozone (03), mainly in warmer, sunny locations with unfavorable topographic conditions; vola- Pre tile organic compounds (VOCs), some of which are known carcinogens; nitrogen oxides (NOx), contributors to ozone formation; and carbon 0o monoxide (CO), which is associated with global warming. Main Sources of Pollution 40 Anthropogenic air pollution originates from large stationary sources (industries, power plants, and municipal incinerators); small stationary sources (households and small commercial boilers); and 0 mobile sources (traffic); see Figure 1. Many of Power 6 Transport E Houaehold these sources are closely related to the produc- tion and consumption of energy, especially fos- sil fuels. Besides power plants and industries, Source: UNEP and WHO 1992; World Bank 1996. 96 Urban Air Quality Management 97 smelters could also be significant.) The roles of pollutants with only localized health effects, such natural and anthropogenic sources are equally as particulates. Urban planning, zoning, and important in the formation of ground-level other land use regulations can influence urban ozone. Natural sources, such as biogenic emis- air quality through microlevel decisions. How- sions from plants and trees, and traffic emissions ever, these measures are not effective for persis- are the largest sources of atmospheric VOC. Natu- tent pollutants such as heavy metals and for ral, mobile, and stationary combustion sources pollutants with significant regional and global are significant contributors to nitrogen oxide con- impacts such as sulfur dioxide and carbon diox- centrations. Motor vehicles are typically respon- ide. Opportunities for applying alternative meth- sible for the greatest part of carbon monoxide ods of emissions reduction also vary across emissions. pollution sources (Table 1). The impact of emissions on human expo- The impact of emissions from large stationary sures depends on the location and dispersion sources can be reduced by choosing a location of pollution: large stationary sources, often lo- away from populated areas; using clean fuels cated at a distance from most densely popu- such as gas and low-sulfur or low-ash coal; ap- lated city centers, disperse into higher layers of plying cleaner technologies such as fluidized-bed the atmosphere, while households and traffic combustion and low-NOX burners; improving emit near ground levels in highly populated ar- maintenance and housekeeping; and installing eas. As a result, mobile and small stationary proper end-of-pipe control technologies such as sources contribute more to ambient urban pol- electrostatic precipitators and baghouses. lutant concentrations, and the resulting health The impacts of traffic-related emissions may effects, than their share in total emissions loads be mitigated by diverting traffic away from indicates. heavily populated areas (for example, by build- ing ring roads around cities or restricting down- Options for Reducing the Harmful Impacts town traffic); converting high-use vehicles to of Pollution cleaner fuels (for example, converting buses to natural gas); improving vehicle maintenance; Measures to mitigate the negative effects of pol- increasing the share of less polluting traffic lution may focus on separating pollution sources modes; using more fuel-efficient vehicles; and and receptors, reducing the polluting activity, installing catalytic control devices. Supply-side reducing its pollution characteristics, and control- traffic management measures aimed at reducing ling emissions with filtering devices. Not all of congestion (for example, by improving road in- these alternatives are available for all pollutants. frastructure) rarely lead to significant overall Changing the location of the pollution source emissions reductions because they may simply may be an effective strategy for universally mixed increase traffic flows. Table 1. Most Effective Pollution Abatement Options at Key Sources Industry and energy Traffic Clean End- House- Clean End- Mainte- tech- of- holds: Mainte- tech- of- Location Fuels nance nology pipe Fuels Location Fuels nance nology pipe PM10 x x x x X x x x x x Lead x x x x so, x x x x x x x Vocs x x x x NOx x x x x x x x 00 x x x x Note: PM10, particulate matter 10 microns or less in aerodynamic diameter; SO2, sulfur dioxide; VOCs, volatile organic compounds; NOad, nitrogen oxides; aO, carbon monoxide. 98 IMPLEMENTING POLICIES: AIR QUALITY MANAGEMENT Emissions from households and other small Determination of priority measures with high stationary sources can be reduced most effec- benefit-cost ratios. tively through conversion to cleaner fuels. An integrated approach requires coordination Policy Approaches and Instruments and consensus building across sectors and among affected stakeholders to agree on priorities and Setting Priorities adaptable measures; agreement on acceptable Settingbenchmarks for environmental performance in Because of the many sources of emissions in an instruentstos implenttion ; and airshed, pollution abatement focused on a single tnblisment o an implementation noin sector may lead to little improvement in air qual- and enforcement mechanism cutting across sec- ity (see Box 1). Proper air quality management tors and authorities. requires an integrated approach consisting of: * Use of monitoring and modeling to establish an Guidelines and Standards emissions inventory of key pollutants and enissions sources WHO establishes guidelines for ambient pollut- * Use of dispersion modeling to determine the im- ant concentrations at which the risk of adverse pacts of the emissions on ambient concentra- health impacts is considered negligible. (For cer- tions tam pollutants with no threshold below which * Use of dose-response functions and valuation tech- there are no observable effects, WHO provides niques to estimate the impacts of the pollut- exposure-effect information, illustrating the ma- ants on human health jor health impacts of different levels of the pol- * Identification of technically feasible abatement op- lutant.) In developing countries with heavily tions and calculation of their costs polluted areas, these guidelines may serve as * Estimation of the impacts of these abatement long-term objectives; however, short-term actions alternatives on ambient air quality and human should be guided by a careful analysis of the ex- health pected benefits and costs of pollution abatement Box 1. Setting Priorities: Three Examples gible municipalities that adopted smoke-reduction regulations. The sectoral approach in SAo Paulo: tackling the Integrated analysis of alternatives for reducing "wrong" sources of pollution. Early World Bank projects emissions in Santiago. A Bank study (World Bank to abate pollution did not attempt to address pollution 1994) analyzed the costs and the impacts on ambient problems in an integrated way. The SAo Paolo Indus- air quality of several strategies for controlling pollu- trial Pollution Control Project, for example, succeeded tion in Santiago de Chile: in reducing particulate emissions from industriala sources but ignored mobile sources, which were im- Tighenigeisossadrsfrlgtdtse portant contributors to pollution. As a consequence, h eingmrsgnteisoslmisfrdee the city's ambient dust levels did not improve. seno s r ent to des An integrated approach in Slovenia. The govern- o animl t buses d m ment of Slovenia requested World Bank assistance Converging buss o nt rlar to finance the installation of flue-gas desulfurization geosr technology at a power plant to reduce ambient par- uot-r ticulate and sulfur dioxide concentrations in neighbor-o ing cities. An analysis of the main pollution sources The study found that, on an emitted-ton basis, reduc- found, however, that the principal contributor to poor tions in particulates were more than 10 times more ambient air quality was the use of low-quality coal in valuable, in terms of health benefits, than reductions households and small boilers, which could be effec- in any other pollutant. Of the control options analyzed, tively tackled by a coal-to-gas conversion program for measures to reduce emissions from fixed sources and small combustion sources. Under the Bank-financed gasoline vehicles had the highest benefit-cost ratios, Environment Project, an Air Pollution Abatement Fund followed by measures to reduce emissions from die- was established to provide loans to households in eli- sel trucks and buses. Urban Air Quality Management 99 measures. In practical terms, this leads to interim, Box 2. "Good" and "Bad" Choices of Policy achievable ambient quality objectives. The analysis of good practices for management and pollution abatement, available technologies, Fuel taxes have been effectively applied in many and the expected impacts on emissions and am- countries to increase demand for cleaner fuels. One bient concentrations can provide minimum re- of the best-known examples is the differentiated taxa- quirements for pollution abatement performance tion of gasoline according to its lead content. This (or, alternatively, maximum emissions levels) in measure has contributed to a significant increase in each sector. Requirements for pollution perfor- the market share of unleaded gasoline in a large mance at individual sources, should, however,countries. manc atindvidal ourcs, houd, oweer,Other policy instruments have been less success- take into account local conditions and may focus ful. For example, many big cities have experimented on reductions at those sources that can carry out with placing various restrictions on traffic (for ex- the reductions at the least cost. Allowing ample, according to license plate number) to reduce intersectoral and intercompany agreements air pollution from mobile sources. These programs within an airshed (the bubble concept) may be did not fulfill policyrakers' expectations of reducing a more cost-effective way of achieving the re- overall emissions. In Mexico City, for example, the quird eissons edutios tan lss lexble measures encouraged drivers to buy additional, typi- quired emissions reductions than less flexiblevehicles. Boa2pGodradoBd"Chicsefsolc Regulations and Incentive Instruments Indirect policy instruments such as product charges, taxes, and deposit-refund systems are In the past, pollution management most often best applied to small and diffuse pollution focused on the improvement of technologies and sources that cannot be monitored easily; where on the addition of end-of-pipe controls relying the use and disposal of products are closely on uniform emissions or technological standards. linked to their pollution effects; and where The limitations of this approach have directed prices can influence producer and user behav- policymnakers' attention to more flexible mea- ior. Examples are fuel taxes and deposit-refund sures that rely on improved management and systems for batteries. pollution prevention techniques, with an in- While incentive policy instruments offer po- creased focus on the complex effects of pollution tential cost savings and allow flexibility in re- from a variety of sources on ambient air quality sponding to environmental requirements, the and human exposures (see Box 2). administrative costs of such measures ma y be Incentive-based policy instruments increase high, or the feasibility of implementation may the price of pollution, encourage the search for be low, requiring direct regulation. Prohibiting cleaner operations, and influence the demand for the use of highly toxic substances (such as lead polluting activities: in gasoline) and industrial processes (such as *Direct-incentive policy instruments such as emis- mercury cell chlor-alkahi production) is a typical sions charges (or, alternatively, emissions per- example. mit trading) may be best applied to large stationary sources and to pollutants (such as References and Sources fc1ue SO2, and NO) for which the abatement oh ich m os feaibe Theres ex 1995. Taxing Bads by Taxing Goods: Pollution Control hwith Presumptive Charges. Directions in Development amples are the acid ran trading program series. Washington, D.C.: World Bank. the United States, which contributed to a sig- nificant reduction of the overall costs of reduc- OECD (Organisation for Economic Co-operation and ing sulfur dioxide emissions from large Development). 1995. Motor Vehicle Pollution: Reduc- stationary sources, and the nitrogen oxide tion Strategies beyond 2010. Paris. emission charge on large combustion plants UNEP (United Nations Environment Programme) and in Sweden. WHO (World Health Organization). 1992. Urban Air 100 IMPLEMENTING POLICIES: AIR QUALITY MANAGEMENT Pollution in Megacities of the World. Oxford: Blackwell . 1996. "Brazil: Managing Environmental Pol- Publishers. lution in the State of Rio de Janeiro." Report 15488- World Bank. 1994. "Chile: Managing Environmental BR. Washington, D.C. Problems: Economic Analysis of Selected Issues." Report 13061-CH. Washington, D.C. Water Quality Models In order to determine the impacts of a particular discharge on ambient water quality, it is usually necessary to model the diffusion and dispersion of the discharge in the relevant water body. The approach applies both to new discharges and to the upgrading of existing sources. This chapter provides guidance on models that may be applicable in the context of typical Bank projects. Mathematical models can be used to predict * The level of spatial detail. As the number of pol- changes in ambient water quality due to changes lution sources and water quality monitoring in discharges of wastewater. In Bank work, the points increase, so do the data required and models are typically used to establish priorities the size of the model. for reduction of existing wastewater discharges * The level of temporal detail. It is much easier to or to predict the impacts of a proposed new dis- predict long-term static averages than short- charge. Although a range of parameters may be term dynamic changes in water quality. Point of interest, a modeling exercise typically focuses estimates of water quality parameters are usu- on a few, such as dissolved oxygen, coliform bac- ally simpler than stochastic predictions of the teria, or nutrients. probability distributions of those parameters. Predicting the water quality impacts of a single The complexity of the water body under analysis. discharge can often be done quickly and suffi- Small lakes that "mix" completely are less ciently accurately with a simple model. Regional complex than moderate-size rivers, which are water quality planning usually requires a model less complex than large rivers, which are less with a broader geographic scale, more data, and complex than large lakes, estuaries, and coastal a more complex model structure. zones. Model Classification The level of detail required can vary tremen- dously across different management applica- Water quality models are usually classified ac- tions. At one extreme, managers may be cording to model complexity, type of receiving interested in the long-term impact of a small in- water, and the water quality parameters (dis- dustrial plant on dissolved oxygen in a small, solved oxygen, nutrients, etc.) that the model can aessed wa s pe preadshe an e predict. The more complex the model is, the more dif- by a single analyst in a month or less. At the other ficult and expensive will be its application to a extreme, if managers want to know the rate of given situation. Model complexity is a function change in heavy metal concentrations in the Black of four factors. Sea that can be expected from industrial mod- ernization in the lower Danube River, the task * The number and type of water quality indicators. will probably require many person-years of ef- In general, the more indicators that are in- fort with extremely complex models and may cluded, the more complex the model will be. cost millions of dollars. In addition, some indicators are more compli- Tor indicators of aerobic status, such as bio- cated to predict than others (see Table 1). chemical oxygen demand (BaD), dissolved oxy- 101 102 IMPLEMENTING POLICIES: WATER QUALITY MANAGEMENT Table 1. Criteria for Classification of Water Quality Models Criterion Comment Single-plant or regional focus Simpler models can usually be used for single-plant "marginal" effects. More com- plex models are needed for regional analyses. Static or dynamic Static (constant) or time-varying outputs. Stochastic or deterministic Stochastic models present outputs as probability distributions; deterministic models are point-estimates. Type of receiving water Small lakes and rivers are usually easier to model. Large lakes, estuaries, and large (river, lake, or estuary) river systems are more complex. Water quality parameters Dissolved oxygen Usually decreases as discharge increases. Used as a water quality indicator in most water quality models. Biochemical oxygen A measure of oxygen-reducing potential for waterborne discharges. Used in most demand (BOD) water quality models. Temperature Often increased by discharges, especially from electric power plants. Relatively easy to model. Ammonia nitrogen Reduces dissolved oxygen concentrations and adds nitrate to water. Can be pre- dicted by most water quality models. Algal concentration Increases with pollution, especially nitrates and phosphates. Predicted by moder- ately complex models. Coliform bacteria An indicator of contamination from sewage and animal waste Nitrates A nutrient for algal growth and a health hazard at very high concentrations in drinking water. Predicted by moderately complex models. Phosphates Nutrient for algal growth. Predicted by moderately complex models. Toxic organic compounds A wide variety of organic (carbon-based) compounds can affect aquatic life and may be directly hazardous to humans. Usually very difficult to model. Heavy metals Substances containing lead, mercury, cadmium, and other metals can cause both ecological and human health problems. Difficult to model in detail. gen, and temperature, simple, well-established reviewed below do include these materials, their models can be used to predict long-term aver- behavior in the environment is still an area of age changes in rivers, streams, and moderate-size actve research. lakes. The behavior of these models is well un- Models can cover only a limited number of derstood and has been studied more intensively pollutants. In selecting parameters for the model, than have other parameters. Basic nutrient indi- care should be taken to choose pollutants that are cators such as ammonia, nitrate, and phosphate a concern in themselves and are also representa- concentrations can also be predicted reasonably tive of the broader set of substances which can- accurately, at least for simpler water bodies such not all be modeled in detail. as rivers and moderate-size lakes. Predicting al- gae concentrations accurately is somewhat more Data Requirements difficult but is commonly done in the United States and Europe, where eutrophication has be- As one might expect, the data requirements for come a concern in the past two decades. Toxic different models increase with the complexity organic compounds and heavy metals are much and scope of application. As shown in Table 2, more problematic. Although some of the models all models require data on flows and water tem- Water Quality Models 103 Table 2. Data Requirements for Water Quality Models Data requirements Comment Water flows Needed by all water quality models. Average flows needed by simpler models; detailed, dynamic information needed for more complex models. Temperatures Average temperatures required for simple models; detailed time-series required for complex models. Dissolved oxygen Base-case concentrations required by all models predicting dissolved oxygen im- concentrations pacts of a management alternative. Biochemical oxygen Base-case concentrations and loads required by all models predicting dis- demand (BOD) solved oxygen impacts of a management alternative. Ammonia, nitrates, phosphates, Base-case concentrations and loads required by all models predicting ammonia, organic compounds, heavy nitrate, and other impacts of a management alternative. metals peratures. Static, deterministic models require project. In other cases, models are available only point estimates of these data and often use worst- as proprietary, commercial software packages. case "design flow" estimates to capture the be- The list of models in Table 3 is not intended havior of pollutants under the worst plausible to be exhaustive, and the inclusion of a model circumstances. For most management purposes, should not be viewed as an endorsement or rec- the worst case will be high summer temperatures, ommendation by the World Bank. The models which exacerbate problems with dissolved oxy- were selected because they have been applied in gen and algal growth, and low flows, which lead a wide variety of management analyses and be- to high concentrations of BOD and other pollut- cause public domain versions of the software are ants. Dynamic models will need time-series data readily available. The list should be viewed as a on flows, temperatures, and other parameters. representative sample of models that might be In addition to hydraulic data, models require applied to a particular management problem. base-case concentrations of the water quality Sources of additional information on the models parameters of interest (dissolved oxygen, mer- discussed here and on comprehensive surveys of cury, and so on). These are required both to cali- water quality modeling are given at the end of brate the models to existing conditions and to the chapter. provide a base against which to assess the effects The models shown in Table 4 vary from simple of management alternatives. The models also analytical models suitable for approximating the need discharges or loads of the pollutants under effects on water quality of individual industrial consideration from the sources (e.g., industrial plants (WQAM) to complex models that include plants) being studied. The types and amounts of a wide variety of pollutants and pollution sources data needed for a given application are specific (WASP). Of the five models, WASP is the only to the management question at hand. one that is potentially capable of handling all types of water bodies, management analyses, and Examples of Water Quality Models water quality parameters under consideration. The others may well be sufficient for a problem Table 3 contains information on five representa- where WASP's complexity is not needed. tive water quality models, using the criteria in It is extremely important to recognize that the Table 1; Table 4 contains a textual description of models or software packages only provide a each model. A large number of water quality framework for the analyses. Data specific to the models have been developed for particular wa- watershed, industrial plants, and management tersheds, project-specific analyses, and other spe- scenarios will need to be gathered on site to make cialized purposes. In many cases, models are any model operational. An economic analogue developed and used only once, for a particular might be the use of input-output analysis of a 104 IMPLEMENTING POLICIES: WATER QUALITY MANAGEMENT Table 3. Water Quality Models for Management Analyses and Receiving Water Types Management analysis WOAM QUAL2E WASP CE-QUAL-RIV1 HEC-50 Receiving waters Rivers and streams x x x x x Lakes and reservoirs x x x x Estuaries and coastal areas x x Single-plant effects x x x x x Multiplant regional effects x x x X Static x x x Dynamic x x x Deterministic x x x x x Stochastic x x x x Quality parameters Dissolved oxygen x x x x x Biochemical oxygen demand (BOD) x x x x x Temperature x x x x x Ammonia nitrogen x x x x x Coliform bacteria x x x Algal concentrations x x x x x Nitrates x x x x Phosphates x x x x Toxic organic compounds x Heavy metals x Reference Mills et al. Brown and Ambrose, Wool, USACE USACE 1985 Barnwell and Connolly 1990 1986 1987 1988 regional economy. Although the framework (in- loan to upgrade processing technology at a large put-output tables arranged by economic sector, oil refinery. The improvements are expected to etc.) is the same regardless of the region or man- decrease waterborne discharges of BOD and agement question being analyzed, the data re- phenols by 50 percent. Use of a simple model quired will be specific to the problem at hand. (WQAM) shows that this reduction will slightly To carry the analogy a bit further, both water improve downstream dissolved oxygen levels. It quality and input-output models often require also predicts that under the 10-year, 7-day de- some customization when applied to localized sign flow (the lowest flow for a 1-week period in problems. In the case of input-output models, 10 years), dissolved oxygen levels will increase particular economic sectors may be analyzed in from 2 parts per million (ppm) to 2.5 ppm. Al- more detail than others. Similarly, some water though WQAM cannot analyze phenol concen- bodies and water quality constituents will receive trations, ambient levels are already very low more attention than others, depending on the because of a high dilution by flow in the river. problem at hand. Managers then use WQAM to assess the effects The next sections give three hypothetical ex- of added end-of-pipe treatment, which would amples of applications of various models and one increase dissolved oxygen levels from 2.5 ppm actual case. to 3.0 ppm. They concluded that further improve- ments will not significantly affect water quality Hypothetical Examples because of high levels of discharge from other sources. The analysis takes i to 2 person-months, 1. Modernization of a petroleum refinery in a severely assuming that the requisite data on water flow degraded river basin and quality are readily available, and costs ap- A Latin American government has applied for a proximately US$10,000. Water Quality Models 105 Table 4. Descriptions of Selected Models Model Comment WQAM Set of methods or mathematical tools used for preliminary analysis of changes in water quality due to changes in loadings. Unlike the other examples, WQAM is not a computer model per se but a collection of simple methods and procedures. QUAL2E Steady-state model for simulating well-mixed rivers and streams. Commonly used for assessing the impact of changes in point-source discharges on water quality. Especially suited for analyz- ing the effects of nutrients on algal concentration and dissolved oxygen. Widely applied in the United States and elsewhere. WASP Flexible, compartmental modeling structure for analysis of a wide variety of pollutants in almost any type of water body. The most powerful and complex of the models discussed here, it also requires more data and expertise for successful application. Extensively applied to water qual- ity assessments in rivers and streams. CE-QUAL-RIVI Intended primarily for simulating the dynamics of highly unsteady stream flows, such as those occurring during flood events. Consists of a module for water quantity linked to one for water quality. Although the quantity module has seen numerous applications, the quality module is less widely applied than WQAM, QUAL2E, or WASP. HEC-5Q Developed primarily for analyzing water flows and water quality in reservoirs and asso- ciated downstream river reaches. It can perform detailed simulations of reservoir ope- rations, such as regulating outflows through gates and turbines, and vertical temperature gradients in reservoirs. 2. New food-processing plant in a moderately polluted and quality are readily available, and costs coastal estuary approximately US$100,000. A new vegetable-canning plant is planned for a moderately polluted tropical estuary. Use of 3. Regional water quality enhancement plan for a a simple model (WQAM) shows that the mill's moderate-size river basin discharges may have a significant effect on the A Central European government has received a estuary's dissolved oxygen and nutrient lev- loan to perform long-term investment planning els. If the plant is brought on line, dissolved for industrial and municipal sewage treatment oxygen would decrease from 4.5 ppm to 3 ppm, for a river basin of 20,000 square kilometers. The which could cause problems for aquatic life. basin contains approximately 100 point sources, Phosphorus concentrations could increase from one quarter of which are industrial treatment 0.5 ppm to 2.0 ppm, which, according to local plants. Increased user fees are expected to pay experts, could lead to algal blooms and affect for primary sewage treatment for all municipali- the local fishery. Next, a more complex model ties within 10 years. In addition, increases in (WASP) is used to obtain a more detailed as- emissions fees should induce all industrial sessment, and it too shows effects that are sources to install and operate primary sewage deemed unacceptable. Since the plant is new treatment plants within the same time frame. The and is projected to have state-of-the-art pollu- central government has agreed that it will finance tion abatement equipment in place, it is found more advanced treatment facilities for a subset to be more cost-effective to improve water qual- of municipalities out of general revenues. In ad- ity by upgrading a nearby municipal sewage dition, it will use the emissions fees levied on treatment plant. Projected discharge reductions industrial dischargers to finance advanced treat- in the municipal plant are found to give accept- ment works for some sources. Because of a short- able water quality when analyzed with WASP. age of investment capital, the government wishes The analysis takes 10 to 12 person-months, as- to get as much improvement in water quality per suming that the requisite data on water flow amount invested as possible. 106 IMPLEMENTING POLICIES: WATER QUALITY MANAGEMENT The government has decided to focus its wa- standards would cost about US$65 million; dis- ter quality control efforts on dissolved oxygen solved oxygen levels would be about 7mg/i, and and nutrients. It plans to tackle toxic pollutants nutrient levels in the river would also be reduced. (a problem in some heavily industrialized areas) Despite some uncertainty in the results because at a later date, when the economy is projected to of data shortcomings, the study concluded that improve. A survey of existing water quality data the results "strongly suggest that substantial cost shows that dissolved oxygen is especially prob- savings are possible using a least-cost control lematic downstream from two major cities and policy." that nutrient concentrations are of particular con- cern just below an industrial complex. Because Management Objectives and Applications of the large number of pollution sources, a simple approach using WQAM is rejected, but a model A point often overlooked in the real-world ap- as complex as WASP is thought to be too expen- plication of water quality models is that they are sive to calibrate and run for such a large area. a means of achieving a set of management objec- In any case, since the government is formulat- tives, not an end in themselves. In many cases, it ing a long-term investment plan, it believes that may not be necessary to use a water quality the dynamic information provided by WASP model at all, even when it is known in advance or HEC-5Q is not required. Therefore, the gov- that a project will affect water quality. Suppose ernment plans to use QUAL2E to project the that in hypothetical example 1 the local water effects on water quality of different investment quality was acceptable to local environmental strategies. authorities prior to upgrading the plant. Given QUAL2E can assess whether a particular com- that the plant upgrade will reduce discharges and bination of treatment plants will meet a set of so improve water quality, there is no need for water quality goals. In addition to a water qual- model results that will assess the projected wa- ity model, a simple optimization model will also ter quality improvement. To deal with the prob- be required to assess which combination will lem at hand, it may be enough to know that water meet the goals at least cost. The government de- quality will not become worse. cides on a simple spreadsheet model with a com- It should also be kept in mind that the moti- mercial optimization add-on. The results show vations of project managers and those of water that significant savings can be achieved, in quality modelers may not be in concert. If envi- comparison with a strategy that requires all ronmental regulations focus on long-term aver- plants to have the same level of treatment. As- ages for dissolved oxygen and BOD, there may suming that the requisite data on water flow be little, if any, need for advanced water qual- and quality are readily available, the analysis ity modeling that can predict concentrations of takes 100 to 150 person-months and costs ap- heavy metals and toxic organic compounds. proximately US$1,000,000. Water quality analysts, however, may be inter- ested in performing complex analyses on met- A Real-Life Example: The Nitra River als and organic compounds because of the technical challenge. An example demonstrating the savings that can Managers should remember that the accuracy be identified by a modeling exercise is a study of of model projections is severely constrained by the Nitra River, a tributary of the Danube River. the quality and quantity of the available data Current dissolved oxygen levels could be raised used to calibrate and test the models. The hypo- to a minimum of 4 milligrams per liter (mg/1), at thetical examples given above explicitly assume a cost of about US$13 million, by using a mix of that these data are readily available, but this will treatment systems for the major different dis- often not be the case in practice. Although data charges. To raise this value to a minimum of 6 on water quantity are often collected for larger mg/i would cost about US$26 million, with water bodies, water quality information may be higher treatment requirements for most of the collected sporadically or not at all. This is espe- discharges. To bring all the discharges up to EU cially true of information on algae and other bio- Water Quality Models 107 logical indicators, heavy metals, and toxic organic Orlob (1982) are standard texts on the principles compounds, since scientific interest in these data of water quality modeling. is relatively new. Lack of data can create three problems. First, References and Sources a model cannot be calibrated and tested until a monitoring system has been designed and oper- Ambrose, R. B., T. A. Wool, and J. P. Connolly. 1988. ated for a considerable length of time. Second, "WASP4, A Hydrodynamic and Water Quality water sample collection and analysis may be con- Model. PA/600/3-87/039. U.S. Environmental siderably more expensive than the modeling ef- Protection Agency, Environmental Research Labo- fort that it is designed to support. Finally, design ratory, Athens, Ga. of a monitoring system may fall prey to the same Brown, L. C., and T. 0. Barnwell. 1987. "The Enhanced types of problems that can affect water quality Stream Water Quality Models QUAL-2E and modeling, including a lack of clear connections QUAL2E-UNCAS: Documentation and User to management objectives and a tendency to ex- Manual." EPA/600/3-87/007. U.S. Environmental cessive complexity. Protection Agency, Environmental Research Labo- Models are only an abstraction from the real- ratory, Athens, Ga. ity of a situation, and the improper use or misin- Mills, W. B., et a]. 1985. "Water QualityAssessment: A terpretation of outputs from a model can lead to Screening Procedure for Toxic and Conventional imprecise or incorrect results. Any conclusions Pollutants in Surface and Ground Water-Parts I reached on the basis of a model should therefore and Il." EPA/600/6-85-002 a, b. U.S. Environmen- always be checked for realism and common tal Protection Agency Environmental Research alwas Laboratory, Athens, Ga. sense. In summary, managers should be cautious Novotny, Vladimir, and Andrea Capodagio. 1995. about underwriting the development and ap- "Use of Water Quality Models." In Vladimir plication of water quality models. They should Novotny and LAsz16 Somlyody, eds., Remediatin be clear about their management goals, and and Management of Degraded River Basins: With Em- model application should support those goals. phasis on Central and Eastern Europe. NATO (North Atlantic Treaty Organization) ASI Series. Berlin: In some settings, models may not be needed at Springer-Verlag. all, while in others, simple models may suffice. Any model will require a substantial amount of Orlob, Gerald T., ed. 1982. Mathematical Modeling of Wa- supporting data, which may not be immediately ter Quality Chichester, U.K.: Wiley Interscience/ In- available. temational Institute for Applied Systems Analysis. Thomann, Robert V., and John A. Mueller. 1987. Prin- Sources of Additional Information ciples of Surface Water Quality Modeling and Control. New York: Harper and Row. Although many textbooks and journal articles USACE (U.S. Army Corps of Engineers). 1986. "HEC- have surveyed water quality model development 5 Simulation of Flood Control and Conservation and application, most surveys are not readily Systems, Appendix on Water Quality Analysis." accessible to nonspecialists. Among the less tech- USACE Hydrologic Engineering Center. nically oriented materials available, Wurbs (1995) USACE. 1990. "CE-QUAL-RIVI: A Dynamic, One- provides an up-to-date survey of modeling tech- Dimensional (Longitudinal) Water Quality Model niques for water management, covering both for Streams. Instruction Report E-90-1. U.S. quality and quantity, and contains a useful guide Army Engineer Waterway Experiment Station to software packages. Novotny and Capodaglio Vicksburg, Miss. (1995) provide a survey of the concepts used in Wurbs, Ralph A. 1995. Water Management Models: A water quality modeling and an overview of avail- Guide to Software. Englewood Cliffs, N.J.: Prentice- able models. Thomann and Mueller (1987) and Hall. Integrated Wastewater Management Appropriate wastewater management within an overall water resources management pro- gram is essential for responsible use of the environment and affordable provision of services. Such management programs are best developed at a river basin or subcatchment level. An approach is outlined for developing a wastewater strategy and an implementation plan for a river basin. Integrated Management been neglected because of perceived adminis- trative or political problems. The World Bank promotes a systematic approach Failure of investment projects to achieve the to water resources management, incorporating design goals is often blamed on lack of institu- water resources planning and management is- tional capacity or on financial weaknesses. A fre- sues into policy discussions at the national level. quent cause, however, may be an insistence on Water quality protection and appropriate waste- inappropriate technologies and a failure to take water management are two essential elements in into account the socioeconomic circumstances in an integrated scheme. which the plant must operate. The overall goal of water quality management is to protect the resource. Formal management Basic Principles normally becomes necessary when there are in- creasing and competing demands on the resource In order to protect the quality of a water body, it and when uncontrolled access or certain uses are is necessary to address the problems on at least likely to cause (or have already caused) unaccept- the same scale as the water body itself, whether able deterioration in water quality. The develop- a lake, a river, or a coastal ecosystem. A focus on ment of a realistic and practical management individual discharges without an understanding plan requires discussion, consultation, and ne- of the broader context is likely to lead to ineffi- gotiation, involving not just government and mu- cient and often costly interventions. Comprehen- nicipal agencies but also industrialists, local communities, NGOs, and representatives of sewater management ofpwhich nonpoint sources such as agriculture and trans- steae m ngement is oncpoent port. In many cases, the plan should be regarded as a process rather than a single document or * Water can be considered an economic good. agreement. (This is a basic principle of the World Bank's There are, unfortunately, numerous ex- water resources policy; see World Bank 1993.) amples worldwide of poor wastewater plan- * Water management must recognize the social ning and management-of poorly targeted aspects of water uses and therefore must in- government investments that addressed low- volve the stakeholders at all levels. priority problems or tackled problems piece- e Maintenance of ecosystems is a legitimate goal meal and ineffectively. As a consequence, of water management. predicted benefits were not achieved, funds * The institutional framework and legal frame- were diverted from other possible investments, work must be as broad as the physical water and more cost-effective measures may have system. 108 Integrated Wastewater Management 109 Wastewater Management Approaches eral subsidies provided much of the capital in- vestment in municipal wastewater treatment.) A wide variety of wastewater management ap- Earlier legislation had established a system un- proaches are practiced throughout the world but der which states set water quality standards for they can be classified into three broad categories: different bodies of water and then set limits on Decentralized local action discharges at loads consistent with the quality Coordinatedstandards. This approach was found to be un- Coiorinatrgional ationsstms workable, primarily because of the difficulties of Uniform national standards systems.apportioning total allowable loads among dis- The first is essentially the project-by-project chargers and of determining responsibility for approach, driven by individual initiatives. While breaches of water quality standards. The EU has it may solve local problems, it is often inefficient adopted uniform wastewater treatment require- and is not capable of dealing with widespread ments without regard to local conditions, except problems or large systems. It is typically the for imposition of stricter requirements in "sensi- first stage of development in wastewater con- tive areas." As the cost of implementing this trol but cannot be considered a desirable long- policy-never seriously considered during term approach. preparation of the legislation-become clearer, The second approach appears to be the most opposition to the high charges and state subsi- attractive, in principle, because it can lead to com- dies required to finance the required works is prehensive, cost-effective programs. However, increasing. The practical consequence of the high although a regional or river basin approach is costs is delay in compliance with the require- used in a number of European countries, it is by ments. no means the norm in the industrial world. The uniform national standards approach is River Basin Approaches the system currently used in the United States and was essentially the model underlying the EU The EU approach is, in fact, a departure from the approach. (Recent legislation, however, is mov- river basin approach that was widely used in ing toward an approach that allows more basin- national systems in Western Europe. Germany, level flexibility.) The national standards approach France, Spain, and the United Kingdom all have has the advantages of simplicity and uniformity river basin authorities of one kind or another. All of application. have systems of fees and charges that provide In broad terms, the existing models that should financing, to a greater or lesser degree, for waste- be considered by developing countries are the water investments. Those systems are now uniform standards approach and the river basin changing to come into compliance with EU re- approach. quirements. Nevertheless, they still have some flexibility within their own areas of authority. Uniform Standards Approach Such flexibility to set appropriate local stan- dards within some national framework pro- The standards-based approach is currently used vides the possibility of setting priorities and in both the United States and the EU countries, realistic targets consistent with available re- but there are concerns in both areas about high sources. However, the implementation of a river costs, and questions have been raised concern- basin approach requires a level of institutional ing the efficiency of the overall system in meet- sophistication that may take time to develop. ing water quality goals. Therefore, practical systems are often a mixture The uniform standards system used in the of basin management and standards. United States since 1972 has achieved significant In practice, a combined approach may be best, improvements in levels of wastewater treatment using both control of pollution at source through but at a cost higher than for alternative ap- emissions limits and environmental quality stan- proaches. (It is noteworthy that, for a decade, fed- dards for individual pollutants. 110 IMPLEMENTING POLICIES: WATER QUALITY MANAGEMENT Options for Developing Countries Lead Organization Many developing countries have established For progress to be made, there must be general uniform national discharge standards, but these acceptance of the importance of the problem, and are often ignored. Whatever may be the chosen there must be an organization or agency that long-term system for a country, in most cases lack takes the lead in the process. Ideally, this would of financial and institutional resources will im- be an existing river basin agency, but in practice, pose a cost-minimizing, priority-setting approach the problems may have arisen because there is in the short to medium term, and this must be no such body. carried out on a water body basis. The lead organization must have access to all the relevant ministries and agencies and must Practical Framework have enough influence to ensure the involvement of key private sector stakeholders. It must also In many developing countries, inadequate waste- be sufficiently persuasive to promote discussion water control and rapidly growing populations and consensus among the many parties involved. have led to deterioration of natural water sys- It does not have to have all the powers and func- tems, public health impacts, and increased eco- tions necessary for implementation, and in fact nomic costs, as well as broader losses of it may be better for it to be given only technical environmental benefits. The development of a so- and coordination functions, as this will reduce lution requires numerous decisions on the area concern that it is driving a particular agenda. to be served, the technology to be used, the loca- However, it must have sufficient support at all tion and standard of discharge, and the alloca- government levels and with other stakeholders tion of the cost burden. Solutions must be sought so that all the relevant bodies cooperate in the on the same scale as the problems, typically on planning process and are held to the agreements the scale of a river basin or a lake catchment. reached. Although it would be desirable to have a fully objective method for comparing and ranking al- Goals ternative upgrading programs, there are difficul- ties in valuing the environmental impacts of Broad agreement must be reached on the overall wastewater discharges. More important, perhaps, goals of a water resources strategy or of a waste- the distribution of costs and benefits will vary water management program. These goals can with different programs, and a process approach include social concerns (improving public health is required to reach a consensus among the par- conditions or extending services to groups that ties involved. are presently outside the system); economic is- The framework suggested here is a practical sues such as reducing costs of water supply, pro- approach that quantifies the issues wherever tecting fisheries, or encouraging development; possible but allows for identification of alterna- and environmental goals such as protecting or tives, followed by discussion and selection of a preferred option. Because no approach will be restige osytems. perfect, there must be mechanisms for monitor- conflict to some extent. None can be given abso- ing, review, and adjustment over time. lute priority over the others. The aim of planning The key steps are to: is to find the strategy that allows significant * Establish a lead organization and involve progress toward achievement of all the goals. stakeholders * Identify broad goals Measurable Objectives * Define specific, measurable objectives * Formulate and assess possible strategies The agreed goals must be translated into specific, * Select the preferred strategy, and then imple- measurable objectives so that different strategies ment and monitor it. can be developed and assessed. This is an itera- Integrated Wastewater Management 111 tive process that may also include staging the as dissolved oxygen levels and nutrients (see objectives to reach a realistic program. the Annex). Depending on the scope of the planning pro- Given an agreed classification, an initial step cess, the objectives could include coverage of is usually to map the basin into classes or uses municipal services, specific levels of service for based on estimates of current water quality. water and sanitation customers, protection and From this baseline, the broad goals can be provision of treated water, and the like. For the translated into desired beneficial uses for all purposes of this discussion, however, the focus the waters of the basin. The key point of de- is on water quality objectives. bate will be the realistic long-term achievement of high-level uses for areas that are now very Water Quality Objectives polluted. (The return of salmon to the formerly very heavily polluted Thames River in London Management of water quality should focus on is often quoted as an example of what can be the ambient state of the water. Typically, the first achieved with consistent effort over a long pe- step is to develop water quality objectives nod.) Once a first set of quantified goals has (WQOs) that define target values for key ambi- been prepared, the critical step is to develop ent quality parameters. These numerical WQOs an improvement strategy that specifies the can then be used to evaluate existing conditions; costs of and constraints on achieving the goals. as a basis for the establishment of load limits for This should be the beginning of an iterative inputs to the water body (if this approach is process aimed at reaching agreement on short- adopted); and as a yardstick against which to to medium-term goals that can be achieved measure changes over time. with the resources to be made available. The concept underlying WQOs is that of the beneficial uses of the water body (be it a river, Strategy Formulation lake, coastal zone, or whatever.) These uses rep- resent the ways in which the community would A management strategy is a set of decisions, poli- like to make use of the water body. They include cies, regulations, infrastructure investments, and ecological uses such as preservation of species in other activities that, if implemented, is expected the wild and fish breeding, as well as more di- to reach the selected goals. A wastewater man- rect uses such as drinking water. The clearest ex- agement strategy would typically include con- ample of such uses is the goal set down in U.S. trols on industrial and nonpoint sources legislation of making surface waters "fishable (including standards, charges, and other instru- and swimmable." In practice, most systems adopt ments), development of reuse, redefinition of four to six main uses for which clear numerical municipal sewer catchment boundaries, up- parameters can be agreed on. graded treatment, relocation of discharge points, A typical set of uses (in more or less descend- changes in regulated water flows, and a range of ing order of water quality) would be: other actions. * Source of potable water Strategy formulation should include the * Maintenance of fishery ecosystems preparation of a number of dissimilar options " Agicuturl uss (rriatin an liestck) that are all relatively cost-effective but that may * Agricultural uses (irrigationa depend on nonquantifiable factors such as the * Amenity and conservationdegree of industrial discharge realistically attain- These uses are sometimes also presented as able within the time frame or given different dis- a classification, with Class I (potable water, in tributions of the cost burden through taxes and this example) typically having the highest stan- charges. A key variable will be the rate of progress dards and with the lowest category represent- that can be achieved at different levels of resource ing those waters that fail to meet even the availability All reasonable configurations of tech- lowest of the desired uses. For each of these nologies, regulations, and system components classes, a set of basic numerical parameters can should be included, with realistic costs assigned be defined, often focusing on key factors such to each configuration. 112 IMPLEMENTING POLICIES: WATER QUALITY MANAGEMENT The stakeholders need to be involved both in advisory group can be a good mechanism for the determination of the options to be analyzed providing such reviews. in detail and in the selection of the preferred strat- egy. (Documents available from the World Bank Resources Group offer advice on public involvement in en- vironmental assessment and similar projects.) The preparation of a comprehensive river basin The development of the strategy should involve, where necessary, the examination of existing in- stregy canerequire fica tand re stitutions, regulations, and fiscal constraints to source Hor thei sp-actnesof determine the benefits and costs of possible ten f a comprhenienpproah, di changes in these constraints. Achievement of sig- na oaleadeagency,rad idniion of nificant progress may require changes in some bragol-euebedtofvsnadp- nifiantprores ma reqirechagesin ome litical commitment more than financial resources. of the existing systems. The arguments for such The level of detail in the analytical work re- changes must be made clearly and persuasively The outcome of the process should be the se- qie teie the ote a omevaluate lection of a preferred strategy that is acceptable e strai w nd o n te comexityeof to all the key stakeholders and that sets out the river b sin doits lms nsom ases clearly the actions to be taken, the resources re- a s odues timate la fom quired, and the legal and administrative respon- plex water bodies the exercise can cost hundreds sibilitiesof thousands of dollars. (For further information Implementation see the chapters on Water Quality Models and Optimizing Wastewater Treatment.) The agreed strategy should include an implemen-or tation schedule covering not only the adoption of standards, regulations, and policies and the however, that the analytical work be used a tool construction of new facilities but also the gen- for the development of the strategy rather than eration of long-term political and financial sup- port for the operation and maintenance of the old Annex. Some Examples of Classification and new systems. Systems Monitoring Chile has a national system of classification of The design of the strategy must include the ca- waters that covers surface water, groundwater, pability to monitor its implementation. Monitor- and coastal waters. Surface waters are generally ing should cover the progress of both the divided into three categories: implementation of the agreed strategy and im- * 1C. Noncontact recreation; propagation and provements in the overall condition of the envi- maintenance of aquatic life; fishing; agricul- ronment as the strategy is put in place. A tureandanyotherusesnotgivenahigherclas- successful monitoring program requires time, sification money, and appropriate expertise. The location * lB. Contact recreation and all uses under 1C of the responsibility for monitoring has to be * 1A. Source of water for drinking, cooking, food given careful consideration so as to achieve an processing and all uses under 1B. independent review while taking advantage of existing operational expertise. The strategy should include formal reviews of 9 1EB. Uses beyond lA-water for which an ex- progress as implementation proceeds, to allow ceptionally high quality is desired for adjustment in response to changing circum- * 1EM. Uses below IC, describing waters that stances or improved information. A high-level fail to reach the basic classification. Integrated Wastewater Management 113 Poland generally uses three classes for surface oxygen, and nutrients are used to define the water: classes. The values used are broadly similar but * III. Industrial water supply and irrigation can vary. Care must be taken in making compan- * II. Water for animals, recreation, and water sons, particularly in relation to the conditions un- sports der which the parameters are measured. For * I. Potable water and support of salmonoid example, in Poland, the parameters are set in rela- fishes. tion to mean-low flows, rather than average flows. China has a similar classification but with five Reference classes. In each case, a number of key parameters such World Bank. 1993. Water Resources Management. World as biochemical oxygen demand (BOD), dissolved Bank Policy Paper. Washington, D.C. Optimizing Wastewater Treatment Growing volumes of industrial and municipal wastewater are being discharged to surface waters. The treatment provided is frequently inadequate to protect the desired uses of the re- ceiving waters. Limited institutional capacity and financial resources make for difficult choices as governments try to optimize their investments in municipal systems and establish practical requirements for industrial wastewater treatment. This chapter presents aframework for mak- ing coherent decisions on the level of wastewater treatment. In many urban situations, both the municipal Efficient and cost-effective achievement of all sewage system and industrial wastewater treat- these goals within the relevant social and po- ment are inadequate. A municipal sewage net- litical constraints. work may be in place, but coverage is usually incomplete, and the level of treatment provided Public and Private Involvement is inadequate. Even where reasonable treatment facilities exist, poor maintenance and operation The basic responsibility for municipal sewage lies often result in failure to meet design effluent lev- with the government (at the appropriate level, els. In such circumstances, management of indus- preferably local). Industrial wastewater treat- trial wastewater discharges is also frequently poor, with uncontrolled discharges of untreated entis futamentathe responbi n ot effluent to surface waters (through often drain- ene t acti e hasltoge rive by age or stormwater channels) or to the sewer sys- ernment to th e ange forthe gnv tem. The result is high levels of water pollution. instruments available to achieve the objectives It is not uncommon for streams or water bodies outlined above, combining physical and opera- to be almost or completely anaerobic and heavily tional improvements in the municipal infrastruc- polluted with organic compounds, pathogens, ture with the controls and incentives necessary and heavy metals. to induce improvements in the industrial sector. This chapter focuses on the management of in- dustrial wastewater within this broader context. There are several objectives that must be ad- Focus on Water Bodies dressed in such a situation: P The collection and removal of domestic and From the environmental (as distinguished from municipal wastewater to protect public health the sanitation) point of view, the focus must be and to improve the immediate environment on the receiving water bodies. The problems are (particularly important where inadequate dis- typically diffuse, with hundreds or thousands of posal is resulting in groundwater pollution) small discharges and with the problems concen- g The establishment of an effective industrial trated to some extent where particularly polluted pollution control system to reduce the loads streams or poorly treated effluents discharge to and impacts of industrial discharges major water bodies. Upgrading or extension of * Provision of municipal and industrial treat- the wastewater collection system may reduce this ment as necessary to protect the environment diffuse pollution but may produce major point at the points of final discharge discharges that must receive adequate treatment. 114 Optimizing Wastewater Treatment 115 A wastewater strategy must therefore be based Determination of the Reductions Necessary on a water quality plan for all the receiving wa- ters in the catchment, usually on the basis of Once load estimates are available, it is possible water quality objectives, to determine the reductions in present and fu- ture loads needed to achieve the water quality Water Quality Objectives objectives. In simple cases, a mass balance may suffice, but often it will be necessary to carry out It is necessary to have explicit medium- to long- water quality modeling (see the chapter on Wa- term objectives for the quality of water in the ter Quality Models). various water bodies in the catchment under The objective of the modeling is to estimate consideration. These objectives are often based the impacts of the increasing loads on water qual- on defined beneficial uses for the water bod- ity and to identify where load reductions are re- ies, typically including about a half dozen uses quired in order to achieve the water quality such as source of water supply, agricultural use, objectives. The sophistication required in the fisheries protection, and so on. A set of key nu- modeling will depend on conditions. In some merical parameters can be defined for each use, cases, a simple one-dimensional model of oxy- and the water quality objectives can be devel- gen depletion will be acceptable; in other cases, oped in terms of uses for different sections of complex models will have to be developed to the water bodies and a strategy for achieving address water circulation and the degradation those standards. (See the related chapter on and interaction of several pollutants. Integrated Wastewater Management.) The ob- jectives then provide clearly defined goals for Development of Options for Load Reduction protection or improvement of each section of the system. After the desired degree of reduction in pollut- ant loads has been estimated, the next step is to Development of the Strategy develop options for achieving that reduction. If the most significant pollutants are those associ- Load Estimation ated with industrial effluents-for example, com- plex organic compounds or heavy metals-the The first step in developing a wastewater strat- control efforts will clearly be concentrated on the egy is to estimate the overall loads in the catch- industrial discharges. Often, however, oxygen ment over the time scale being considered, which depletion and nutrients are the critical issues, and is typically about 20 years. This will require, in the causes are typically a mixture of municipal addition to information on population growth and industrial sources. Then it is necessary to and densities, estimates of industrial activity and control both types of sources. of projected changes in industrial and popula- The costs of cleaning up a major industrial- tion patterns. ized urban area can be massive. The estimated In some cases, direct observations of industrial costs of water pollution control in Shanghai in pollution loads are available, but more often, es- 1986 were US$1.4 billion. Preliminary estimates timates are based on statistical information on show that the Buenos Aires sewerage authority economic activity (sectors, employment, turn- faces an investment program of nearly US$1 bil- over, and so on), using various coefficients for lion over the next decade. Clearly, such programs the unit loads of pollution. Overall planning re- require decades for implementation, making it quires estimates of both domestic and industrial important to tackle them in an organized and loads on a geographic basis and over the time cost-effective manner. period under consideration. The estimates need to be developed for key parameters such as sus- Components of an Urban pended solids, oxygen demand, nutrients, or- Wastewater Program ganic materials, and heavy metals, depending on the particular characteristics of the catchment and An urban wastewater program comprises several receiving waters. distinct but interlocking components. Municipal 116 IMPLEMENTING POLICIES: WATER QUALITY MANAGEMENT system improvement is almost always a central systems can achieve high levels of removal of feature, but the emphasis given to the industrial organic material and of suspended solids. The wastewater control component depends greatly advanced systems can also remove nutrients to on the extent of the industrial contribution to the a high degree. overall problem, the types and sizes of industries Municipal systems do not cope well with high involved, and the costs of enforcement and imple- concentrations of complex organic chemicals mentation. In some cases, or for some pollutants, such as solvents and hydrocarbons or of heavy small or nonpoint sources may be a significant metals. The removal efficiencies are low, and bio- problem, and one that is typically difficult to logical treatment systems can be poisoned if in- tackle. coming levels are too high. Other wastewater treatment processes that can be tailored to deal Municipal System Upgrading with such industrial effluents are available. Be- cause of the limitations of municipal systems, and There are normally two imperatives behind mu- to protect the physical infrastructure and work- nicipal system upgrading: ers, it is normal practice to require pretreatment * Expansion of the coverage and quality of sew- sw sstee erage provision * Reduction of the impacts of final disposal of Control of Industrial Effluents treatment plant effluents. Detailed treatment of expansion of the cover- Treatment systems for industrial effluents can be age of the service is beyond the scope of this chap- designed to provide any required level of pollut- ter. It should be noted, however, that because ant removal, although at increasing cost and of limited funds, sewerage authorities often sometimes with a resultant wastewater treatment have to make tradeoffs between expanded cov- sludge that presents its own disposal problems. erage and higher levels of treatment, with con- Where effluent treatment costs are high, waste sequent implications for the quality of the minimizationprogramsbecomeveryworthwhile. receiving water. The degree of industrial effluent treatment re- The impacts of final disposal depend, obvi- quired is established, in theory at least, in rela- ously, on the discharge location. In many cases, tion to relevant ambient quality or effluent an existing system configuration more or less lim- standards. In practice, control of industrial efflu- its the choice of the discharge site, and therefore ents is frequently poor, and industry may be a the emphasis is on improving the level of treat- major contributor to the overall pollution load. ment provided. Where practical controls exist, industry is typi- cally faced with two choices: direct discharge to Levels of Treatment surface waters (licensed groundwater discharge is rare), or discharge to the sewer system, if one Municipal wastewater systems are normally de- is available. Effluent standards will apply to both signed to treat influents that are essentially do- options. Sewer regulations will require pretreat- mestic in nature. Such systems are ineffective in ment to remove toxic substances, but effluents removing some industrial pollutants and may that can be treated by normal municipal systems even be damaged by them. will be accepted, at a charge. Direct discharge Design of municipal wastewater treatment is standards will depend on the character and ob- a sophisticated operation. In general terms, how- jectives of the receiving water but would nor- ever, there are three major types of process, in mally be expected to be more stringent than ascending order of removal effectiveness (and sewer standards. cost): physical, sometimes assisted by chemi- Because of economies of scale, sewer discharge cals; biological; and "advanced," which includes of simple wastes such as BOD is often cheaper further chemical or biological stages, filtra- than industrial onsite treatment. However, tion, or combinations of these methods. These there are often problems with the capacity of the Optimizing Wastewater Treatment 117 municipal treatment system and with imple- and to reduce uncontrolled discharges to la- menting correct charging procedures, and so this cal watercourses and groundwater option may not always be available. * Upgrading of municipal treatment systems to re- Clearly, where regulations are inadequate or duce the impacts of the effluent discharges on enforcement is lax, there is a financial incentive the receiving waters for industry to avoid treating the effluents. - Introduction of a system to identify and regu- late discharges from industry Optimizing the Program a Reduction of current industrial pollution loads through recycling, improved waste manage- Once the basic information on water quality, ment, onsite treatment, or connection to sewer municipal and industrial loads and trends, and systems estimated control costs is available, it is possible * Adequate provision of sewerage and treatment to begin to optimize a wastewater management for new urban development program. e Effective control of effluent discharges from A key decision variable is the time scale over projected new industrial development which the required upgrading is to be imple- - Development of programs to quantify and mented. The costs of major treatment systems are tackle nonpoint sources of pollution, including so high that upgrading almost always has to be combined sewer overflows. staged. Moreover, high urban growth rates mean Both the overall costs of these components and that significant investment is often required just the distribution of costs must be taken into account to maintain present levels of service to the grow- in arriving at an estimate of the most cost-effective ing population. Implementation of effective in- dustrial pollution control programs takes time, instmet for a n WO In ffect,e and a realistic approach to projecting load reduc- marinalct curvemn lodf the tions must be adopted. are always many uncertainties in the estimates. An iterative planning process is therefore re- Two practical problems have to be resolved in quired that examines a number of options for the preparing realistic options: the actual costs of scale and rate of wastewater treatment improve- ment, balancing the costs of the program against pat removal o ea en andth the time needed to achieve the water quality ob- jectives. This process should involve an appro- Unit Costs of Pollutant Reduction priate level of public discussion so that a practical program can be developed that will have the broad public and political support necessary for a f th e cot otled a edwiha implementation.and the distribution of the burden of the costs Benefits and Costs will usually be different. For example, for BOD, which is usually one of the main parameters, the A set of agreed water quality objectives (WQOs) following general conclusions can be drawn. that has been adopted by the government can be ca sewer systems can greatly reduce lo- taken as reflecting the value of improving theloads at receiving water quality, assuming that it is basedatment plant. It is reasonable and realistic on evaluation of the economic benefits of the g improved uses of the water resources and on the component of sewerage, since it provides direct outcome of a public priority-setting process. benefits to households. Thus, it should be pos- The ajo coponntsof awasewaer an- sible to cover investment costs out of increased The major components of a wastewater man- agement plan, which typically compete for in- revenue. vestment funds, are: Upgrading municipal treatment addresses what vestmnt fnds,are:is often the single largest point source of BOD in * Upgrading of sewer systems in existing urban a system, and the costs of removal can be calcu- areas to remove pollution from neighborhoods lated quite accurately. Sludge handling and dis- 118 IMPLEMENTING POLICIES: WATER QUALITY MANAGEMENT posal costs can be a significant element and must ments. The costs should be borne by the users. be included in the estimates. BOD removal nor- In practice, however, fringe developments are mally entails increasing marginal costs in mov- often expensive to service and are occupied by ing from primary to secondary systems and on poorer (often illegal) households. Projections of to advanced systems. The costs of treatment development should therefore include realistic should, in principle, be borne by the system us- estimates of the extent and net cost of control of ers (the polluters pay). It is often politically diffi- expanding urban areas. cult, however, to raise surcharges enough to cover New industrial development presents a much the higher treatment levels because the users do easier task in enforcing effluent standards than not see the benefits directly. In many projects, does retrofitting older plants. The net cost of con- some component of the treatment costs is borne trolling new pollution loads can therefore be ex- directly by the government. pected to be less. In this context, it is important, Introducing industrial pollution controls is used in setting water quality objectives, to take into to achieve reductions in industrial effluent dis- account the growth of urban and industrial ac- charges. To do this, a regulatory and permitting tivity so that realistic discharge requirements can system has to be in place, whether it is based on be placed on new projects. standards or on charges. The cost of putting a Nonpoint sources account for a significant load system in place or reinforcing it is part of the in- of many pollutants, including BOD but particu- vestments that are necessary (but not sufficient) larly nutrients. This category typically includes to achieve reductions in industrial discharges of runoff from urban and agricultural land but can BOD or other pollutants. The design of the sys- be broadened to include small polluted urban tem should specifically address how effective it drains and streams, where the precise sources of can be in actually achieving certain levels of re- the pollution are too small and numerous to be ductions. This effectiveness depends on a number readily identified. The costs of controlling these of factors, but the number and size of polluters is sources are typically high. Unfortunately, the clearly a key one: it is much quicker and more loads may be also high, so that it is difficult to cost-effective to deal with a small number of large achieve water quality objectives by dealing with firms than with many different small ones. point sources only. It is therefore important to try Reducing industrial loads can often be done at to address the extent and control the costs of little or no net cost to industry, even for signifi- nonpoint sources. cant reductions (see the chapter on Implement- From detailed analysis of the sources and the ing Cleaner Production), but there are often costs, it is possible to estimate marginal reduc- transaction costs that are typically borne by the tion costs for the major types and locations of pol- government. Estimates can be made of, for ex- lutant loads. These load reductions must then be ample, the volume of BOD generated by indus- translated into real water quality improvements. trial sources and the costs of reduction, if an inventory of sources is available. Clear priority Optimizing Load Reduction should be given to ways of inducing waste mini- mization as a first step in reducing overall loads. Most large water catchments are not uniform and In principle, the costs of treating BOD loads fully mixed, and therefore not all load reductions from industrial sources should be no more than will have the same impact on final water quality. the costs of municipal treatment because indus- In most cases, too, the WQOs vary across the try can, in the ideal case, choose to use the mu- catchment. It is therefore necessary to estimate nicipal sewers and pay the costs. Given the waste (usually using a water quality model) the im- minimization opportunities that typically exist provements that can be obtained with different in industry, the marginal costs of pollution re- levels and locations of load reduction. For some duction should be no higher than the costs in the pollutants, such as heavy metals, the number and municipal system. location of sources may be sufficiently limited New urban developments should be provided that such modeling is not required. with sewerage and treatment systems adequate The model makes it possible to identify, to an for meeting the necessary discharge require- acceptable level of uncertainty the most cost-ef- Optimizing Wastewater Treatment 119 fective investments for achieving the desired analysis will indicate which assumptions are criti- WQOs. Once an initial estimate has been pre- cal, and these should be reviewed and checked. pared, one can examine the implications of adopt- However, the most critical management issue is ing more or less ambitious objectives. On this basis to monitor the desired outcome (the ambient it is possible to carry out an informed process of water quality) and to compare it with the projec- discussion and agree on a water quality plan and a tions used in the design. Any major variations wastewater management strategy and program. from the design predictions will then be identi- The approach outlined here is standard when fied, and appropriate adjustments can be made. the problem is presented and tackled as a water The value of detailed information and analy- quality management issue. Unfortunately, in sec- sis is demonstrated by two examples, both con- tor projects, such as municipal services, indus- taming complexities that were identified early in trial upgrading, and pollution reduction projects, the process and were taken into account in the the tradeoffs between the different water pollu- detailed design. tion sources are sometimes not recognized. Modeling of oxygen levels in the highly pol- To illustrate: a major study of the impacts of luted Huangpo River at Shanghai demonstrated the Vistula River in Poland on pollution of the that oxygen depletion would be a problem, even Baltic Sea identified a wide range of regulatory after high levels of treatment of wastewater dis- and institutional measures and possible invest- charges. The treated wastes would have had ments (Baltic Sea Environment Programme 1992). very long detention times in the tidal section Priority investments were identified by a screen- and would have continued to degrade and re- ing process, taking into account the size of the move oxygen. The conclusion was that costly load, the cost-effectiveness of the actions, and the high levels of treatment would not result in cor- impacts of different types of pollution. Two per- respondingly high levels of water quality im- spectives were used to evaluate cost effectiveness: provement. regional benefits at the level of the Baltic Sea, and Detailed modeling of Guanabara Bay, Rio de benefits to the local population and environment Janeiro, uncovered the apparently perverse result directly affected. Most of the actions identified that high levels of wastewater treatment could, were cost- effective at both levels, but the prior- in the short term, cause deterioration in over- ity ranking on cost-effectiveness differed. For all water quality. Cleaner water would promote example, the cost of reducing loads on the Baltic algal blooms, because of excess nutrients, lead- Sea varied from 8 European currency units per ing to severe water quality problems. The kilogram (ECU/kg) for the most cost-effective recommended approach assigned a higher pri- plant to 21 ECU/kg for the project ranked ninth. ority to nutrient reduction than had originally The recommended priority investments were been proposed. based on a balance of local and regional rankings. Reference Monitoring and Feedback Baltic Sea Environment Programme. 1992. "Pre- A major improvement program addressing a feasibility Study of the Vistula River and the Baltic complex natural system will have uncertainties Coast of Poland." Copenhagen, Stockholm, and in the initial analysis and design. Sensitivity Warsaw. Developing a Culture of Industrial Environmental Compliance Efforts to reduce industrial pollution in developing countries have focused on developing envi- ronmental institutions and legal frameworks, largely by establishing command-and-control regulations and market- based incentives. Overall, however, formal regulation alone has not proved very effective in reducing industrial pollution in these countries. Although there is no substitute for an environmental regulatory regime, there is a need to focus on incentives for action by industry. Several innovative approaches are now emerging as effective ways to improve environmental compliance. These include pollution inventories, information on enterprise performance, cleaner production, environmental management systems, negoti- ated agreements, and government-industry partnerships. International experience, although still limited, suggests that industrializing countries may have much to gain from these approaches in developing a culture that fosters improved industrial environmental compli- ance and overall environmental performance. In recent years, industrializing countries have and issued; rather, it is achieved as a result of devoted much attention to developing and targeted efforts that encourage behavioral strengthening environmental institutions and changes on the part of polluters. regulatory frameworks to reduce industrial pol- Several mechanisms are now emerging as ef- lution. Many governments have established na- fective ways to improve environmental com- tional environmental agencies and have adopted pliance in countries that lack the necessary standards and regulations similar to those of in- institutional capabilities for formal regulation. dustrial countries. Although much can be learned Rather than being alternatives to environmen- from the experience of countries with more ma- tal regulation, these approaches provide path- ture environmental programs, simply importing ways for achieving environmental goals within systems developed elsewhere has often not been a legal framework by developing a culture of effective. Similarly, some countries have experi- compliance. Although experience with these ap- mented with market-based instruments to en- proaches is still limited, industrializing countries courage compliance, but this approach has not may have much to gain by adopting them (see been applied to the extent anticipated. Table 1). Effective environmental regulations must first reflect their own context and be compatible with Pollution Inventories the administrative capabilities of regulatory agencies. Regulations meant for industrial coun- Pollution inventories can accelerate environmen- tries are inherently unenforceable in developing tal compliance by providing an information base countries, where institutional capabilities are for understanding pollution problems, identify- weak. The success of environmental regulations ing priority actions, making informed decisions, also depends on a culture of compliance that is and identifying opportunities for waste minimi- the result of a country's legal traditions, the ma- zation and cleaner production. turity of its institutions, the available resources, On the facility level, a pollution inventory is a and the capacity and support of citizens and the comprehensive, accurate, and current account- private sector. Compliance does not automati- ing of specific pollutant discharges. On the cally happen when requirements are legislated government level, it is a database of reliable, 120 Developing a Culture of Industrial Environmental Compliance 121 Table 1. Mechanisms for Developing a Culture of Industrial Environmental Compliance Mechanism Requirements Impact Pollution inventories Industry and government monitoring Inventories provide stakeholders with an environ- and dissemination of data on ambi- mental information base for understanding pollu- ent environment and pollution loads tion problems better and for making informed decisions. Information on enter- Industry monitoring of pollution loads; Collection and dissemination of environmental in- prise performance communications strategy for dis- formation can result in (a) an informed constitu- seminating information ency that can effectively demand improvement from firms with poor performance and (b) open discus- sions with communities that can reduce mistrust. Cleaner production For government: regulation and real Improvements in industrial processes and manage- techniques natural resource pricing ment reduce the volume of pollution generated, For industry: commitment from man- increase production efficiencies, and cut overall agement operating costs. Environmental man- International trade and market pres- Impacts of industry facilities are managed by a agement systems sures; commitment from manage- process of continuous environmental improve- ment ments that are regularly monitored, measured, and reported. Supplier chain International trade and market pres- Large firms work with smaller ones to provide ad- impacts sures; concern of large firms with vice and mentoring on developing environmental reputation and quality of products management systems and improving overall envi- ronmental performance. Negotiated agree- Flexible government structures; po- Mechanism for consensus building among major ments and govern- litical stability; trust between govern- stakeholders facilitates commitment to achieving ment-industry ment and industry; persuasion and clearly defined environmental goals. partnerships social pressures regularly updated, aggregated, and publicly Similar approaches are now being adopted by available information quantifying industrial re- industrializing countries. For example, Quertaro leases of specific pollutants. The OECD has de- State, Mexico, is using a PRTR to identity priori- veloped a common framework for a pollution ties and develop a state-level environmental strat- inventory, the Pollutant Release and Transfer egy that complies with existing federal Register (PRTR). regulations. The Czech Republic has developed In the Netherlands, an emissions inventory is a PRTR, and Colombia, India, and the Philippines used to track pollution reduction targets under are working on pilots. (See the chapter on Pol- national environmental goals to determine lutant Release and Transfer Registers.) whether covenants between firms and regulators are being implemented. In the United Kingdom Information on Enterprise Performance and Denmark, data reported in pollution inven- tories cover substances included in the permit- The collection and dissemination of environmen- ting process. The baseline information about the tal information are essential to building an in- pollution burden provided by the inventory is formed constituency that will support the increasingly being used by firms in the United changes necessary to achieve environmental im- States and Europe to set internal environmental provement. Disclosure of actual performance im - goals, often in connection with industry stan- formation allows the relevant public to monitor dards, including environmental management progress (or lack of it) and develop informed systems. positions; it also strengthens confidence in com- 122 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT pany statements about compliance and improve- companies. Studies carried out under the project ments. An informed public can achieve much identified several areas of major savings. Similar through informal pressure, and progressive firms work, supported by donors and international are finding that open discussions with their com- organizations, has been done in Chile, India, the munities can reduce mistrust. Philippines, Poland, and Tunisia. Unfortunately, Under the Community Right-to-Know Act, the in many cases, only a few of the recommenda- United States publishes an annual Toxic Releases lions have been put into practice. Such limited Inventory (TRI) based on mandated reporting success emphasizes the importance of motivat- and disclosure of specific toxic chemical releases ing, involving, and obtaining commitment from and transfers by industrial facilities. It is up to senior management. (See the chapter on Imple- local governments or community groups to as- menting Cleaner Production.) sess the performance of firms in their vicinity and to act on this information through public appeals, Environmental Management Systems negotiations, or citizen suits. When TRI data were first released, the ensuing pressure led many Environmental management systems (EMSs) are firms to announce goals for reducing significant logical complements to cleaner production tech- amounts of pollution, and many met these goals. niques. They help firms establish a structured Although few developing countries have such process of continuous environmental improve- far-reaching right-to-know legislation, in Indo- ments that are monitored, measured, and re- nesia and the Philippines, public pressure stem- ported. Management commitment to improving ming from release of environmental information performance, as well as strong existing manage- has led to similar improvements in industrial rial and measurement capacities, are prerequi- behavior. Under Indonesia's PROPER program sites for a successful EMS. and the Philippines' Ecowatch program, firms are In a world of increasing free trade, much at- graded on the basis of their environmental per- tention has been focused on internationally co- formance, ratings are made public, and facilities ordinated specifications for EMS under the ISO are held accountable. Similarly, in Korba, India, 14001 standard issued by the International Or- newspapers publish daily levels of ambient par- ganization for Standardization (ISO). A key com- ticulate and effluent discharges by two thermal ponent of the ISO 14001 standard is that it power plants and an aluminum plant. A commit- identifies the elements of an EMS that can be in- tee of citizens, constituted by the local adminis- dependently audited and certified. However, tration, can inspect these plants at any time. As a obtaining certification can involve significant result of such awareness raising, ambient particu- costs, and there are issues relating to the interna- late levels have dropped significantly, and dis- tional acceptance of national certification. The use charges into the river no longer go unnoticed. of ISO 14001 certification to replace statutory re- porting is a topic of considerable interest. Cleaner Production While it is clear that EMS is not a substitute for a regulatory framework, there may be cases Cleaner production (CP) techniques offer im- where the monitoring and reporting systems of provements in industrial processes and manage- a well-managed firm might substitute for some ment that can reduce the volume of pollution statutory inspections, audits, and reports. How- generated, increase production efficiencies, and ever, the extent to which a government can rely reduce operating costs. Industry most often uses on the capabilities and commitment of a firm to this approach in response to external pressures, self-monitor its environmental performance including government regulation and the costs needs to be determined. While a number of prac- of natural resources and of pollution manage- tical issues have to be sorted out with ISO 14001, ment (e.g., water charges and costs of treating EMS can be used as a mechanism for achieving wastes). improvements in environmental performance In China, the World Bank is collaborating with and for supporting the trade prospects of good the UNEP to establish a CP Center that will pro- performers. (See the chapter on Environmental vide local expertise to evaluate CP options for Management Systems and ISO 14000.) Developing a Culture of Industrial Environmental Compliance 123 The Supplier Chain Relationship lution reduction targets and offer firms flexibil- ity as to how to comply with targets. The power of the supply chain can be an effec- In Japan, pollution control agreements be- tive mechanism for promoting improved envi- tween industry and local governments were the ronmental performance. Large firms serving forerunner of national environmental policy. international markets will most often be driven Now that national regulations have been estab- to improve their performance. Small firms that lished, pollution control agreements continue to serve as local suppliers do not experience the be used as a means by which local governments same external pressures. Recently, however, can achieve highergoals. In the Netherlands, multinationals are asking for better perfor- negotiated agreements are used to implement mance from their suppliers. Large firms (buy- national environmental policy goals. Major eco- ers) are often better able to negotiate lower nomic sectors, represented by trade unions, prices from suppliers as a result of efficiencies design strategies to meet environmental goals and cost savings. In addition, most large firms set by government and industry. Commitments are willing to work with their suppliers in a are implemented through legal covenants, and mentoring relationship to improve environmen- conventional laws and regulations are used to tal performance in order to receive better-qual- back up covenants if industry fails to meet its ity products and maintain their reputation in the commitments. international marketplace. Indonesia has used pollution control agree- B&Q, the United Kingdom's largest hardware ments to clean up severely polluted waterways and garden center retailer, developed a system by persuading a large number of firms to com- for grading each of its suppliers on its environ- mit to cutting pollution loads by specific amounts mental performance. B&Q set realistic targets that in an agreed time frame. Riverside villages in did not alienate suppliers by being too tough and Bangladesh have also successfully pursued ne- that led to improvements in a large number of gotiated agreements with upstream polluters that companies. Most suppliers perceived the pro- include requirements for monetary compensation gram as an opportunity to improve their own and first-stage effluent treatment of industrial businesses. Production efficiencies enabled B&Q discharges. In Brazil, the state governments of to negotiate better prices from its suppliers, re- Rio de Janeiro, Espiritu Santo, and Minas Gerais sulting in actual cost savings. Similarly, the Swed- are using partnerships with industry under ish automobile manufacturer Volvo selects its which the governments rely on self-enforcement suppliers in part on the basis of information ob- by industry through environmental auditing pro- tained from pollution inventories and corporate grams to achieve pollution targets. environmental reporting. U.S. apparel manufac- turers in Asia are serving as mentors to their sup- Determining What Will Work Where pliers and providing advice to foster improved environmental performance, better-quality prod- The mechanisms discussed above are to a large ucts, and an enhanced reputation and image. extent interrelated. The fact that relationships exist among them underscores their common Negotiated Agreements and Government- purpose-to develop a culture of compliance and Industry Partnerships a constituency for pollution management. We have noted how firms can use pollution invento- Building a consensus among a range of stake- ries to pressure their suppliers to make changes. holders is a prerequisite for achieving successful Pollution inventories are also useful tools for set- environmental compliance. Although not a sub- ting firms' internal environmental policies, iden- stitute for a regulatory regime, negotiated agree- tifying opportunities for cleaner production, and ments offer a way for government and industry developing environmental management systems. to take concrete steps toward pollution manage- At the same time, the public availability of envi- ment while the details of regulations are still ronmental information is an important mecha- evolving. Such agreements give industry and nism for developing a constituency for pollution communities a voice in determining specific pol- management through negotiated agreements. 124 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT The challenge lies in determining which tool, or porting efforts to negotiate agreements between which combination of tools, can be most effec- industrial facilities and regulators. Innovative tive in a given situation. approaches to pollution management, including pollution inventories, dissemination of informa- The World Bank's Role tion on enterprise performance, cleaner produc- tion, and EMSs, are being introduced to achieve Currently, the World Bank and its clients are be- agreed environment objectives. ginning to experiment with these approaches. All these applications are concentrated in Indonesia and the Philippines are receiving projects with primarily environmental objectives, World Bank assistance in developing pollution but the mechanisms can also be useful in other inventories to rate and publicly disclose facili- projects that focus on industrial performance, ties' environmental performance. In Mexico, the including privatization, industrial reform, World Bank is supporting efforts to develop ISO energy, and mining projects. For example, pol- 14001 approaches and transfer them from large lution inventories can provide baseline environ- companies to their suppliers. These efforts use mental information that is essential in evaluating the supply chain to drive improved environmen- the environmental liabilities of state-owned en- tal performance as part of a joint effort with gov- terprises that are being privatized. Similarly, ap- ernment regulators, who are examining how the plication of cleaner production techniques and new systems may lead to a streamlining of the EMSs can reveal cost-saving opportunities in in- licensing system. In Argentina, the Bank is sup- dustrial restructuring. Environmental Audits in Industrial Projects An environmental audit is a process for assessing the nature and extent of environmental concerns at an existing facility-an industrial plant, an abandoned site, a mine area, or any other site where industrial pollution problems are identified or anticipated. It is used to pro- vide data on the extent of pollution in an industrial area, to quantify the scale of pollution at a particular site, or to examine the causes and potential remedies of problems at a facility. This chapter provides guidance on the uses of environmental audits in industrial pollution man- agement and on the scope of a typical audit. Types of Environmental Audit The term environmental audit covers a wide range of activities based on formal evaluation of an Several types of environmental audit can be distin- organization's or a facility's performance in re- guished, although with considerable overlap: lation to environmental objectives. There are . Site audit: assesses onsite conditions and the many different definitions reflecting different extent of contamination problems emphases and objectives, but the critical elements 0 Liability audit requested by potential purchas- are that the audit should be objective, systematic ers or by financial institutions when consider- and based on defined criteria. (For a broader dis- ing investment or acquisition cussion of environmental audits, see the World 0 Compliance audit: addresses compliance with company policies and regulatory requirements Bank's Environmental Assessment Sourcebook 0 Management system audit: reviews both tech- Update series.) Several broad categories of audit nical and organizational aspects, usually within can be defined (see Box 1), but this chapter fo- the context of corporate environmental strategy cuses on the use of environmental audits in World 0 Waste minimization or pollution prevention au- Bank industrial pollution management activities. dit: examines production and waste manage- In these cases, the principal objective is to collect ment systems to identify improvements factual information about the extent and causes of pollution at a site or facility and possible re- medial actions. In some IFC projects, a project- tion to be made of priorities and of the extent specific environmental audit is used as part of and cost of control and remediation measures. the formal environmental analysis and review This information then shapes all remediation process, and particular requirements apply. (For actions and investments. Some examples of the details, contact the Environment Division at the use of site audits in Bank projects are given in IFC.) Clearly, it is important that the scope and Box 2. objectives of an audit be clearly defined. Role in Environmental Assessment Use of Site Audits An environmental audit can, in certain circum- A site audit is often the first step in obtaining a stances, meet most of the World Bank's or the quantitative understanding of pollution prob- IFC's environmental assessment requirements lems. In many cases, the audit allows an evalua- for a Category B project. (A project in which 125 126 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT A useful function of the initial assessment is Box 2. Uses of Site Audits in Bank to describe data availability and needs and to Projects indicate where site sampling and monitoring * In Bulgaria, an audit provided information on might be cost-effective. the extent and severity of contamination at a metal smelter. Extent of Coverage * In Bolivia, audits were used to define environ- mental issues and provide a basis for discus- A key difference between a plant environmental sions with potential investors in the mining and audit and a full site audit is that the coverage of hydrocarbons sectors. * In Algeria, audits were carried out on several the adits d be wide eouh to inlude th major industries in the preparation of an in- dustrial pollution management project. improvements in operations can be estimated. * In Estonia, the IFC's preparation for investment Detail may be lacking, but it is important to in- in a cement plant included a detailed audit that dicate the extent of offsite impacts, where these provided the basis for an environmental man- occur. agement plan. I I Full Audit significant retrofitting or upgrading of industrial A full site audit is detailed, requiring careful site plant is being considered would norAally be clas- inspections (perhaps including sampling and sified as Category B). For such a project, an envi- testing) and review of past and present produc- ronmental audit should be carried out as part of tion processes, as well as pollution emissions and the preparation for the upgrading, and this au- control measures. The audit should also clarify dit can provide the main documentation neces- the legal and regulatory framework, licensing sary for the environmental assessment. (All other agreements, corporate policies, and management relevant requirements of OP 4.01 must also be structures and priorities that affect the environ- taken into consideration, particularly in relation mental performance of the plant. to consultation, which is not usually part of the In many cases, relevant technical and envi- audit.) ronmental standards for performance may be ill defined or may not exist, and professional Scope and Level of Detail judgments will have to be made as to the appro- priate benchmarks. However, it is essential that In an industrial context, the overall objective is the standards or emissions limits proposed for to understand the scale and sources of the pollu- the plant be clearly defined and that the ratio- tion problems at a facility or in a defined area nale for their selection be given. If full new plant and to set out the options available for dealing requirements appear unachievable with the cur- with those problems. There is often a staged pro- rent plant, the audit should address what might cess of investigation in which each stage is nar- be acceptable as realistic interim requirements. rower in scope but more detailed than the preceding one. Recommendations for Action An initial assessment can be relatively quick, drawing on readily available sources, including The audit should provide a list of recommended site interviews, and providing an overview of actions, in terms of increasing cost-effectiveness the actual or suspected sources of pollutants in addressing the critical environmental issues. and the extent of their impact. This overview This list should include interim and long-term can be carried out during project definition or targets and a timetable for achieving them, to- as a scoping stage and provides a basis for fur- gether with an indication of the investments and ther detailed investigations or for defining pri- other resources (human, information, and so on) orities for action. that would be required. Environmental Audits in Industrial Projects 127 Scale and Cost Box 3. Example: TOR for a Mining Area The scale and cost of site audits can vary widely, Site Audit depending, above all, on the extent of field data 0 Overall objective collection required. A scoping study can be car- 0 Specific objectives ried out in a couple of days by one or two people, * General scope of work with cooperation from site personnel. A full site 0 Baseline data audit of a typical industrial plant can be carried * Principal sources of contamination out within one to two months, of which perhaps 0 Area of impact one week is spent on the main fieldwork, usu- a Technical approach ally followed by a shorter visit to verify initial * W ork pl n findings. Using a typical team comprising local 0 Recommended priority actions technical staff and a small number of interna- 0 Environmental management plan tional specialists, budget costs would be of the * Site-specific scope of work (by site) order of US$30,000-$50,000. For a large plant, * Laboratory services especially where the area involved is extensive 0 Norms and standards 0 Pre-bid site visits or where there is need for a program of sampling * Client contacts and counterparts and testing, the costs can rise to US$200,000- * Facilities provided by the client $400,000. Where the objectives are limited and * Reporting and deliverables local expertise is available, a reasonable audit can be carried out for much smaller amounts. It is therefore critical that the objectives and require- ments of the audit be clearly stated and justified. Terms of Reference Themsoefrn*site-specific, Box 4. Examples of Audit Report Contents The ermsof rfernce TO)willbeeuieda incope ofTork but the examples given in Box 3 illustrate whateine T might be included in a comprehensive TOR. Ex- For an lFC project amples of formats for reporting that have been Executive summary required are shown in Box 4. * Project description * Regulatory setting Points of Procedure & Audit procedure * Mitigation The following points relate to the procedures for 0 Costs and schedule the execution of an audit. p Annexes * Selection of auditors. Various forms of certifica- Russian Federation Environmental Management tion of environmental auditors are under dis- Project cussion in different countries, but, in general, * Executive summary * SThe-seii cp fwrb site) * Introdutonsrie no oral uaifiaton orreistaton hold * Thesa site nad be required for carrying out a site audit. * Review of environmental management Although many of the skills required for a site * Survey of compliance with environmental laws, asesmet regeerlenvironmental or engi- regulations, and company policies a Conclusions and recommendations neering skills, it is important that the audit team 0 Recommendations for further investigation contain personnel with detailed knowledge of the 0 Appendices specific industry being addressed. Selection of Photolog auditors should follow the normal procedures for Supporting documentation consultants. Arrangements should be made to 128 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT allow bidders to become familiar with the site Review of findings. It is important that the before the tender closure date. management in place be allowed to comment * Briefing and terms of reference. It is essential that on the findings and recommendations of the the consultants selected have a clear under- audit. standing of the objectives of the work, espe- OtherIssues cially if it is to become part of the overall environmental assessment for the project. The If the environmental audit is to form part of the TOR therefore need to be as specific as possible. environmental assessment process required un- * Preparation phase. An audit plan should be pre- der OP 4.01, the documents must be made avail- pared describing the information required, the able as part of the public consultation. To avoid site visit schedule, and the site personnel to disclosure problems, the audit report may have be involved or interviewed. to be written in such a way as to provide the nec- A protocol may be prepared defining the spe- essary environmental information without dis- cific information that will be sought during the closing commercially confidential information. In site visit. The protocol should be provided to the such a case, the task manager must be satisfied enterprise well in advance of the visit. that the public report provides sufficient detail Available file information on the facility should to satisfy the EA requirements. be obtained and reviewed before the visit, and the audit plan should then be refined, if necessary. Reference and Source * Execution of the audit. Active cooperation of the UNEP (United Nations Environment Programme) and plant owners and managers is essential for a UNIDO (United Nations Industrial Development good result and should be secured in advance. Organization). 1991. "Audit and Reduction Manual Good coordination reduces delays and costs. for Industrial Emissions and Wastes." UNEP, Paris, Therefore site visits, interviews, and any sam- and UNIDO, Vienna. pling should be organized as early as possible. World Bank. 1995. "Environmental Auditing." Envi- The site inspection should be carefully docu- ronmental Assessment Sourcebook Update 11. En- mented, to support the findings and recom- vironment Department, Washington, D.C. mendations and to provide a reference for future audits. Environmental Management Systems and ISO 14000 Environmental management systems (EMSs) such as ISO 14000 are seen as mechanisms for achieving improvements in environmental performance and for supporting the trade pros- pects of "clean" firms. The potential advantages of EMSs are clear, but the adoption of ISO 14000 is very recent, and practical issues are emerging, among them the need for an emphasis on performance improvement and for simplification of certification; the potential for regula- tory streamlining; and the trade consequences. This chapter outlines the key elements of an EMS and discusses these issues. The Benefits of an EMS ment can be useless. The challenge is to achieve long-lasting improvements in performance, and An environmental management system (EMS) is EMS is seen as one of the key tools in achieving a structured program of continuous environmen- this. tal improvement that follows procedures drawn An important related issue, in a context of in- from established business management practices creasmgly free trade, is the concern that environ- (see Box 1). The concept is straightforward, and mental performance may become an important the principles can be easily applied, given the nec- commercial factor, either as a positive attribute essary support. There has been increasing inter- or as a potential trade barrier. The implementa- est in the potential value of EMS approaches, of tion of an EMS, and particularly of the ISO 14000 which the recently released ISO 14000 series is system, is seen as a way to demonstrate an ac- the most widely known. ceptable level of environmental commitment. The first steps in the control of industrial pol- A good EMS allows an enterprise to under- lution have been the creation of the necessary stand and track its environmental performance. regulatory framework and the specification and It provides a framework for implementing im- design of control equipment to reduce emissions. provements that may be desirable for financial These efforts have been broadly successful in or other corporate reasons or that may be re- improving the performance of many polluters, quired to meet regulatory requirements. Ideally, but in other cases, investments in pollution equip- it is built on an existing quality management ment are wasted because the equipment is not system. operated properly. Attention, in the World Bank and elsewhere, is turning to support of regula- ISO 14000 and Other Standards tory and end-of-pipe approaches through incen- tives, production efficiencies, and management If an EMS were adopted purely as an internal improvements-a range of measures often management tool, the details of the system and grouped under the broad banner of cleaner pro- its structure would not be important. However, duction and ecoefficiency. the EMS is becoming more and more a matter of The potential benefits of ecoefficiency are un- interest to people outside the management of the equivocal: good operational practices, supported enterprise-to workers, regulators, local resi- by committed management, can achieve consid- dents, commercial partners, bankers and insur- erable improvements in environmental perfor- ers, and the general public. In this context, the mance at low cost and can get the maximum EMS is no longer an internal system and becomes benefits from investments in hardware. Without a mechanism for communicating the enterprise's management and worker support, the best equip- performance to outside parties, and some level 129 130 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT Box 1. What Is an EMS? The standards that have been adopted are (as of An EMS can be described as a program of continu- ous environmental improvement that follows a defined iSO 14001-1996 Environmental management sys- sequence of steps drawn from established project tems: specification with guidance for use management practice and routinely applied in busi- ISO 14004-1996 Environmental management sys- ness management. In simple terms these steps are tems: general guidelines on principles, systems, and as follows: supporting techniques * Review the environmental consequences of the ISO 14010-1996 Guidelines for environmental audit- operations. ing: general principles of environmental auditing * Define a set of policies and objectives for envi- ISO 14011-1996 Guidelines for environmental audit- ronmental performance. ing: audit procedures; auditing of environmental man- * Establish an action plan to achieve the objectives. agement systems. * Monitor performance against these objectives. ISO 14012-1996 Guidelines for environmental audit- * Report the results appropriately. ing: qualification criteria for environmental auditors * Review the system and the outcomes and strive Standards currently available as draft international for continuous improvement. standards: Not every system will present these steps in exactly ISO 14021 Environmental labels and declarations: the same way, but the basic principles are clear and self-declaration environmental claims; guidelines and easily understandable. definition and usage of terms. The ISO 14000 series is a series of standards for ISO 14040 Environmental management: life cycle different aspects of environmental management. A number of these standards relating to environmental ISO 14050 Environmental management: vocabulary management systems have been adopted formally by the members of the ISO, while others are in different More than half a dozen others in this series have been stages of preparation. drafted and are under discussion. of standardization and common understanding Within the ISO system, ISO 14001 sets out the is required. basic structure for an EMS, while ISO 14004 pro- The best-known common framework for EMS vides guidance. The crucial feature of the ISO is the ISO 14000 series. This series is based on the 14001 standard is that it identifies the elements overall approach and broad success of the qual- of a system which can be independently audited ity management standards prepared and issued and certified. The issue of certification underlies as the ISO 9000 series. ISO 14000 consists of a se- much of the discussion about environmental ries of standards covering ecolabeling and life management systems. The presentation in these cycle assessment (LCA), as well as EMS (see Box standards is clear and concise and provides a 1). The documents formally adopted (by the end framework that can be used as the starting point of 1996) as international standards are those coy- for a simple system for a small company or a ering EMS: ISO 14001 and ISO 14004.1 highly detailed one for a multinational enterprise. There are two other major EMS standards: the Compliance with ISO 14001 does not by itself British BS 7750, which was one of the first broadly automatically ensure that an enterprise will ac- accepted systems and has been adopted by a tually achieve improved environmental perfor- number of other countries, and EMAS, the Euro- mance. The standard requires that there be an pean Eco-Management and Audit Scheme. A pro- environmental policy that "includes a commit- cess of harmonization has been under way to ment to continual improvement and pollution ensure reciprocal acceptability of these systems prevention" and "a commitment to comply with with ISO 14001. IS 7750 and EMAS are, however, relevant environmental legislation and regula- broader in their requirements than ISO 14000. In tions." It also requires that the enterprise estab- particular, EMAS includes requirements for con- lish procedures for taking corrective and tinued improvement of performance and for preventive action in cases of nonconformance. It communication with the public, which are not may seem to be splitting hairs to say that these part of ISO 14001. requirements for a policy and procedures would Environmental Management Systems and ISO 14000 131 not result in improved performance, but the is- Management and worker commitment to im- sue becomes one of following the spirit and not proving performance is essential. The process of just the letter of the standard. The desirable ap- introducing the EMS can be a catalyst for gener- proach would be for management to make a com- ating support for environmental performance mitment to specific environment performance improvements, including the simple changes that improvements within a defined period and then make up "good housekeeping," and also for use ISO 14000 as the mechanism for demonstrat- making the best use of existing pollution control ing that it is complying with that commitment. equipment. Just as important, the development As a manager for a multinational firm observed, of good management systems is one of the best "Having a certificate doesn't mean that you have hopes for sustaining the improvements that can a clean company. The bad guys who pollute to- be achieved when attention is focused on envi- day will still do it, and they'll have a certificate." ronmental performance. It should be noted that ISO 14000 standards A concern often expressed about the ISO 14001 are voluntary. "Adoption" by a country normally system is the lack of a clear commitment to im- means that the national standards organization provements in actual environmental perfor- has said that the ISO version is the EMS stan- mance. The whole EMS approach is designed to dard that is recognized. It does not imply any improve performance, but critics of the rush to formal requirement that companies adopt such implement ISO 14001 argue that the standard can a standard. be misused. It is not yet clear how valid this point is, and its resolution will depend on how the over- Issues to be Resolved all approach is used in trade and regulatory ar- eas. However, there is a legitimate concern that EMS is clearly a good concept and is supported some may view ISO 14000 as an end rather than in principle by the World Bank and by environ- a means. mental agencies and organizations everywhere. Given the current stage of development of At the same time, there are costs associated with auditing and certification systems, it may be pos- implementation-particularly in enterprise time sible in some places to obtain (or claim) certifica- and effort, more than direct out-of-pocket costs- tion with a minimum level of real environmental and a number of issues need to be addressed in improvement. From the World Bank's point of making decisions about the type and level of sys- view, it is essential that enterprises demonstrate tem to be adopted. serious good-faith efforts to achieve the perfor- mance goals underlying an environmental man- Commitment to Performance Improvements agement system, if certification is to have any real meaning. An acceptable system must comply The direct benefits to an enterprise of implement- with the spirit of the EMS, not just the minimum ing an EMS usually come from savings through formal requirements. cleaner production and waste minimization ap- proaches. (An order of magnitude estimate is that Certification about 50% of the pollution generated in a typical "uncontrolled" plant can be prevented, with ISO 14001 sets out a system that can be audited minimal investment, by adopting simple and and certified. In many cases, it is the issue of cer- cheap process improvements.) Even in industrial tification that is critical or controversial and is at countries, increased discharge fees and waste the heart of the discussion about the trade impli- disposal charges provide incentives for cost-ef- cations. Certification means that a qualified body fective pollution reduction-which, incidentally, (an "accredited certifier") has inspected the EMS demonstrates the importance of an appropriate system that has been put in place and has made framework of regulations and incentives to drive a formal declaration that the system is consistent the performance improvements. The major im- with the requirements of ISO 14001. pact of the introduction of an EMS can be the The standard allows for "self-certification," a identification of waste minimization and cleaner declaration by an enterprise that it conforms to production possibilities. ISO 14001. There is considerable skepticism as to 132 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT whether this approach would be widely accepted, ing EMS approaches to pause before taking this especially when certification has legal or com- last step. After implementing an EMS and con- mercial consequences. At the same time, obtain- firming that the enterprise is broadly in conform- ing certification can entail significant costs, and ance with ISO 14001, it is becoming routine to there are issues relating to the international ac- carry out a "gap analysis" to determine exactly ceptance of national certification that may make what further actions would be required to achieve it particularly difficult for companies in some certification and to examine the benefits and costs countries to achieve credible certification at a rea- of bringing in third-party certifiers. sonable cost. For firms concerned about having certification that carries real credibility, the costs Reducing the Cost of Regulation of bringing in international auditors are typically quite high, partly because the number of inter- A question commonly raised is the extent to nationally recognized firms of certifiers is lim- which an EMS can reduce the costs of regulation, ited at present. in terms of both the overall government enforce- The issue of accreditation of certifiers is becom- ment effort and the costs of compliance of the ing increasingly important as the demand in- individual enterprise. The use of ISO 14001 cer- creases. Countries that have adopted ISO 14001 tification to replace some statutory reporting re- as a national standard can accredit qualified com- quirements is a topic of considerable discussion panies as certifiers, and this will satisfy national in a number of countries, particularly those where legal or contractual requirements. However, the regulatory requirements are extensive enough to fundamental purpose of ISO is to achieve con- be a real burden on industry. It is now clear that sistency internationally. If certificates from cer- an EMS is not a substitute for a regulatory frame- tain countries or agencies are not fully accepted work, but the monitoring and reporting systems or are regarded as "second class," the goal will of a well-managed enterprise might substitute for not have been achieved. It is probable that the some of the statutory inspections, audits, and international marketplace will eventually put a reports normally required under government real commercial value on high-quality certifi- regulations. The issue is when and how the gov- cates, but this level of sophistication and discrimi- ernment can trust the capabilities and commit- nation has not yet been achieved. It is essential ment of an enterprise to self-monitor its to the ultimate success of the whole system that environmental performance and whether some there be a mechanism to ensure that certification formal EMS and certification system, such as ISO in any one country has credibility and acceptabil- 14000, would provide the mechanism to convince ity elsewhere. regulators that scarce government resources The ISO has outlined procedures for accredi- would be better used elsewhere in pursuing less tation and certification (Guides 61 and 62), and a cooperative organizations. formal body, QSAR, has been established to This approach is attractive, but there are a operationalize the process. At the same time, a number of hurdles to clear before it can be put number of established national accreditation bod- into place on a widespread basis. Reaching agree- ies heavily involved in ISO have set up the infor- ment on such matters is proving to be a more mal International Accreditation Forum (IAF) to difficult and complex task than might at first be examine mechanisms for achieving international assumed. Some of the difficulties are legal (lack reciprocity through multilateral agreements of flexibility in regulations or the need to ensure (MLAs). However, these systems are in the early that voluntary reports are not unreasonably used stages, and many enterprises continue to use the to prosecute enterprises that are making good- established international certifiers, even at addi- faith efforts to improve), but often they relate to tional cost, because of lack of confidence in the the necessary level of confidence on both sides acceptability of local certifiers. that the other parties are genuine in their efforts. Given the variability in the design of indi- Pilot programs being tested in a number of U.S. vidual EMS and the substantial costs of the ISO states will provide essential feedback on these 14000 certification process, there is a growing ten- issues. The World Bank is currently supporting a dency for large companies that are implement- pathfinding exercise in Mexico, looking at imple- Environmental Management Systems and ISO 14000 133 mentation of EMS and how it might dovetail with to trade, in direct contradiction to the basic ob- a streamlining of the licensing system. There are jectives of the ISO, or, alternatively, might pro- clear benefits all around in making such partner- vide a competitive edge for certified firms. The ships work, but it will be some time before clear, trade implications are of concern to many coun- workable models are available. tries, and the World Trade Organization is begin- ning to consider some of the issues under its Disclosure of Information mandate on technical barriers to trade. In this and External Relations context, a distinction needs to be made between product standards, such as the ecolabeling and There is considerable evidence that an informed LCA standards under ISO 14000, and production public has a strong influence on the environmen- process standards such as ISO 14001; the impacts tal performance of industrial enterprises, through are likely to be different. a variety of mechanisms that include market In many cases in developing countries, the forces, social pressures, and support for im- environmental pressures come through the sup- proved regulatory controls. ISO 14000 does not plier chain-the ongoing relationship between a include specific requirements for the disclosure major company (often a multinational) and its or publication of environmental performance smaller national suppliers. The sensitivity of measures or audit results, but other EMS models multinationals to pressures regarding their per- do have some such requirements. The World formance on environmental and other issues is Bank strongly supports disclosure of actual per- causing them to look for better performance from formance information because this allows the the suppliers. This relationship is typically a co- relevant public to monitor progress (or the lack operative one in which large companies work of it) and to take informed positions on issues with smaller ones to achieve better performance related to plant performance. It also allows much in such areas as quality and price. The multina- higher confidence in company statements about tionals may ask their suppliers to achieve and compliance and improvements. demonstrate environmental performance im- There is a growing interest on the part of com- provements, but there is no evidence that unrea- mercial banks and insurance companies in envi- sonable targets or tune scales are being applied. ronmental risk (in a purely business sense). Such Where IS0 14001 certification is an ultimate aim, organizations are considering whether EMS cer- certification is seen as a long-term objective rather tification (typically EMAS, in Europe) demon- than a short-term requirement. strates that a firm has real control over its Even if ISO 14001 is not likely to be a contrac- environmental risk and potential liability. It is tual constraint in the foreseeable future, environ- possible that certification may lead to commer- mental performance is increasingly becoming a cial benefits, such as lower insurance rates, in factor in commercial transactions, and companies certain high-risk sectors. looking to establish a presence in the interna- Public release of the main environmental in- tional marketplace are considering whether a formation from an EMS can also be used as a cen- "green badge" would be an advantage to them. tral component of a community relations In practice, it is often marketing rather than en- program, although this goes beyond the basic vironmental concerns that drive the ISO certifi- concept of an EMS. cation process. Trade Implications Application to Small and Medium- Size Enterprises Statements have been made to the effect that be- fore long, ISO 14000 certification will be an es- Most of the development and application of EMS sential passport for developing countries wishing has taken place in large companies. The use of to trade with the industrial nations. Such state- such systems in small and medium-size enter- ments, in this extreme form, are speculative and prises (SMEs) has been limited-although it is in almost certainly incorrect. It is, however, unclear this segment of industry that some of the largest to what extent ISO 14001 might become a barrier benefits might be anticipated, because of the dif- 134 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT ficulty of regulating large numbers of small firms out a gap analysis and to make a balanced judg- and the potential efficiency improvements that ment on the costs and benefits of seeking certi- are believed to exist. In practice, however, the fication. characteristics of the typical SME make the adop- A related issue is the coverage of the EMS. tion of EMS difficult: most SMEs do not have a Certification is normally for specific sites or fa- formal management structure, they lack techni- cilities. A large enterprise may have a number of cally trained personnel, and they are subject to different sites and production facilities and may severe short-term pressures on cash flow. choose to seek certification only for a subset of Anecdotal evidence indicates that an EMS can- the sites. not be used to drive improved performance in a poorly organized SME. Targeted training in man- Role of Governments agement and quality control can improve over- all performance, including its environmental Although ISO 14000 is a set of voluntary stan- aspects, and can provide a basis for more spe- dards that individual companies may or may not cific EMS development. Many firms can reap sig- choose to adopt, governments can clearly have a nificant benefits from introducing quality role in providing information, establishing the management concepts, even where they are not necessary framework and infrastructure, and, in aiming at formal certification. Any steps in this some cases, helping companies to develop the direction should be encouraged. basic capabilities to adopt ISO 14000. There are two particular areas in which government action Practicalities in Establishing an EMS would be useful: (a) providing information on the sectors and markets where ISO 14001 certifi- An EMS, as normally envisaged, builds on exist- cation is a significant issue and assisting sector ing production and quality management systems. organizations to develop appropriate responses, Where such systems are weak or ineffective, as and (b) helping to establish a certification frame- is often the case in enterprises that have poor work, based on strengthening national standards environmental performance, a better manage- organizations and encouraging competitive pri- ment framework has to be established before fo- vate sector provision of auditing and certifica- cusing on the details of the EMS. The costs of tion services. At present, the World Bank is establishing an EMS will therefore obviously having discussions with a number of countries depend on the starting point in terms of both about how assistance could be provided with management systems and environmental perfor- theseissues. mance. The ecoefficiency savings can, in some Governments should see EMS approaches as cases, pay for the costs of establishing the EMS, part of a broad environmental strategy that in- particularly if most of the planning and organi- cludes regulatory systems, appropriate financial zational work is carried out in-house. However, incentives, and encouragement of improved in- a poor performer will very likely have to invest dustrial performance. Such encouragement can in production upgrading or pollution control in really only be effective where there is coopera- order to meet environmental requirements, and tion at the government level between the relevant these costs can be significant. departments, including industry and trade, as A full EMS can be complex and can require an well as environment. There is a growing interest appreciable commitment of operational re- in integrating environmental management issues sources. However, the final system can be reached into productivity or competitiveness centers de- reasonably through a series of discrete steps, signed to promote SME performance, but little starting from a basic, simple procedure and be- information exists on experience to date. coming more comprehensive and sophisticated as capabilities and resources allow. In this way, Will It Perform? even a small enterprise can begin to put in place the basic elements of an ISO 14001 system and The spectacular blossoming of interest in ISO can develop them at an appropriate pace. Once 14000 should lead to increased understanding of the basic EMS is in place, it is possible to carry the benefits of better environmental management Environmental Management Systems and ISO 14000 135 and greater awareness of environmental perfor- A training kit in EMS, prepared by a group of mance as a factor in succeeding in increasingly international organizations, is available from the competitive markets. At the same time, this stan- UNEP (address on p. 143): dard is not a magic wand that will achieve envi- ronmental improvements where regulation and UNEP/ICC/FIDIC. 1995. "Environmental enforcement are ineffective or that can open mar- Management System Training Resource kets where competition is strong. The standard Kit." Version 1.0. provides a framework on which to build better performance, greater efficiency, and a competi- Notes tive image. With serious commitment and effort from the organization, implementing a system 1. ISO standards are available through the national such as ISO 14001 can yield solid benefits. standards organizations in most countries. For ex- ample, the ISO 14000 series is available through the Additional Resources American National Standards Institute (ANSI) at costs ranging between US$27 and US$78 for the formal stan- For details on ISO standards, contact nationalthe drafts. For etals n IS stndads,contct atinal 2. It is not possible to be precise, but costs typically standards organizations or the International Or- start in the tens of thousands of dollars for any but the ganization for Standardization: smallest sites. ISO Central Secretariat 1, rue de Varambe Case postale 56 CH--1211 Geneva 20 Switzerland Tel: +41 22 749 0111, fax: +41 22 734 1079 Implementing Cleaner Production Cleaner production (CP) should be an essential part of any comprehensive pollution manage- ment system, at the enterprise or the national level. Significant reductions in pollution loads can often be obtained at little cost, and efficient use of resources and reduction in wastage in industrial production are clearly preferable to reliance on end-of-pipe treatment. Some firms- the "dynamic" ones that are responsive to external changes-will adopt CP readily in order to gain competitive advantage. By contrast, static firms-often small, traditional businesses or inflexible state-owned enterprises-require targeted intervention to persuade them to take advantage of the benefits of CP. In many cases, it may be worthwhile to combine promotion of CP with the adoption of an environmental management system (EMS). Cleaner production (CP) minimizes the use of Definitions resources and reduces the wastes discharged to the environment. In many cases, the adoption of The term cleaner production has came into gen- CP improvements can reduce or even eliminate eral use through the efforts of the UNEP Cleaner the need for end-of-pipe investments and can Production Program, established in 1989. Anum- therefore provide both financial and economic net ber of related terms are also used, including low- benefits (see Box 1). As a rough guide, 20-30% or no-waste technologies; waste minimization reductions in pollution can often be achieved (India); waste and emissions prevention (Neth- with no capital investment required, and a fur- erlands); source reduction (United States); ther 20% or more reduction can be obtained with ecoefficiency (World Business Council on Sustain- investments that have a payback time of only able Development) and environmentally sound months. technology (United Nations Council on Sustain- CP is also attractive because of concerns about able Development). All these terms essentially the lack of effectiveness of end-of-pipe solutions: refer to the same concept of integrating pollu- there are numerous examples of poor operation tion reduction into the production process and and maintenance of treatment plants, with result- even the design of the product. ing failure of the system to achieve its objectives.' CP and related approaches will be increasingly Reluctant Implementation important in environmental management in the future. However, changes will require effort and Despite the increasing and often very focused will be gradual. CP should therefore be seen as promotional efforts, there is anecdotal evidence part of an overall approach, not as a "costless" that the practical implementation of cleaner pro- alternative to a comprehensive set of environ- duction recommendations fell short of the level mental polices and regulations. anticipated in the early years of promotion, al- The introduction of CP is an ongoing process: though it is believed that the situation is improv- as resource prices and disposal costs continue to ing. There is no accepted way to measure the rise, new opportunities arise for pollution pre- overall impact of CF programs, but typical fig- vention and reductions in treatment costs. For ures suggested by people in the field indicate that this reason, CP can be linked closely with envi- 15-20% of the identified measures were put into ronmental management systems. practice within a reasonable time after the 136 Implementing Cleaner Production 137 Box 1. Examples of Cleaner Production pended solids. Three specific investments were rec- ommended, at a total cost of US $11 million and with China payback periods of 14-24 months. At the request of China's National Environmental India Protection Agency (NEPA), a US$6 million cleaner production component was included in the World In 1993, a CP demonstration project targeting SMEs Bank's Environmental Technical Assistance Project, was initiated by UNIDO, in cooperation with the Indian approved in 1993. The UNEP Cleaner Production National Productivity Council and other industry asso- Programme assisted in the design and implemen- ciations. This DESIRE project focused on three sec- tation of the component, which included studies in tors: agro-based pulp and paper, textile dying and 18 companies, the training of a cadre of local ex- printing, and pesticides formulation. Results for one of perts, and the preparation of a Chinese cleaner pro- the pulp and paper plants demonstrate the types of duction manual. A large distillery was one of the savings possible. In a plant producing 36 tons of pa- plants involved; a first assessment of the bottling per per day, a combination of process and equipment plant identified good housekeeping options that cost modifications and some new technology was identi- less than US$2,000 and resulted in savings of over fied that improved the product and the operating con- US$70,000. This initial success was followed by de- ditions for a capital investment of US$25,000, with a tailed studies of the alcohol plant that resulted in a payback period of less than three months. number of equipment optimizations (carried out dur- ing a maintenance shutdown), producing nearly Poland US$700,000 in savings. Three technology replace- ment options were also identified, costing up to A Polish CP Program has developed from a 1991 NGO US$500,000 and with paybacks of one and a half to training program, organized by engineering federations four and a half years. and supported by the Norwegian government, to a na- tional government-sponsored movement, with a formal Tunisia charter, that has produced 400 trained, certified ex- perts. The CP improvements that have been imple- A study of a battery manufacturer employing 200 mented are now in the hundreds, and formalization of people identified 19 actions, of which the first 7 the CP center and its funding are in progress. changes alone offered potential savings of nearly US$750,000 in the first year, with no capital invest- Other Countries ment required. Since 1990, the World Environment Center's Indus- Chile trial Waste Minimization Program, funded by USAID, has implemented 52 projects in 18 companies, pro- An assessment of a large textile mill employing nearly ducing over US$8 million in savings with a total invest- 300 people identified potential reductions in water and ment of about US$1.5 million and a payback period energy use and improvements in the control of sus- typically less than six months. completion of the audits or investigations. This ous industry and governmental efforts have figure is increasing as experience is gained in been made in the United States and Europe. designing programs and overcoming barriers to The emphasis in developing countries has been implementation. For example, in focused, sus- on providing access to the necessary technical tained programs, it appears to be possible to ob- expertise to identify CP opportunities, princi- tain implementation of 30-50% of recommended pally through the establishment of Cleaner Pro- measures, representing more or less the full set duction Centers. Several major initiatives are of no- or low-cost improvements.2 under way, supported by the UNEP, UNIDO, and bilateral agencies. Promotion of CP World Bank Experience Pollution prevention has been around for some time (Dow Chemical's 3P program in the United Experience within the World Bank has been in- States is now 20 years old). Over this period, vae- creasing, with the focus on assisting country gov- 138 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT ernments to promote and develop the use of CP * A credible enforcement system to provide in industry. Prevention of industrial pollution backbone for the regulations was included in the Metropolitan Environmen- * Targeted measures to assist enterprises in tal Improvement Program (MEIP) in the cities of adopting cleaner production. Beijing, Manila, and Mumbai. The first major project was in China, and a significant program Enterprise Characteristics has been completed in the Philippines. CP ele- ments are now increasingly being included in a Firms respond in different ways to the incentives number of World Bank industrial and environ- provided by the government and by the market. mental projects (for example, in Bolivia, India, It is possible to suggest two extreme types of firm Mexico, and Tunisia). that have different characteristics and require Critical Success Factors different approaches. At one end of the spectrum are enterprises that Two major issues have to be addressed in devel- are operating in a highly differentiated market oping an effective CP program. in which product quality is important. Such firms opingfocus on quality, product improvement, and * External incentives. An appropriate government brand and company image. They typically have policy and regulatory framework must be in high-quality management, are responsive to ex- place to provide effective incentives for firms ternal changes, and concentrate on revenue en- to adopt cleaner production. hancement. These firms can be characterized as * Response of the firms. In many cases, firms are dynamic, in a literal sense, because their processes slow or incapable of responding to the incen- and methods have to evolve continually if the tives, and it may be appropriate to assist the enterprises are to maintain their position in com- firms to adjust. The approaches adopted will petitive markets. vary considerably, depending on the charac- At the other end of the spectrum are firms that teristics of the sector and of the firms involved. can be characterized as static because their pro- It must be emphasized that CP is only one of aIncluded number of possible components of a government in this category are small firms that are price tak- numbr o posibe cmponntsof goernent ers in a mature industry. They use traditional and industry and environment strategy, and it is only relatively simple production methods, focus on one of the approaches that an enterprise can cost minimization, are often undercapitalized, adopt to improve its environmental and finan- and lack depth in management. This group in- cial performance. cludes many of the traditional polluting sectors Appropriate Government Framework such as electroplating and tanning. Large state-owned enterprises (SOEs), espe- A number of key characteristics of the govern- cially in heavy industry, can also often be char- ment framework required for the promotion of y tcy o CPpolistic markets, and their management is CF hve ben ientiied:frequently extremely bureaucratic. A classic ex- * A broad macroeconomic context that sets real ample of failure to take advantage of CF opportu- resource prices, encourages investment in new nities is provided by a major state-owned chemical technology, and supports an orientation to- plant in Sub-Saharan Africa, as described in Box 2. ward export markets, thus providing strong The approaches required to introduce and dis- incentives seminate new processes are very different in dy- * A predictable and flexible regulatory regime namic and in static firms. Information and under which predictability will encourage in- incentives will be most effective in the dynamic vestment in pollution management and flex- enterprises. Static enterprises require a blunter ibility will allow enterprises to adopt the most approach because the management is typically cost-effective solutions much less responsive to incentives. Implementing Cleaner Production 139 Box . Lst Oporuniies temingmanagement attitudes are essential if advantage Box 2los O onitiet is to be taken of the potential savings. from Sluggish Management An audit of a large state-owned chemical plant-a Sector-Based Approach for Other possible candidate for privatization-in Sub-Sa- Static Industries haran Africa identified a number of cost-effective options, including one that involved recovery of A number of industrial subsectors are dominated incompletely processed raw material which had by small, static, highly polluting firms that are been dumped as waste. This option alone was es- timated to generate US$60 million in savings for an investment of about US$4 million-a startling hire of the firms or the social consequences of figure. However, because of lack of internal incen- enforcing pollution control. CF methods have tives for management, the option was never taken obvious attractions in dealing with such firms, up. It was later discovered that the same plant had but the firms are very slow to respond to the ap- a track record of poor management and that previ- parent benefits. ous attempts to upgrade the operations had ended There are several possible reasons for this poor in shambles. I response: - Pollution may be a low priority for over- Encouraging Dynamic Firms stretched management. * CF opportunities may be crowded out by other Dynamic firms are keen to introduce environ- projects with more immediate returns. mentally sound technology where this gives them * Adequately skilled and motivated personnel a competitive edge, either because of reduced may be lacking. regulatory costs or because of better positioning - Obtaining finance from internal or external in the marketplace. They typically have an ag- sources may be difficult. gressive management that seeks to improve pro- In such cases, the government needs to inter- duction performance and has both the motivation vene in a focused way, normally with the objec- and the skills to take advantage of new tech- tive of solving a particular pollution problem. A niques. They respond to opportunities for tech- number of steps in designing and implementing nology transfer and management upgrading the intervention can be set out. using approaches such as total quality manage- ment (TQM) and environmental management Select the Sector Carefully systems. The requirement on the government side is to provide incentives, information, and The sector should be one that is economically im- examples, such as demonstration projects or cen- portant, especially in terms of future development, ters of excellence. and that presents a serious environmental prob- lem. There must be a sufficient level of existing State-Owned Enterprises public concern and political will to make changes. Many, although by no means all, SOEs are static, Build Consensus and Support in the sense used here. They are inefficient, as a result of lack of competition and of hard budget All the players-environment and industry min- constraints and because management priorities istries, industrial associations (including suppli- rarely include efficient use of resources. Such ers and subcontractors), union or labor enterprises are typically significant polluters, organizations, and relevant civic and environ- with large opportunities for CF gains, mental groups-must be involved. Table 1 lists Restructuring or privatization of such SOEs key players and what their roles could be. should include audits to identify CP opportuni- It is crucial that the private sector be involved ties. Experience demonstrates, however, that new in the process in the early stages because of the 140 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT Table 1. Possible Roles and Responsibilities for Cleaner Production Influencing future investment Responsible agency Upgrading existing industry toward cleaner production Environment ministry Establish environmental objectives; design Establish clear framework of long-term en- regulations; negotiate sector agreements. vironmental objectives and requirements. Industry ministry Mobilize sectors and identify necessary re- Identify and promote appropriate technol- sources. ogy; support improvements in management. Finance ministry Review resource pricing and incentives; Consider environmental objectives in de- support discharge fees and simiiar instru- signing fiscal instruments for industrial pro- ments. motion. Local government Negotiate site-specific agreements that ad- Ensure that infrastructure exists that encour- dress environment, employment, and lo- ages cleaner industry (waste disposal and cal concerns within a sector framework. recycling, educated work force, etc.). Broadly based busi- Accept and promote the concepts of Identify and build links with relevant over- ness organizations cleaner production; support sector initia- seas organizations and firms; advise busi- tives; encourage involvement of financial ness on suitability of incoming technologies; institutions; sponsor management im- promote development of indigenous firms to provement. provide services in CR Sector associations Accept and promote concepts of OP and Provide advice and support for the adop- cooperate in identification of technologies tion of appropriate new technologies and that are locally relevant to the sector. management approaches. Trade unions Assist in identification of issues and op- Promote continued training of work force in portunities: upgrade work-force skills. necessary skills and attitudes. Academic institutions Provide independent advice; conduct re- Develop technical and management skills search on local problems. to drive local initiatives in clean technology. Suppliers Provide advice on alternative equipment Develop cleaner alternatives. and materials. NGOs Transmit local community viewpoints and Mobilize public support for improvements priorities; assist in monitoring progress; and new techniques; encourage informed reach firms and groups that are outside wider debate on issues and options. the structured industry associations. World Bank and other Assist in designing and planning schemes; Assist in developing industrial policy and multilateral financial provide technical assistance and access promoting transfer of information and tech- institutions to funding. nologies; facilitate dialogue between public and private sectors. direct impacts on industry and because of the becoming less relevant, and improvement in one potential role that the private sector can play in often brings benefits to both (Box 3). initiating and developing process and opera- tional changes to achieve CP goals. It is impor- Set Clear Objectives tant to aim for high-level commitment from industry, as well-intentioned operatives at the In order to concentrate efforts and to pave the bottom of the management system have limited way for the important short-term successes that influence, can establish the credibility of a program, the fo- It is also essential to involve the work force in cus should be on a small number of specific tech- the program. The distinction between the work- nical objectives that are relevant, feasible, and ing environment and the general environment is measurable. Implementing Cleaner Production 141 the preparation and analysis of project pro- Box 3. Philippines posals.' The Metro Manila Clean Technology Initiative in- Where appropriate, provide start-up funds to volved pollution management assessments and overcome the reluctance of traditional sources technology-matching missions in six sectors. The to finance CR This is a good example of the missions brought small groups of industry represen- possibilities for a narrowly defined, limited- tatives and local regulators to the United States, life revolving fund with a specific objective of where they visited companies, regulators, and uni- achieving commercial mainstreaming of this versity centers to discuss regulatory approaches, type of finance. technology choices, and management issues. This Combine CP with the introduction of EMS. exposure to all sides of the difficult issues was very productive for the visitors, and the experience was disseminated through industry seminars following Monitor and Report participants' return to Manila. Investment opportu- nities identified in the sectors are being implemented The project should establish and publicize an through financing from a number of sources. agreed timetable for achieving measurable im- provement, together with mechanisms for moni- toring and reporting progress. A few simple Establish Incentives numbers should be used as indicators of the suc- cess of the CP program and of the consequent Appropriate external incentives must be estab- environmental improvements. lished. It may be necessary to raise resource prices and to ensure that the threat of enforcement of disposal requirements is credible. dispsalrequremntsis cedile.Financing constraints are often mentioned as a Design Interventions to Assist Industry major barrier to adopting CP, although in prac- to Adjust tice this is rarely the fundamental problem. In many cases, major reductions in pollution can be The following is an initial set of interventions that the veme om n estmentiismrequr have the potential to achieve results. Fr projects qin investment tefirst * Research, analyze, and publicize the options. In this source considered should be internal funds. If a way provide a menu of choices that can be comprehensive CP program has been prepared, adopted according to specific enterprise or lo- it may be possible to use the cash flow from ini- cal requirements. tial low-cost, quick-return measures to fund more * Provide technical assistance to help enterprises expensive investments later. evaluate their situation. Although technical in- Where external funding is required, the best formation may not be a sufficient condition for approach is for the firm to use its normal bank- change, it is a necessary condition. Continued ers or financiers. This is usually the route taken support should be given to programs aimed by the more sophisticated and advanced firms. at improving technical capabilities and iden- As with any other financing proposal, a thorough tifying opportunities. business plan for the introduction of cleaner pro- * Establish appropriate training opportunities for duction is needed, together with a realistic fore- management, workers, and regulators. Expe- cast of the benefit stream. rience with training courses that bring regula- In countries where the banking system is not tors and industry together has demonstrated sophisticated or where credit is restricted, the use major benefits. of environmental funds or lines of credits is fre- * Improve access to financing. Much more atten- quently suggested as a mechanism for encour- tion needs to be paid to issues of financing aging the introduction of CP. The issue of the when examining technical options, at the en- appropriate design and functional criteria for terprise or the sector level. This may require such finance is a difficult one, but some broad training both industry staff and financiers in comments can be made. 142 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT * Establishment of a successful fund is complex bitious than simply achieving a minimum num- and time consuming and requires high-level ber of CP projects. At the very least, a CP cam- involvement from environmental and indus- paign can be used as a starting point for try authorities. identifying and monitoring environmental prob- * Any subsidy or grant component is best used lems, for developing the technical analysis and to assist in identification of opportunities and the business plans required, and for building con- preparation of detailed proposals. Finance for fidence between the government, enterprises, the actual investments should be as close to and bankers. commercial rates as possible, to avoid distort- ing investment decisions. Governments' Role in Promotion * The routine operation of the finance facilities can be contracted to commercial banks. Expe- The development of capability in industrial man- rience to date, however, has been poor, with agement at a national level should be supported, the rate spread available and the volume of together with the capacity of the government to business often insufficient to ensure serious in- influence the direction of technology cooperation. volvement by the banks. CP is essentially a subset of good management * The main obstacle in finance appears to be not practices and perhaps is best supported in this lack of funds but rather the difficulty in turn- broader context. ing engineering reports into financial propos- als. Overcoming this shortcoming will require World Bank Involvement assistance to enterprises in learning how to prepare proposals and training of bankers to be more receptive to requests for environmen- The Wod B n anupor objcts o tal funding. * Care must be taken so that the availability of e It can continue to stress the need to achieve finance does not attract relatively high-cost CP real economic levels of resource prices, includ- proposals and distract the enterprise manage- ing fees and charges. ment from mundane but more cost-effective a Good practices in ecoefficiency, in its many as- housekeeping and management changes; pects, should be required in projects funded * In many cases, the initial sums required are directly by the World Bank. often small, perhaps a few thousand dollars. e The development of capability in industrial Very simple procedures must apply to such management at a national level should be loans if the transaction costs are not to be pro- supported, together with the capacity of the hibitive. There is a need to develop mecha- government to influence the direction of tech- nisms that will allow financiers to accept nology cooperation. greater risk with such small loans, perhaps Assistance might be provided to specific local through unusual endorsement procedures or or national CP initiatives and organizations, by developing a portfolio approach that will through their use as specialist consultants or absorb the inevitable nonperforming loans. by assisting such organizations to become self- supporting. The Broader Context The World Bank may have a particular role in assisting in the increased productivity and As noted, CP is only one element in improving environmental performance of the small- industrial environmental performance. Never- scale and informal sectors, where adoption theless, developing and implementing a CP pro- of improved methods is often very uneven gram can be an effective context for developing and where the social issues are especially im- environmental awareness and building the nec- portant. essary skills to undertake a wider range of envi- The World Bank can provide funding for CP ronmental improvements. For this reason, a projects, but its greatest contribution might be government strategy for CP should be more am- in the design of such funds and in environ- Implementing Cleaner Production 143 mental awareness raising and training for the ous Wastes include the establishment of re- commercial banks and other financial interme- gional centers in Central America that would diaries. provide advice, particularly related to waste * Information exchange and networking are minimization. critical. The World Bank may help, but it is not The UNEP Industry and Environment office obvious that it should take the lead. in Paris has been the leader in the promotion of C. It publishes a Cleaner Production news- Additional Resources letter and a range of related documents. The address is: A wide range of activities is under way, and it is UNEP IE not possible to provide a comprehensive list. Tour Mirabeau Much of the basic work has been carried out by 39-43 quai Andre Citroen international and bilateral agencies, which 75739 Paris CEDEX 15, France should be the first point of reference for further Telephone: 33-1-44-37-14-50 information. For example: Fax: 33-1-44-37-14-54 * A joint UNEP/UNIDO program is establish- World Bank work on CP in Asia has been co- ing National Cleaner Production Centers ordinated through the CP unit in the Asia Tech- (NCPC) to provide a focal point for CP efforts. nical Department. General advice on the Centers are being set up in China, the Czech implementation of CP can be obtained from Republic, India, Indonesia, Mexico, the Slovak the Environment Department through the Republic, Tanzania, and Zimbabwe, and sev- Technology and Pollution Policy Unit. eral others are under negotiation. * The EP3 Program, funded by USAID, has set Notes up local operations providing technical assis- tance and carrying out audits in Chile, Egypt, 1. Reported figures for the textile industry in one and Tunisia. Other initiatives have been pro- South American country indicate that 38% of the plants posed, for example, in Bolivia. have treatment systems installed but that more than * Bilateral donors are financing a range of CP half of these were not operating properly, reducing the efforts, including waste minimization audits effective share of plants with treatment to about 17%. and provision of technical assistance. For ex-project, ample the Norwegian and U.S. governmente the World Bank China CP project, and Norwegian ampl theNoregia an U.S goernmnts USAID programs in Central and Eastern Europe. are supporting a major program in Central 3. It is notable that the Norwegian CP program in Europe. Poland is reported to have put 20% of its effort into * Efforts under the Basel Convention on Con- economic and financial training rather than technical trol of Transboundary Movement of Hazard- analysis. Management of Hazardous Wastes Managing hazardous wastes is a growing concern in many countries. The long-term impacts and costs of improper disposal can be very high, and the emphasis must be on prevention. A comprehensive management system should include (a) policies, institutions, and effective regu- lations and (b) adequate and acceptable disposal facilities, either public or private. This chapter outlines the key elements of such a system. Improper disposal of hazardous wastes is an in- * Hazardous characteristics (e.g., toxicity and creasing problem in many developing countries. flammability) Typically, but not ideally, the first stages of pol- * Certain toxic components (e.g., PCBs and lution control focus on discharges into air and arsenic) water, leaving a wide range of other materials 9 Types of materials (e.g., organic solvents and that are poorly controlled. These materials in- explosives) clude substances that pose serious threats to pub- * Processes from which hazardous wastes origi- lic health and the environment and that are nate, such as refining and clinical work considered hazardous under almost any defini- * Specific waste streams such as chemical waste- tion. Examples include sludges from chemical water treatment sludges. plants, clinical wastes, contaminated oils, and metal-bearing wastes. Materials of particular con- efiin hazaros w asiclt the cern are those that do not degrade quickly in the p p g environment, such as metals and persistent work in dee cout honote d chemicals, and that can pose a threat for long had b ates about w onsties periods into the future. hazado te. Pragmai r efin tios Proper management and disposal of hazard- ce dopedi ous wastes is expensive, and therefore illegal M isuevloed dumping is common in many areas. The conse- that y p pp quences includehazardous for regulatory purposes. Clearly, there dation but also the undermining of legitimate have to be procedures for granting exceptions waste management systems. Control of dump- ing is thus a key issue to be considered when designing and implementing regulations. The World Bank can assist governments in designing and implementing hazardous waste management systems and in the provision of Although for planning purposes it.is necessary appropriate treatment and disposal facilities, of- to estimate the total volume of waste produced, ten with the involvement of the private sector. one should avoid putting too much effort into trying to refine numbers. Estimates are inherently Scale of the Problem unreliable, for several reasons. To begin with, recorded data on waste quantities are almost Definitions never available, and quantities have to be esti- mated on some basis such as number of firms, Hazardous waste can be defined in a number of value of output, or number of employees. The ways including: coefficients for such estimates are very unreliable, 144 Management of Hazardous Wastes 145 and the resulting figures can vary by an order of industry may be in the position of having no re- magnitude. Even where estimated quantities are alistic options for compliance with the law. Gov- available, definitional questions can have a ma- ement policy must therefore address the jor impact. For example, wastes from mining or problems of phasing in the new regulations, by materials processing can often be a major por- assisting in the provision of some acceptable fa- tion of the total, and their reclassification can have cilities or by licensing interim solutions. a significant effect on the estimates of total "haz- ardous" wastes. Basel Convention A related planning problem is the highly elas- tic nature of waste generation. Once real disposal There have been a number of cases of export of costs are imposed on the generators through hazardous wastes from countries with strict regu- regulatory effort the reductions in waste quanti- lations to those without similar controls, result- ties can be dramatic. Experience has shown that ing in serious pollution problems in the receiving wastes delivered to treatment facilities have, in countries. This trade in hazardous wastes is now some cases, been only one third of the design es- controlled under the Basel Convention (the Gl- timates of wastes generated. This drop is ascribed bal Convention on the Control of Transboundary to a combination of waste reduction and evasion Movement of Hazardous Wastes, adopted at of the regulatory system. Basel in 1989). The convention also promotes the For practical purposes, estimates of quantities development of sound national management of should be based on a relatively narrow defini- hazardous wastes as a prerequisite for the con- tion, perhaps in terms of specific industries or trol of transboundary movement. process streams, and realistic allowance should be made for the effects of waste minimization. Policy and Regulation Prevention Hazardous wastes are by their nature a threat to public health and the environment and therefore Id te getion of hazaro es need to be regulated under the full force of the shouldce avidedaloetris clea from ex- law. However, management of hazardous wastes priec n indusra tes wit strong co is complex, and regulations must be developed tlsmn had wastes at it is p eto within the context of a comprehensive policy that eimintererTi w s and mk maorireduc- covers the responsibilities of different parties, tios n o the eebiosi the methods for defining hazardous wastes, incen- realtcostsiofedsposalfon theageerators,tatnwhic tives to reduce quantities, education of waste poite incentior clener prouctinean generators and the public, the establishment of te minmition becme ery stong. W e approved facilities (with particular concern for th e ction o h h ardu t e tbe criteria for siting), and systems for controlling eiad, actisoul be taen or the and monitoring the movement and disposal of hazadouy hazardous wastes. Legislation on hazardous wastes should be coordinated with other related topics such as management of hazardous mate- Responsibility for Wastes rials and industrial health and safety. The establishment of a hazardous waste man- Unfortunately, proper treatment and disposal is agement system is often complicated by a costly, while illegal dumping is very cheap and "chicken and egg" problem: legislation may re- therefore profitable for illegal waste haulers. An quire disposal in approved facilities, but such effective control system is essential both to pro- facilities are expensive and will usually not be tect the environment from illegal dumping and established until legislation and enforcement to internalize the disposal costs to waste genera- have demonstrated the scale of the "market" for tors in an equitable way. The basic principle un- proper disposal. In the initial stages, therefore, derlying control systems is that waste generators 146 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT should be responsible for the final disposal of as final disposal. This allows the facility to take their wastes in an acceptable manner. advantage of economies of scale and of opportu- In practical terms, three different actors have nities to blend different waste streams and to re- to be considered in waste management: the gen- cover some materials, particularly oils and erator, the disposal facility, and the transporter solvents. Such a facility can be complex and needs of the wastes between the first two. The law will proper management and supervision. Potential normally put the responsibility on the generator, operators need to demonstrate the necessary but there must be a system that allows the gov- technical, financial, and managerial capabilities ernment to monitor the movement of wastes from before a license to operate is issued. Any dis- the generator to approved disposal. Such a sys- charges from the site to air or water need to be tem normally consists of a number of elements. very closely controlled and monitored. These include placing formal responsibility on Final disposal is almost always incineration the generator to prove its compliance with dis- or landfill. (Since incineration generates an ash, posal requirements, licensing waste haulers and which is normally landfilled, it is sometimes disposal facilities, and establishing a manifest considered a treatment step rather than final system to track the movement of wastes. disposal, but this distinction is not often im- In the design of a manifest system, care must portant.) be taken to provide sufficient control without generating excessive administrative or regulatory Incineration effort. The basic principle is that each load of waste is accompanied by a multicopy document Incineration involves the thermal destruction of that identifies the characteristics of the waste, the gaseous, liquid, or solid wastes. Thermal oxida- approved disposal facility, and the responsible tion converts complex organics into simple com- companies or individuals. Copies of the mani- pounds, greatly reduces waste volumes, and can fest are held, at a minimum, by the generator and recover the heat content of wastes. Incineration the disposal facility. The manifest can provide requires relatively high temperatures (typically valuable information to the authorities about above 1,000'C), normally requires control of flue patterns and trends in waste generation and dis- gases, and generates small quantities of ash or posal and make possible confirmation of com- slag. pliance with regulations. Hazardous waste incineration normally takes place in purpose-built facilities whose high capi- Storage of Hazardous Wastes tal and operating costs require significant throughputs for economic viability-typically, A hazardous waste management system should more than 10,000 metric tons a year. This required include regulations governing the storage of haz- scale limits their feasibility in many newly indus- ardous wastes at the generator's site or at any trializing countries. other transfer or disposal facility. In the absence Incineration is an accepted form of disposal of approved (or affordable) disposal options, it for certain wastes in industrial countries, where is common for generators or transporters to store careful gas cleaning and monitoring are required. wastes as a stopgap measure, but this approach Similar systems can be suitable for developing can result in neglected piles of deteriorating countries if adequate attention is given to the wastes that pose significant hazards. It is not ac- management and monitoring aspects. ceptable to allow generators to stockpile wastes Successful incineration requires good design over an extended period of time as a way of and careful operation. The key operational avoiding disposal problems. characteristics are temperature, residence time, and turbulence in the combustion chamber, all Treatment and Disposal Facilities of which affect the efficiency of destruction. A poor installation can emit particulates, acidic Hazardous waste facilities frequently comprise gases, unburned wastes, and trace quantities storage, recovery, and treatment stages, as well of hazardous organic by-products. Some wastes, Management of Hazardous Wastes 147 such as PCBs, require careful control to ensure, with regard to the type and quantities of indus- for example, that minimum temperatures are trial wastes and should not be used as a cheap maintained. alternative to proper management of these Selected wastes can be incinerated in high- wastes. temperature process plants such as cement kilns. However, the waste stream must be lim- Development of a Hazardous Waste ited to those wastes for which full destruction Management Plan can be ensured and no unacceptable residues are emitted. The key steps in a systematic approach to devel- oping a national hazardous waste management Landfills plan can be summarized as follows. (For further The final disposal for many hazardous wastes or their treated residues is controlled land disposal. - Define the scope. However, a properly located, engineered, and - Define the objectives and constraints. operated hazardous waste landfill is a major fa- * Formulate the key questions to be addressed. cility, not to be confused with the uncontrolled - Collect the necessary information. or open dumping that frequently occurs. Such * Prepare a technical assessment of appropriate controlled or "secure" landfilling should be used available technologies. only for the minimal quantities of remaining - Review the existing situation and develop a wastes after all possible reduction and treatment short list of critical problems and the techni- have been carried out. cal options. The main environmental threat of a landfill is * Prepare a number of alternative management water pollution. A landfill should be sited where plans, based on the preferred technical options. the geological and hydrological characteristics - Conduct review, discussion, and feedback. are least likely to allow impacts on groundwater - Make decisions and carry out implementation or surface water. and regular monitoring and adjustment. A well-designed, secure landfill is normally divided into a number of cells to allow for better Economic justification of Hazardous Waste control of operations and to allow segregation of Management Programs incompatible wastes. The landfill is lined, often with a double or even triple lining, and has Given the amount of public attention focused on leachate collection facilities and groundwater hazardous wastes, it is surprising how little is monitoring systems. The design should include known about the nature and scope of the risks provisions for the closure and long-term mon- involved. While the potential risks to public health toring of the site. Operation of the landfill should from exposure may be significant, not much is include requirements for pretreatment and con- known about the actual risks to public health. tainment of wastes, control and recording of There is a significant lack of epidemiologic dose- the burial of different waste types, planning response data linking the level of exposure to and preparation for spills and accidents, and various toxins in the ambient environment with regular monitoring of the surrounding environ- human health impacts. The lack of solid data ment. on risks will continue to limit our understand- The joint disposal of domestic and certain se- ing of the benefits of hazardous waste regulation. lected industrial wastes in a properly designed Very few studies or formal risk assessments have and operated municipal landfill may be accept- been conducted in the vicinity of abandoned able as an interim measure or where investiga- or currently operating facilities. In addition, tions have demonstrated that the wastes involved examples of significant and direct health im- are compatible. (For example, waste motor oils pacts from hazardous wastes are limited (ex- or some sludges may be acceptable.) However, amples are Minimata disease, Itai-itai, and such joint disposal should be carefully controlled pesticide poisonings). While the risks to human 148 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT health are difficult to calculate, some damages can Financing and Funding be more clearly associated with hazardous wastes, such as the loss of value in contaminated land Proper management, treatment, and disposal of and the loss of productive water supply aquifers. hazardous wastes are costly; and there are strong Uncertainty about risks causes uncertainty incentives for generators and transporters to about regulatory benefits. The current limited avoid paying the real costs. In practice, it has knowledge of the chronic health effects of low normally been difficult to implement a realistic exposure to many hazardous wastes makes it vir- system of charges for hazardous wastes without tually impossible to estimate the benefits of re- a strong enforcement regime, which is itself rare. ducing the impacts. One economic justification The consequence is that it is almost impossible, of a hazardous waste management program is especially in the early stages of a new system, to the benefits in terms of future cleanup costs generate an adequate revenue stream to cover the avoided. However, given the uncertainty about costs of the necessary facilities. In the absence of the location and extent of future damage and a reliable revenue stream, it is difficult to finance about the rules for the level of cleanup that might the capital investment required. The lack of an be required, the estimation of benefits is ex- effective system for imposing costs on genera- tremely uncertain. In fact, numbers from the U.S. tors also undermines any financial incentive to experience show that benefits in these cases are adopt waste reduction measures. International more often low than high. It is difficult to com- experience indicates that integrated hazardous pare hazardous wastes with other environmen- waste treatment facilities are typically not com- tal problems for which it is easier to estimate mercially viable except in well-regulated indus- benefits in terms of overall reduction of risk to trial countries. public health. Without a credible government-driven market An economics-based approach to managing for hazardous waste management infrastruc- hazardous wastes takes advantage of incentives ture, it is difficult to expect investment by in- to reduce risks while balancing the costs and ben- dustry or the financial sector in this area. In efits of doing so. One way of achieving this is to this case, a transition period of blended incen- tailor requirements to reflect the wide variations tives ("carrots") and disincentives ("sticks") can in the risks of different waste types, disposal sites, be used, as has been the case in many OECD and exposure conditions (rather than regulating countries and, more recently, in Asia. Subsi- facilities at the same level), and concentrating dized seed capital and targeted credit, for a lim- resources on the worst risks first. ited period of time, can help ease the adjustment of industries to a tighter regulatory environ- Siting: A Critical Issue ment as they face one-time adjustment costs and can strengthen the environmental services The location of a hazardous waste facility requires industry's ability to provide services for hazard- careful consideration of a wide range of techni- ous waste management. cal, economic, and social factors. It is often a con- troversial process because of local opposition. Role of the Private Sector Many schemes have been delayed or abandoned because of difficulties in obtaining an acceptable The overall design and implementation of a haz- site. The government obviously has a role in lead- ardous waste management program is normally ing the siting process and ensuring that clear in- a government function, but the private sector can formation is provided, that there is a process for play a major role in the provision and operation taking local concerns into account, and that real- of the necessary facilities. Transport of wastes is istic commitments are made about control and nearly always a private sector function, although monitoring of operations. An environmental as- careful control and licensing by the relevant au- sessment will normally be required, depending thorities may be required. on the type, scale, and location of facility being The design, construction, and operation of proposed. treatment and disposal facilities are frequently Management of Hazardous Wastes 149 carried out by the private sector. However, par- technology facility, but it operates at a low level ticularly in the early stages of a hazardous waste of cost recovery. management program, government involvement More successful approaches are based on sim- may be required in the siting and initial devel- pier facilities to deal with a somewhat limited opment of key facilities. In most cases, some prac- range of wastes. One such site with a stabiliza- tical demonstration of government commitment tion system and secure landfill, together with the to regulation of waste generators and haulers facilities for burning waste oil in a cement plant, may be required to convince the private sector is reported to have cost US$20 million for a total to invest in major facilities. capacity of 70,000t/y (about US$300 per metric ton capacity). Remediation A Road Map A national or regional hazardous waste manage- ment plan should identify existing hazardous Development of a hazardous waste management waste dumps, illegal sites, and areas contami- system is a complex and time-consuming task, nated by toxic or hazardous materials. However, but experience suggests a number of steps: the costs of remediation can be high, and careful 9 There must be the political will to impose the assessments of the benefits should be carried out costs on the generators, through enforcement before any commitments are made to spend pub- or other persuasive mechanisms. lic funds on cleanup. * Start by dealing with the simpler problems for Experience with high cleanup standards in the which there are well-established technical so- United States and the Netherlands has shown lutions that the result can be very costly projects with- - Address the siting problem early-it is very out correspondingly high benefits. An alternative difficult for the private sector to obtain sites approach is to design cleanup to meet the require- without government involvement in the selec- ments for realistic subsequent land uses. tion process. Where possible, use existing sites, as long as they are technically and environ- Scale and Costs of Facilities mentally acceptable. -Be skeptical about projections of quantities; de- Some indicative values can be given for the scale sign a flexible system. Support waste reduc- and cost of typical facilities. tion and recycling efforts. The construction costs for a secure hazard- * Focus on prevention of dumping; remediation ous waste landfill will obviously depend on the of contaminated sites is usually a second size, but a facility capable of accepting 100,000 priority. metric tons (t) per year would probably cost US$3 million-$8 million for initial construction. Reference and Sources The planning, siting, and permitting processes can add 10-20% to this cost. Basel Convention. 1994. "Framework Document on the The economic minimum size for an integrated Preparation of Technical Guidelines for the Envi- facility (treatment, incineration, and landfill) is ronmentally Sound Management of Wastes Subject probably of the order of 20,000-40,000t/year ca- tat ofte BasentConventon,meneva. pacity. Such a facility would cost US$20 million- $50 million to construct (say US$1,000-$1,500 per Batstone, Roger, James E. Smith, and David Wilson, metric ton capacity) and would require revenues eds. 1989. The Safe Disposal of Hazardous Wastes: The of perhaps US$500-$1,000/t for profitable opera- Special Needs and Problems of Developing Countries. tion. In practice, such facilities are not usually World Bank Technical Paper 93. 3 vols. Washing- commercially successful outside well-regulated ton, D.C. industrial countries. For example, Hong Kong IMO (Interational Maritime Organization). 1995. "Gl- (China) has developed a successful large, high- bal Waste Survey: Final Report." Draft. London. 150 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT UNEP (United Nations Environment Programme). WHO (World Health Organization). 1983. "Manage- 1992. "Hazardous Waste Policies and Strategies: A ment of Hazardous Waste: Policy Guidelines and Training Manual." UNEP Industry and Environ- Code of Practice." Regional Publications, European ment Programme, Technical Report 10. Paris. (Also Series 14. WHO Regional Office for Europe, available in French and Spanish.) Copenhagen. Pollutant Release and Transfer Registers A Pollutant Release and Transfer Register (PRTR) is a tool that can augment government efforts to achieve integrated environmental management and promote pollution prevention. PRTRs are part of a new cooperative approach to environmental management involving gov- ernments, industry, and the public. All three groups can use the information generated in a PRTR to improve efficiencies, monitor environmental policy, initiate cleaner production, and reduce waste. Although this approach is now being implemented in several industrial coun- tries, the relative novelty of PRTR means that the uses and benefits of these programs in developing countries are still unfolding.' A PRTR is an environmental database or inven- What Are the Benefits of a PRTR? tory of potentially harmful releases to air, water, and soil, as well as of wastes transported to treat- Establishing a PRTR can lead to a number of ben- ment and disposal sites. Facilities releasing one efits. However, it is important to note that gov- or more of the substances must report periodi- ernments, the private sector, and the public derive cally on what was released, the quantities in- different benefits and uses from a PRTR system, volved, and to which environmental media. Some and these depend strongly on the goals, objectives, PRTR systems include estimates of diffuse re- design, and operation of the specific system. leases, such as those from transport and agricul- Among the possible benefits are the following: ture. Most national schemes make PRTR data available to all interested parties. e A PRTR allows governments to develop envi- Several OECD members have established or ronment strategies and identify priorities by are developing a PRTR system: Australia, providing baseline information about the pol- Canada, the Czech Republic, France, the Nether- lution burden. lands, Mexico, Switzerland, the United Kingdom, It allows governments to monitor progress on and the United States. One of the earliest and achieving pollution or chemical reduction ob- best-known systems is the U.S. Toxic Release In- jectives and to identify trends over time. ventory (TRI), which in 1993 included more than e It helps firms identify material loss and stimu- 23,000 industries. In September 1996, the Euro- lates more efficient use of chemical substances. pean Union approved an amendment to the In- * It allows more informed participation of the tegrated Pollution Control Directive requiring all public in environmental decisionmaking by member states to implement a pollutant emis- providing the public with information about sions register. Each PRTR system is developed hazardous chemicals and potential risks in according to national (sometimes regional and their communities. local) goals and objectives, and no two systems - It can help identify priority areas for the intro- are the same, even though many features are simi- duction of technologies for cleaner production lar. Each PRTR responds to the conditions and and provide indicators for monitoring the suc- priorities within the specific country. The design cess of such approaches. and operation therefore differ, but there are many - It can provide information to help in planning commonalties between national PRdR systems. for possible emergencies. 151 152 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT * It provides a template for environmental re- Basic Principles porting under EMSs such as ISO 14000. (If in- dustries have already implemented auditing, Several basic principles underpin the establish- monitoring, and reporting systems this will ment of an effective system. Governments wish- greatly facilitate their ability to do PRTR work ing to implement a PRTR need to review and cost-effectively.) address each principle in the context of their own * It complements active industry programs such circumstances in order to develop a practical na- as responsible care. tional PRTR system. * It offers companies the opportunity to lead by example; providing release and transfer infor- Use of Data mation can change the public's image of a com- pany and its response to the company's The PRTR data should be used to promote pre- activities and allow workers and the public to vention of pollution at the source, e.g., by encour- be informed about the pollutant releases in aging the implementation of cleaner technologies. their local environment. National governments should use PRTR data It is important to bear in mind that the ben- to evaluate the progress of environmental polices efits achieved through PRTR do involve costs. As and to assess the extent to which national envi- might be expected, the costs are highest at the ronmental goals are being or can be achieved. outset, when the reporting facilities must iden- tify what data to report; the government needs Affected and Interested Parties to collect, collate, organize and disseminate data; and the public accesses the outputs of the PRTR In devising a PRTR system, or when modifying system. existing systems, governments should consult Experience of OECD member countries with affected and interested parties to develop a set operating PRTR systems indicates that the costs of goals and objectives for the system, and to to government and reporting firms are incurred identify potential benefits, and to estimate the during the first and second reporting cycles. Af- costs to firms that will have to report, to govern- ter this initial outlay, costs for collecting, report- ments, and to society as a whole. ing, and collating the information drop The results of the PRTI should be made ac- considerably. cessible to all affected and interested parties on a timely and regular basis. Developing a PRTR System Guidance Manual for Governments * PRTR systems should cover a realistic num- Under the auspices of the International ber of those substances that may be harmful Programme for Chemical Safety, the UN organi- to humans or to the environment into which zation with responsibility for the development the substances are released or transferred. of PRTRs, the OECD developed a guidance - PRTR systems should involve both the public manual for governments wishing to implement and private sectors, as appropriate. A PRTR a PRTR system. A series of workshops attended should include those facilities or activities that by representatives from governments, industry, might release or transfer substances of inter- and NGOs culminated in the development of a est and, if appropriate, should also include manual setting forth basic principles for devel- diffuse sources. oping a PRTR and presenting a set of options for 9 To reduce duplicative reporting, PRTR systems implementing an effective system. The next sec- should be integrated to the degree practicable tion highlights key aspects of the guidance with existing information sources such as li- manual. censes or operating permits. Pollutant Release and Transfer Registers 153 * Both voluntary and mandatory reporting mechanisms for providing PRTR inputs should be considered with a view as to how best to meet national goals and objectives. * Consult with interested and affected parties * The comprehensiveness of any PRTR in help- (stakeholders). ing to meet environmental policy goals should * Develop a list of potentially hazardous pollut- be taken into account. For example, whether ants or chemicals. to include releases from diffuse sources ought * Define the scope of the system (who must re- to be determined by national conditions and port, to whom, how often, and so on). the need for such data. 0 Define what will be reported (e.g., which pollut- SAny PRTR system should undergo regularsources, data * An PRT sytem houd unerg reglarto specify the location and type of facility, etc.). evaluation and have the flexibility to be altered * Analyze existing reporting requirements to iden- by governments in response to the evaluations tify how they can be used to attain PRTR ob- or to the changing needs of affected and inter- jectives. ested parties. 0 Determine how claims of confidentiality will be * The data handling and management capabili- handled. ties of the systems should allow for verifica- * Develop data verification methods. 0 Define resource needs for the program. tion of data entries and outputs and be capable 0 Define a program review system that will allow of identifying the geographic distribution of updates and modifications to the system as it releases and transfers. grows and advances. * PRTR systems should allow, as far as possible, * Formulate an information dissemination strategy. for comparison of information and coopera- tion with other national PRTR data systems and for consideration of possible harmoniza- tion with similar international data bases. Box 2. Common Set of Data Elements * The entire process of the establishment, imple- mentation, and operation of the PRTR system man address f repti should be transparent, objective, and consul-malnadrsififent shativ e trsa ret obetv,an osl Grid reference or latitude and longitude of re- tative.porting facility * PRTR data are valuable to the general public * Activity identifier-e.g., Standard Industrial only if they are interpreted and presented in a Classification (SIC) or four-digit International way that is understandable for nonspecialists. Standard Industrial Classification (ISIC) code . Chemical name and identifier for each sub- PRTR Design stance covered 0 Amount released and amount transferred, in agreed units A PRTR is an incremental process. Before embark- 0 Time period covered by the report ing on the detailed design of a system, it is im- 0 Claim for confidentiality for any of the data pro- portant to review national policy goals and vided objectives and then coordinate local and regional needs. As goals and objectives are developed, governments should ensure that the system is for a national PRTR information system. These compatible with other key data systems in op- elements are listed in Box 2. eration (e.g., a global information system, or GIS, that could help meet the primary objective of the The Case of Small and Medium-Size PRTR). There are several key components to de- Enterprises signing a PRTR, as listed in Box 1. During the preparation of the OECD's PRTR Frequently, SMEs make up 80-90% of all indus- guidance manual, a common set of data elements trial establishments in a country. For example, in emerged that can be seen as the building blocks the European Union over 90% of all firms have 154 IMPLEMENTING POLICIES: INDUSTRIAL POLLUTION MANAGEMENT fewer than 50 employees. Many SME operations under different PRTR schemes. The OECD will are releasing large amounts of potentially haz- be conducting a study of reporting firms to find ardous pollutants into the environment as a re- out whether and to what extent a PRTR has af- sult of their daily operations. fected pollution prevention or promoted cleaner Countries with operating PRTR systems have technologies; to identify the costs of reporting developed different methods of handling SMEs under different PRTR regimes; and to analyze the at different levels. For example, Canada and the role of a PRTR within the context of the EMS ISO United States both have a reporting threshold: 14000. Following the first phase of the study, in firms with 10 full-time employees or more must 1997, the OECD in 1998 held an international report PRTR data. In addition, there are thresh- PRTR conference for governments, industry, olds for quantities of toxic chemicals released. NGOs, academics, and experts from around the The United Kingdom requires SMEs to report if world. The preliminary results of the 1997 study they fall into a specific process or production were one of the topics of the conference. category. These countries use a much simpler form for reporting of releases and transfers by Note SMEs, i.e., requiring coverage of only a subset of substances. 1. This chapter is based on a discussion paper Whether or not SMEs are required to report, prepared by the Environment Directorate of the the inclusion of SME figures is important for es- OECD. tablishing a national profile of potentially harm- ful releases and transfers. If it is decided that SMEs are not required to report, estimates of Commission for Environmental Cooperation. 1996. SME releases should be included in the PRTR "Putting the Pieces Together: The Status of Pollut- to provide a better representation of the na- ant Release and Transfer Registers in North tional situation. America." Quebec, Canada. Also available in Span- ish and French (Web address: http: / /www.cec.org). Future Work by the OECD OECD (Organisation for Economic Co-operation and Development). 1996. "Pollutant Release and Trans- During 1997, the OECD Secretariat collected in- fer Registers: Guidance Manual for Governments." formation on the costs to industry of reporting Paris. Environmental Funds Environmental funds are increasingly popular environmental financing mechanisms in de- veloping and transition economies. The failure of governments to tackle environmental prob- lems by putting in place incentive policies, environmental regulations, and enforcement mechanisms, as well as failures of thefinancial and capital markets to provide access tofinanc- ing at reasonable terms, are typically the underlying reasons why special environmental fi- nancing mechanisms are established. Environmentalfunds, however, often only postpone rather than solve these problems, and they may contribute to existing distortions. This chapter pro- vides guidance on approaches to dealing with environmental funds. Main Categories and Characteristics are usually set up as extrabudgetary funds func- of Environmental Funds tioning as part of the environment ministry or strongly influenced by it. ETFs often lack trans- Environmental funds are earmarked financing parency, and the participation and influence of mechanisms that may support a variety of envi- the main stakeholders in decision- making are ronmental expenditures. Three main categories limited. of environmental funds can be distinguished: earmarked tax funds (ETFs), directed credit Directed Credit Funds funds (DCFs), and green funds (GFs).' Some examples of environmental funds are shown in DCFs may be established as financial intermedi- Table 1. aries by either donor organizations such as the World Bank or national governments. They are Earmarked Tax Funds designed to finance small commercial or munici- pal pollution abatement projects by avoiding the ETFs are created by governments that desig- transaction cost of direct financing.2 DCFs typi- nate environmental taxes, charges, and other, cally operate on a revolving basis, often for a pre- mainly environment-related levies for special determined time period corresponding, for funds. Several countries (e.g., Poland and Rus- example, to the disbursement period of donor sia) have attempted to set up a charge system to lending. They are commercial institutions with compensate for environmental damage and cre- strong development goals aimed at correcting ate incentives to change polluter behavior. In re- certain market, administrative, and regulatory ality, however, charges are rarely high enough to failures. Donor lending is sometimes supple- significantly influence behavior. ETFs are exten- mented by the recipient government or other sively used in transition economies, where they sources in order to soften onlending terms have a broad range of environmental financ- through grant elements, technical assistance, or ing objectives, including nature and biodiver- better-than-market interest rates. sity conservation; environmental education and awareness building; environmental research and Green Funds institution building; and public and private pol- lution abatement. Public and commercial financ- GFs are typically capitalized at the initiative of ing functions are mixed in the operation of ETFs external donors by one-time donor contributions that typically provide grants and soft loans. They or debt-for-nature swaps to finance expenditures 155 156 IMPLEMENTING POLICIES: FINANCING ENVIRONMENT Table 1. Examples of Environmental Funds Example Revenues Main expenditures Beneficiaries Disbursement Earmarked tax funds Hungary: Fuel tax; product Air pollution abatement; Public transport com- Grants; low-interest Central Environmen- charges; traffic waste management; wa- panies; municipali- loans tal Protection Fund transit fee; pollu- ter pollution control; pub- ties; industrial enter- tion fines; EU lic awareness building prises; research PHARE grant institutes Poland: Air and water pol- Air and water pollution Industrial enterprises, Soft loans; loan guar- National Fund for lution charges; abatement; soil protec- municipal companies, antees, grants Environmental water use and tion; environmental moni- universities Protection and Water waste charges toring and education Management Russia: Pollution charges, Pollution control; environ- Municipal compa- Grants Federal Environmen- fines mental R&D; institution nies; industrial enter- tal Fund building prises; research institutes Directed credit funds China: IDA credit; pollu- Waste reduction and re- Industrial enterprises Market-rate loans Tianjin Industrial tion charges covery; pollution preven- plus grant (10-30%) Pollution Control tion (cleaner technology) Fund Russia: IBRD loan Waste recovery Public and private in- IBRD rate plus 400 Pollution Abatement dustrial enterprises basis points Facility Slovenia: Budget allocation; Urban pollution abate- Households; coop- London interbank of- Eco-Fund IBRD loan ment eratives; commercial fered rate (LIBOR) and industrial enter- plus 200 basis points prises; municipalities Green funds Bolivia: Debt-for-nature Support to protected ar- Local communities; Grants FONAMA swaps by interna- eas in nature conserva- NGOs tional NGOs; for- tion eign government contributions Colombia: Debt-for-nature Nature protection; envi- NGOs; local groups Grants ECOFONDO swaps; NGOs; for- ronmental education; in- eign governments tegrated watershed man- agement in nature and biodiversity protection, most are undertaken. A popular form of GFs is trust often providing grants to cover the recurrent funds that utilize only the revenues of invested costs of operating national parks and small funds, leaving the principal intact. Many GFs community-based programs.3 The willing- have successfully pooled revenues from various ness of industrial countries to contribute to GFs donor sources. In some cases, domestic sources, is strengthened by the benefits of investment in such as royalties and ecotourism revenues, also nature conservation that accrue outside the accrue to the fund. The design of GFs usually re- boundaries of countries where such investments quires transparency of spending and decision- Environmental Funds 157 making and the participation of the main stakehold- and raising enterprise awareness of environmen- ers such as NGOs and community groups. tal costs. Environmental funds are generally better Conceptual Issues suited to addressing "green" (nature and bio- diversity protection) than "brown" (pollution Environmental funds are financing mechanisms abatement) issues. The use of public funds to fi- established to solve the problem of "insufficient nance environmental expenditures is justified funding" for environmental projects. Although when benefits cannot be allocated to private eco- dysfunctional and underdeveloped financial and nomic agents or public financing is more efficient capital markets, unsolved collateral issues, high than private. Most green environmental expen- transaction costs, and insufficient information ditures fall into this category because of their glo- often limit access to financing in developing and bal and transgenerational benefits. By contrast, transition economies, such constraints are not pollution is a negative externality that can be unique to environmental investments. Financial tackled most effectively by making polluters in- system weaknesses affect all investments in the temalize the social costs of pollution. The use of economy, but the key financial constraints on public funds to support pollution abatement environmental investments are typically on the should therefore be temporary, targeted to areas demand side. Some of these constraints are: where it can accelerate environmental improve- ments and the adjustment of behavior to chang- * The failure of governments to tackle environ- ing environmental regulations. mental problems by putting into place proper Because of the fundamental differences in incentive policies, environmental regulations the nature of various categories of environmen- and enforcement tal funds, they do not mix easily. Donors, for * Low political priority attached to the environ- example, have not considered most ETFs suitable ment in government budgeting channels for their financial resources. The World * Uncertainties about environmental regulations Bank decided to capitalize new DCFs in several and the low perceived likelihood of serious countries (e.g., China and Russia) despite exist- penalties for violating regulations ing ETFs. There are many reasons for such in- * Limited knowledge and expertise available to compatibility, including: conceptual problems municipalities, local groups, and enterprises in using earmarked tax revenues for primarily for identifying solutions to environmental commercial lending; lack of financial and bank- problems, using alternative funding sources, ing expertise in ETFs; a too broadly defined and preparing projects for financing mandate of ETFs; lack of transparency and ac- * Sluggish response of polluters to incentives as countability in the operation of ETFs; and lim- a result of the dominance of the public sector ited willingness of ETFs to accommodate donor * Slow change in traditional enterprise decision- requirements. making, capital budgeting, and accounting Financing through environmental funds will practices that traditionally exclude environ- be effective only if the underlying reasons for the mental considerations. environmental problems are simultaneously tackled at the policy level. Most environmental Key Lessons from Practical Experience problems are the result of regulatory and market failures such as price subsidies for energy and Raising awareness of environmental problems fertilizers, underpriced natural resources, unde- has been one of the main benefits of environmen- fined property rights, and the failure of environ- tal funds. Donors have used their financial lever- mental regulations and enforcement to force the age successfully during the establishment of internalization of the social costs caused by en- several green funds, for example, by requiring vironmental damage. Without policy reform to matching funds and government commitment to accompany the operation of environmental policy reform. ETFs have facilitated the introduc- funds, environmental problems re-create them- tion of environmental taxes, establishing the selves, and environmental funds postpone the framework for incentive environmental policies introduction of sustainable solutions. 158 IMPLEMENTING POLICIES: FINANCING ENVIRONMENT Without strengthened environmental regula- ommended that World Bank staff consider policy tions and enforcement, environmental funds send issues, design issues, onlending criteria, and the wrong messages and contribute to existing measures to be avoided. distortions. Subsidies to remedy environmental problems and to provide public environmental Policy Issues services may reward and attract environmentally damaging practices, lead to postponement of * Examine or identify the environmental priori- environmental improvements in expectation of ties of the borrowing country. support, and crowd out commercial financing. - Identify steps and measurable indicators of Only a carrot-and-stick approach that simulta- strengthened environmental policies. neously rewards improved practices and strengthens environmental policies, regulation, Design Issues and enforcement can ensure the positive role of environmental funds. 9 Evaluate the pros and cons of direct versus in- Environmental funds can more effectively con- termediary lending alternatives. tribute to finding sustainable solutions to envi- * If intermediary lending is justified because of ronmental problems if attention is paid to the high transaction cost of reaching a large building self-financing capacities and tackling the number of small borrowers, assess the follow- causes of financial constraints. Environmental ing choices of intermediaries: the banking sec- funds should therefore focus on eliminating such tor; an existing environmental fund; and a new constraints as lack of information about alterna- environmental fund. The default should be tive ways to achieve environmental improve- onlending through the banking sector rather ments, limited access to commercial financing, than establishing new institutions and full- and lack of cost recovery. blown environmental funds. For environmen- Without a clear spending strategy and eligi- tal funds designed to address pollution bility and project selection criteria based on cost- abatement, establish a schedule for phasing effective solutions to environmental priorities, out the environmental fund tied to the allocation of financial resources becomes sub- monitorable improvements in environmental optimal and wasteful. Environmental funds regulations and enforcement. should therefore have links to the environmen- Onlending is best introduced on a pilot basis, tal policymaking body to obtain guidance for and a thorough economic analysis of the im- spending priorities. pacts should be carried out after the initial Transparency and accountability in the opera- phase of operation. tion of environmental funds are essential for avoiding ad-hoc political influence and misman- Onlending Criteria agement of public funds. Mechanisms for the participation of the main stakeholders in the 9 Define clear criteria for project selection based decisionmaking of environmental funds not on environmental priorities. only contribute to the transparency of fund op- * Instead of softening the financing conditions erations but also build local capacity to iden- of onlending, give preference to assistance in tify and implement environmental projects. eliminating the main constraints on financing. Capacity-building has been especially strongly Possible areas for support include financing emphasized and successfully carried out by green environmental audits to identify low-cost funds. solutions to environmental problems and al- ternatives for improving environmental per- Checklist for World Bank Projects formance; providing technical assistance in appraising and preparing loan applications for Before agreeing to a government request to use environmental projects; and disseminating in- World Bank resources to support an existing en- formation about available technologies and vironmental fund or set up a new one, it is rec- best practices. Environmental Funds 159 * If softening the final credit terms of subprojects Notes becomes necessary to target existing pollution sources, credit-plus-grant schemes are usually 1. The term environmental fund is also used to de- preferable to subsidized interest rates because note investment funds that specialize in environmen- of transparency and other considerations. tally friendly industries and services. This chapter does * Financial performance indicators should be at not deal with this type of funds. least as strict as indicators used in commercial 2. In a broader sense, social funds also belong to this lending.category insofar as they finance basic environmental " lnig.lt o rnsha ob ikdt services such as waste disposal and sanitation. Al- *though social funds often have environment-related noninternalized environmental benefits ex- expenditures, their primary objectives are to alleviate pected from subprojects. poverty and provide a social safety net targeting the poor. * Clear and measurable environmental perfor- 3. Debt-for-nature swaps are debt-conversion pro- mance indicators have to be agreed on, and grams in which either an intemational NGO purchases grants should be converted to credit at mar- commercial debt of a developing country on the sec- ket terms if a borrower does not comply with ondary market at a discount, or official debt is forgiven these indicators. by lender governments in exchange for the debtor * Grant allocation should be transparent, and the country's commitment to spend an equal or agreed people and institution in charge of the grant amount on nature protection. Commercial debt-for- peoplenature swaps typically establish green funds; environ- facility should be held accountable for the mental funds created by official debt-for-nature swaps proper handling of funds. The participation of have broader environmental objectives. NGOs or community groups in the design of the program and in the monitoring of imple- Sources mentation is highly desirable. Lovei, Magda. 1995. Financing Pollution Abatement: To Be Avoided Theory and Practice. World Bank Environment De- partment Paper 28. Washington, D.C. * Setting up an onlending program with soft Mikitin, K. 1994. "Issues and Options in the Design of credit terms for pollution abatement when sig- GEF-Supported Trust Funds for Biodiversity Con- nificant improvement in environmental regu- servation. " World Bank, Environment Department, lations and enforcement cannot be expected Washington, D.C. or enterprise management is nonresponsive OECD (Organisation for Economic Co-operation and * Financing pollution abatement projects at soft Development). 1995. Environmental Funds in Econo- terms without clear objectives for environmen- mies in Transition. Paris. tal quality improvements and strong links of Spergel, B. 1993. "Trust Funds for Conservation." Draft. subproject financing to these improvements. World Wildlife Fund, Washington, D.C. Pollution Charges: Lessons from Implementation Pollution charges are becoming an increasingly popular instrument for environmental policy. Currently, they are widely applied in OECD countries, they play a key role among environ- mental policy instruments in most transition economies, and they are being introduced in developing countries, particularly in Latin America and East Asia. Many recent World Bank environmental projects propose using pollution charges. Economic instruments have a theo- retical advantage over uniform command-and-control (CAC) regulations because of their greater flexibility and cost-effectiveness. However, the performance of poorly designed pollution charge programs may not demonstrate measurable economic and environmental benefits. This chap- ter provides some guidance on setting charges and designing an effective program. Pollution charges exist in various forms, as de- Whereas the theoretical advantage of pollution scribed in Box 1. They can be imposed on emis- charges is in their incentive impact, it is their sions or products; they can be levied as a fee for revenue-raising function that often makes service or as a fine for noncompliance; and they this instrument appealing to environmental can be collected as separate payment or as part policymakers. At the same time, it may require of a broader levy, such as a locally defined water changes in legislation to allow additional taxes use tariff or national energy tax. that may then give rise to political opposition. In Pollution charges can be levied on actual this situation, user charges (payments for services source emissions (direct emissions charge), esti- rendered) or earmarking of charges for specific mated emissions (presumptive emissions charge), environmental expenditure often becomes more or products whose use or disposal is linked to politically acceptable. pollution (product charge or tax). While the di- rect charge is most straightforward, the difficulty Summary of Implementation of systematically measuring discharges limits its possible application and may give a comparative User and product charges are most common in advantage to indirect instruments, such as fuel OECD countries. Most of the charges (apart from taxes or water charges. Indirect pollution charges tax differentiation) are introduced to raise rev- assume a certain connection between the tax base enue. Where an incentive impact was intended, and the amount of pollution. The problem with there is little evidence of actual incentive effects these charges is that if the connection is not of emissions and product charges (except for straight or strong enough, the incentive signals Sweden). This is partly because of a lack of sys- may be distorted or insufficient. tematic evaluation and partly because when the The design of pollution charge programs en- charge is applied in conjunction with other policy tails many compromises between the advantages instruments, the data on incentive impacts are and shortcomings of direct and indirect instru- inconclusive. A number of pollution charge pro- ments. For example, indirect charges based on grams were operated on a temporary basis and fuel use or water consumption can very closely were subsequently modified or abolished. Over- approximate the direct pollution charge when all, the OECD approach was to incorporate the supplemented with rebates according to actual costs of pollution into water charges and fuel source emissions. taxes as a way of charging for emissions. 160 Pollution Charges: Lessons from Implementation 161 Box 1. Typology of Pollution Charges quality of effluent treated, on water usage, or on uni- form tariffs. Pollution charges fall into several major categories. Product charges are charges or taxes on products Emission, or effluent, charges are charges on emis- that are polluting in the manufacturing, consumption, sions to the environment (air, water, or soil). In prin- or disposal phase. These charges can be based on ciple, they are based on the quantity and toxicity of some characteristics of the product (e.g., a charge on discharged pollutants. In practice, emissions charges sulfur content in mineral oil in Norway and Sweden) can be levied on: or on the product itself (mineral oil charge in a num- * Actual source emissions that are directly metered, In praCicoutcr m a h m for example, Sweden's nitrogen oxide (NO,) charge ta iretiatioduht cres mre e mre * A proxy of source emissions that may be derived condi tion " a prouts anre favorable con- from prespecified technical characteristics or from ditions for oltnrproducts Be s taxodfbeen- input quantities that correlate with emissions. For tions mean prrlts an inc enti a instance, water consumption commonly serves orts in aialy al annerter pruct as a proxy for wastewater emissions. * Discharge sources in the form of a flat rate, com- charges can be designed to be revenue raising as well. monly applied to households and small firms for Administrative charges, such as control and au- municipal waste and wastewater charges. thorization fees and payments for administrative ser- vices (licensing, registering, etc.), are not considered User charges--payments for the costs of collective here. or public treatment of effluents-are one form of emis- sions charges. They may be based on the amount or Sources: tErD 1991 Opschoor et al. 1994. In developing countries and transition econo- charges (see Box 2 for examples of successful pro- mies, emissions and effluent charges are the most grams).' common economic instruments used in environ- mental policy. However, in most of the cases Emissions Charges in Practice: Key Observations where charges have been implemented so far, they were set at very low levels and, although In theory, emissions charges, set at the level of intended to provide an incentive, had little im- marginal environmental damage or abatement pact on the behavior of polluters. Furthermore, costs, are the best way to internalize the social because these charges have often not been sys- costs of pollution and change the behavior of eco- tematically enforced, their revenue-raising capa- nomic agents (Baumol and Oates 1988). The re- bilities have been limited. One exception is alities of implementation, however, impose Poland, where the revenues have been significant significant constraints on the effective use of this and where some incentive effects have been instrument. achieved. Emissions charges are more effective when they are set at a high level for a limited number of pollut- Lessons Learned: What Works and When ants and sources rather than at a low level for a great number of pollutants and sources. Charges Economic instruments can make environmental can be increased gradually, with rate increases policies based on CAC regulations more cost-ef- scheduled in advance, to allow industries to make fective (Tietenberg 1992). Yet poorly designed timely adjustments. The ultimate level of charges pollution charge programs may not achieve tan- should be sufficient to provide an incentive for a gible results. The evidence from cross-country targeted level of pollution abatement in an area experience emerging in recent years, although not or watershed over a designated period of time. yet sufficient for a complete analysis and com- Low emissions charges, which are introduced prehensive conclusions, allows for a number of with the primary purpose of raising funds, have recommendations on how to design an effective not proved to have a comparative advantage in pollution charge program for various types of relation to other charges or taxes, given the higher 162 IMPLEMENTING POLICIES: FINANCING ENVIRONMENT Box 2. Examples of Application: Example 2: Sulfur Tax in Sweden.The Swedish tax What Works, and Why is levied on the sulfur content of diesel fuel and heat- ing oil that exceeds a threshold of 0. 1%. The tax, which Example 1: Water Pollution Charge in the Nether- is a product charge, approximates an emissions lands. The rate of the Dutch water pollution charge is charge and is repayable if a taxpayer can demonstrate determined by the revenue required for sewage treat- an actual reduction of emissions of sulfur oxides. An ment and for maintaining and improving water qual- official evaluation indicates that the sulfur content of ity in general.The charge is implemented by the water oil decreased nearly 30% between 1990 and 1992 as a boards-self-governing bodies of surface water us- result of the tax and that emissions from burning coal ers responsible for water management. The charge and peat also considerably decreased.The tax promoted is based on biochemical oxygen demand (BOD) and cleaning flue gases to a larger degree than before, but (in most cases) heavy metal pollution. It is levied on emissions have also been reduced by substituting all direct and indirect discharges. Households and among fossil fuels. The carbon dioxide tax provides small firms pay a fixed amount. According to the re- an additional incentive for substitution. Administrative search done on this issue, there has been an incen- costs are somewhat less than 1% of revenue. tive effect for large firms that are actually metered, including the agricultural sector, especially livestock Why does it work? production. 0 The tax level is high. Why does it work? 0 A transparent rebate scheme strengthens the in- centive effect of the tax. * The level of the charge is rather high and is aimed 0 The design of the program provides for easy at providing full cost recovery of sewage treatment. implementation and low administrative costs. The * The charge base is directly linked to pollution burden of proving the actual emissions level is load (for large firms). imposed on polluters. * The charge program is decentralized and trans- parent for water users. Source: Opschoor et al. 1994. administrative complexity and costs. This is es- by adopting new technologies or improving op- pecially relevant for air emissions. eration and maintenance). Emissions charges can be effectively applied A good example is air emissions charges, which to a very limited number of standard pollutants are most suited for large stationary sources. For that are (a) emitted by many various sources with instance, the Swedish NO. charge and the French different costs of abatement, (b) controlled by air pollution charge are levied on a limited category commonly available technologies, and (c) rela- of burning installations with capacity over imega- tively easy to measure by conventional methods. watts (MW) and 20 MW, respectively In the case The examples are, for water, biochemical oxygen of significant air pollution from diffuse sources demand (BOD) and phosphates and, for air, to- such as vehicles or households using coal for space tal suspended particulates (TSP), sulfur oxides heating, product charges (for example, taxes on (SO.), and nitrogen oxides (NO). Carbon diox- gasoline or heating fuel) may be a good proxy ide (COa), which is affected by a change in fuel Upper-bound presumptive charges that are ad- rather than a change in burning technology, is justed for those polluters that demonstrate a lower more suitable for a product charge, i.e., a carbon level of actual emissions can moderate monitoring and tax on fuel. enforcement problems. Under this scheme, pollut- Emissions charges can be effectively applied to a ers are motivated to monitor and report their relatively limited number of the most significant emissions, while an implementing agency super- sources (except for user charges, which are appli- vises self-reporting with random inspections and cable to all sources). Criteria for selecting sources stiff penalties for false emissions reports. include (a) feasibility of systematic monitoring Emissions charges achieved the best results when or inspection, (b) potential for technical innova- implemented as part of broader pollution control pro- tion, and (c) financial viability (ability to respond grams with clear ambient quality or emissions reduc- Pollution Charges: Lessons from Implementation 163 tion targets. Examples include effluent charges in User charges can be used to recover the costs of France, Germany, and the Netherlands, an oil municipal or collective treatment plants and are ap- palm charge in Malaysia, and an NOx charge in propriate in all cases where such treatment takes Sweden. In most of these cases, charges were in- place. The basic principles of designing an ef- troduced to facilitate and speed up compliance fective economic instrument of this type are as with preannounced stricter emissions and efflu- follows: ent standards. The qualities of emissions charges described - There should be a differentiated approach to above do not allow a strong case to be made for setting tariffs for industry, other big consum- their unquestionable superiority over other pos- ers, and households. sible environmental regulations of large sources. e Charges are based on pollution load or water In principle, location- and source-specific emis- usage where possible. This is especially rel- sions limits may be as cost-effective and provide evant for industry and other big consumers. similar flexibility to polluters. In this case, the * Tariffs are set at the level (on average) that pro- choice between charges or limits (or their combi- vides full recovery of investment and operat- nation) for controlling large sources should ing costs. mainly depend on the administrative feasibility - Full cost recovery is warranted only if the size of and political support for a particular program of the public or collective treatment plant and in each country. the level of treatment adopted are defined on The real advantage of pollution charges emerges the basis of an extended economic analysis as when they can be used to control various sources, part of optimizing wastewater treatment strat- including a large number of small sources, where egy in a watershed. other policies and instruments are not applicable or are very expensive. Water charges and prod- Use of Product Charges and Fuel Taxes uct taxes appear to have this advantage. Product charges are most widely imposed on Pollution Control with Water and User Charges fuels, as a proxy for an air pollution charge, and on products that can be recycled or that need to A careful approach is required when designing efflu- be safely disposed of. Unlike air emissions ent charges that would apply to small industries and charges, fuel taxes can be used to control diffuse households, especially in developing countries sources and are relatively easy to collect, given where environmental objectives compete with the the possibility of using existing administrative needs of industrial growth and poverty allevia- and fiscal channels. tion. Air emissions charges are typically not ap- A product charge is the preferred instrument plicable to these two groups, but water effluent when: charges are. Households generate a very signifi- cant input to water pollution in urban areas. A - There is a strong connection between the use user charge for municipal or collective wastewa- (or disposal) of the product and the amount ter treatment with differentiated tariffs for indus- of pollution, as in the case of fuel taxes. tries and households is one instrument in these * Pollution occurs at the consumption or dis- cases. Where water usage is metered, a water posal phase and is generated by a great num- charge itself may provide an incentive to reduce ber of small sources (e.g., gasoline engines and water use and the corresponding pollution. In batteries). addition, a pollution surcharge may be added to - Pollution occurs at the manufacturing or the regular water charge for those polluters that power-generating phase and the discharge of discharge more than an average amount within the targeted pollutant depends on input char- a given group of users. However, the distribu- acteristics rather than on abatement or process tion effect on large-size, low-income households technology, as in the case of carbon taxes or, to has to be assessed and mitigated. some extent, sulfur taxes. 164 IMPLEMENTING POLICIES: FINANCING ENVIRONMENT Earmarking of Revenues Identify the major sources of pollution. Different If revenues from charges are earmarked for en- approaches are needed to deal with different cat- vironmental expenditures, it is important to have egories of polluters, such as industries, utilities, a coherent, transparent, and accountable alloca- vehicles, and households (see Table 1). tion system with clear financing objectives and Pay attention to the scope of pollution. The spa- priorities. One example is user charges for waste- tial level of the pollution problem-local, sub- water treatment or, in a broader context, effluent national, national, regional, or global-affects and user charges implemented by a basin orga- approaches toward setting the charges and the nization to support a well-defined water quality related range of institutions and stakeholders improvement program. A fiscally neutral charge- involved. Pollution charges, and economic incen- rebate scheme such as the Swedish NOx charge tives in general, have an advantage where there is another example of a transparent earmarked is homogeneous pollution extending over a broad program that facilitates the incentive effect of area. Decentralized pollution charge programs the charge. All revenues from the Swedish focusing on certain watersheds or saturated charge, imposed on actual NOx emissions of airsheds benefit from a simpler institutional ar- large power and heat producers, are rebated rangement, better accountability, and tTanspar- back to these producers on the basis of their ency for stakeholders. In these cases, establishing final energy output. The incentive effect has watershed agencies and air quality councils re- been very significant. The charge-rebate scheme sponsible for media-specific management in tar- can also be implemented through the general geted areas, including pollution charge budget. programs, is generally recommended. When the impacts of pollution are heavily localized or very Recommended Steps in Designing harmful, pollution charges may be used only if a Pollution Charge Program combined with direct site-oriented regulations, such as requirements to install best controls, zon- Analyze the scope and impact of pollution and iden- ing, relocation, or a ban on highly toxic products. tify targeted areas and watersheds. Cross-country experience shows that emissions charges are more Scrutinize administrative costs. Pollution charges, widely applied to effluents than to air emissions, especially emissions charges, may reduce the largely because of monitoring difficulties. Apply- costs of compliance for industries, but they in- ing these charges to solid waste is least common, crease administrative costs for the implementing and user charges are most appropriate. The situ- agency, compared with command and control ation is reversed for product charges, which are (CAC) regulations. When designing a specific most widely used to control air pollution and pollution charge program, the costs associated waste disposal. While effluent charges, especially with its implementation should be explicitly es- user charges, tend to be a long-term instrument timated and included in the comparative analy- in environmental policy, air pollution charges are sis of alternative policy instruments that can in many cases more appropriate as a temporary tackle the environmental problem. A special fi- program to tackle a particular problem. nancial framework should be established that keeps the program accountable. Any measures Identify medium-specific priority pollutants that to lower administrative costs by, for example, are of major concern in terms of ambient quality and using existing fiscal channels to collect revenues health and environmental damage. Sensitivity to or shifting the responsibility of systematic moni- abatement technologies, variation in abatement toring to polluters, should be taken to the great- costs, availability of measuring and sampling est extent possible. techniques, correspondence between product use and discharge, and environmental impact of a Examine the existingfiscal system in the targeted certain pollutant are factors that determine the area with respect to targeted pollution sources and try applicability and design of an economic instru- to identify pollution charge programs that would best ment (see Table 1). fit into this system, so that administrative and en- Pollution Charges: Lessons from Implementation 165 Table 1. Pollution Charges Typically Recommended for Different Pollutants and Sources Air pollutant Particu- Sulfur Carbon Water pollutant Source lates oxides dioxide Lead BOD Phosphates Metals Vehicles Gasoline Fuel tax Fuel tax Diesel Fuel tax Fuel tax Fuel tax Households and Fuel tax Fuel tax Fuel tax User charge based on small enterprises water use or flat rate Power and heat Emissions Fuel tax or Fuel tax utilities charge emissions or limit charge Industry General (Presumptive) emis- Fuel tax Emissions sions charges or limits limits (plus charge) Connected to User charge (plus pollu- Emissions limits collective waste- tion surcharge) based on (plus charge) water treatment water use; user charge plant based on pollutant load Not connected Effluent charge based on Emissions limits to collective load or presumptive (plus charge) wastewater effluent charge based on treatment plant water use forcement costs are minimized. If the fiscal system Air pollution. Examine the possibilities of us- is undergoing or will undergo reform in the rel- ing existing fiscal channels for product charges. evant sectors (e.g., introducing water charges, Consider designing, for specific pollution prob- modifying energy taxes, etc.), "mainstream" the lems, focused programs that could be fiscally pollution charges into the broader reform pro- neutral (tax differentiation or charge-rebate cess. That is, try to design pollution charges in schemes) Assess the changes that would be re- such a way as to allow the sharing of institutional quired in legislation, and give preference to pro- capacities and collection mechanisms with other grams that do not require major changes. new or modified fiscal instruments. Implementation: Other Important Lessons Implementation Sequence Generally and Considerations Recommended for Developing Countries One of the key lessons is that pollution charges Water pollution. Start with locally imposed user have little chance to be successful unless a cer- charges, paying special attention to the distribu- tam macroeconomic and environmental policy tion effects on small consumers and the meter- framework is in place (see Box 3). ing of large industries, which ought to be charged on the basis of water usage or pollution load. Necessary Macroeconomic Conditions Examine and assess institutional and legal op- tions for introducing presumptive effluent Competitive market. In noncompetitive markets, charges (preferably based on water usage) for the effects of pollution charges are reduced, since other significant sources that are not connected polluters, which operate either under "soft bud- to public treatment plants. get constraints" or as monopoly providers, can 166 IMPLEMENTING POLICIES: FINANCING ENVIRONMENT Box 3. Examples of Implementation Key Environmental Policy Issues Problems: Macroeconomic Aspects In a country where environmental regulations are Estonia. Emissions charges were introduced in the not enforced and environmental agencies are centrally planned economy in the 1980s. Incentive weak, economic instruments are not of much help effects were difficult to achieve even after inde- either. Introducing pollution charges should go pendence and the course toward a market along withimproving the overall environmental economy in the early 1990s, due to soft budget policy framework and strengthening the institu- constraints for many enterprises that carried over tional capacities of environmental agencies. The their monopolistic status from the old regime. In addition, charges were constantly eroded by high inflation that made their real level very low. This before a pollution charge program is imple- situation was typical for many transition economies mented (see Boxes 4 and 5 for examples of prob- that were applying emissions charges in the early lems in this area). stage of economic reform. Poland Emissions charges were introduced in the Legal basis. Legislation should be carefully ex- 1970s, with the intention of influencing the behav- amined and brought into harmony with the ior of polluters. Although the charge rates were implementation of pollution charges. increased several times during the central plan- ning era, the effects were counterbalanced by the Political commitment. The support of the entire lack of financial motivation of economic actors, mainly state-owned enterprises. After the transi- g o m im p tion to a market economy started, the incentive effect of the charges, whose level was consider- ably increased and linked to an official inflation Consensus among stakeholders. There is an index, became far more significant. increasing recognition that consensus among Sources: Opschoor et al. 1994; Lovei 1995.I Box 4. Implementation Problems: Lack enforcega and Policalnmen taece r pass on costs to consumers with no pressure tohe look for alternative solutions. Argentina. In 1980, Argentina attempted to intro- duce a discharge fee for industrial effluents. The tariff Well-developed market of environmental services included a fee for discharges within the maximum offering alternative options. Various control or allowable level and a much higher penalty for dis- cleaner technologies (in the case of emissions charges above the maximum allowable threshold. There were provisions for increasing the level of fees chre)adpodc rfe ubtttswt gradually over 10 years, up to the level of treatment cleaner" characteristics (in the case of product costs, and for granting transitory waivers for up to 2 charges) should be easily available to polluters- years where enterprises were in the process of a condition that is often missing in the domestic implementing abatement measures. In practice, the markets of developing countries and transition fees were never applied on a wide basis, and the economies. system was modified in 1989 to lower the level of fees and to revise the penalties. Environmental General economic and political stability, contrib- groups sued the government on the grounds that the fee system amounted to a license to pollute be- uting to the effectiveness of pollution charges. An yond legal limits. The court declared the decree that unstable situation works against economic incen- introduced the fees unconstitutional, and the issue tives in environmental policy First, it focuses remains confused in legal terms. It appears that the decisionmaking on short-term goals and implies court regarded the fee as exceeding the powers of a higher discount rate of future savings as a re- the national government to levy taxes and concluded sult of pollution abatement investments. Second, that it could not be justified as payment for a ser- it is usually accompanied by inflation that erodes vice. charges unless an automatic revaluation mecha- Source: von Asberg 1995. nism is built in.characteristcs_(inthecseofproduc Pollution Charges: Lessons from Implementation 167 charges into the system of environmental man- Box 5. Implementation Problems: Lack agement than in industrial countries. of Institutional and Enforcement Capacity Evidence from a number of countries suggests Russia. The national emissions charge system in- that a lack of previous experience with well-en- troduced in 1991 is a combination of emissions forced and effective CAC regulations leads to a charges and noncompliance penalties allocated in dangerous underestimation of the need for strong a network of earmarked environmental funds. The institutional support when designing pollution system is similar to those in many other newly in- charge programs. An adequate capacity for moni- dependent states. The charges, which are set at a toring or inspection, as well as extensive and sys- very low level, are levied on over 300 air and water tematic training of staff involved in pollutants and a large number of stationary sources. Available capacities of reliable monitoring and in- spection fall well short of what is needed. There is into the design of the charges. neither a special staff training program nor a spe- cial implementation program. Although the central Enforcement. Enforcement ability is the Achil- body of the environment ministry formally governs les' heel of many existing pollution charge pro- the program, including guidelines to calculate fees and set the permitted levels of discharges, negoti- grams. Variosractos w n thi alty, ated agreements between polluters and local au- thorities determine the collection of the charges. (b) a lack of expertise in or motivation for col- The common practice is to waive the fees on the lecting charges, often exacerbated by a general amount enterprises invest in pollution control or to problem of underreporting and undercollecting exempt from payment polluters experiencing finan- of taxes; and (c) insufficient capacity to monitor cial problems, using contradictions in the legisla- discharges. In developing countries, ensuring ad- tion. Currently, collection rates are low, and no coherent approach to spending revenues exists. equa e oinglacesoadditina challen no Source: NAPA 1994. trained personnel but also because of a lack of measurement and sampling standards that makes comparison of collected data difficult. major stakeholders, such as environmental agen- Enforcement needs not only a clear legal basis cies, industries on which pollution charges are and technical expertise but also broad political imposed, and communities exposed to pollution, support. In this respect, commitment of the gov- plays a decisive role in implementing environ- ement, consensus among stakeholders, and mental policies. Public awareness and participa- public participation are important inputs to im- tion, including pressure on governments through proving enforcement practices. NGOs, can be a powerful enforcement tool. Systematic program evaluation. Currently, most Institutional capacity of the implementing agency. economic instruments worldwide are adminis- The failure to build an adequate institutional ca- tered without systematic measurement of their pacity is one of the main constraints on imple- performance, either through self-examination or menting pollution charges. The staffing and through external oversight. Evaluation that fo- structure of the implementing agency have to cuses on clear-cut objectives and final outcomes, differ significantly from those of agencies oper- i.e., measurable effects on the environmental im- ating CAC instruments. Where environmental pact of targeted economic activities, provides the problems have been successfully managed by feedback that is necessary for the long-term suc- CAC regulations, it may be worthwhile first ap- cess of pollution charge programs. plying an economic instrument to new problems not yet tackled by traditional CAC methods. In a Note developing country without a strong tradition of CAC regulations and well-established environ- 1. The description in this section draws on analysis mental institutions, or in a country undergoing in Eskeland and Jimenez (1991); OECD (1991); NAPA a radical change in government structure, it may (1994); Opschoor et al. (1994); Lovei (1995); and von be politically easier to incorporate pollution Amsberg (1995). 168 IMPLEMENTING POLICIES: FINANCING ENVIRONMENT References OECD (Organisation for Economic Co-operation and Development). 1989. Economic Instruments for Envi- Baumol, William J., and Wallace E. Oates. 1988. The ronmental Protection. Paris. Theory of Environmental Policy. Cambridge, U.K.: _ . 1991. Environmental Policy: How to Apply Eco- Cambridge University Press. nomic Instruments. Paris. Eskeland, Gunnar S., and Emmanuel Jimenez. 1991. Opschoor, J. B., et al. 1994. Managing the Environment "Choosing Policy Instruments for Pollution Control." The Role of Economic Instruments. Paris. Policy Research Working Paper 624. World Bank, Policy Research Department, Washington, D.C. Tietenberg, Tom. 1992. Environmental and Natural Re- Lovei, Magda. 1995. Financing Pollution Abatement: Theory and Practice. Environment Department Pa- von Amsberg, Joachim. 1995. "Selected Experience per 28. Washington, D.C.: World Bank. with the Use of Economic Instruments for Pollu- NAPA (National Acid Precipitation Assessment Pro- Wor Bnk, EnvionmEt Dptnt, Wahig gram). 1994. Environment Goes to the Market: Imple- ton, D.C. men tation of Economic Incentives for Pollution Control. Washington, D.C. Greenhouse Gas Abatement and Climate Change The World Bank Group supports a number of efforts to help its client countries reduce emis- sions of greenhouse gases through measures such as promoting energy efficiency and increas- ing the use of renewable energy. In 1995, the Intergovernmental Panel on Climate The Kyoto Protocol to the UNFCCC was Change (IPCC), a panel of experts assembled by adopted on December 11, 1997, and, if it enters the United Nations, concluded after detailed sci- into force, will result in binding emissions re- entific reviews that "the balance of evidence sug- duction limitations for 39 industrial countries gests a discernible human influence on global and transition economies listed in Annex B to climate." This human influence on climate comes the Protocol. These parties agreed to ensure from emissions of three greenhouse gases in par- that their aggregate GHG emissions do not ex- ticular-carbon dioxide (CO2), methane (CH4), ceed their assigned amounts, "with a view to re- and nitrous oxide (N2O). Such gases act like a ducig their overall emissions by at least 5.2% blanket around the Earth, trapping heat emitted below 1990 levels in the commitment period 2008 from the Earth's surface. Overall, about 80% of to 2012," greenhouse gas (GHG) emissions from human The Kyoto Protocol also contains provisions activities are related to the production and use allowing various elements of flexibility for An- of energy-and particularly the burning of fossil nex B countries in meeting their obligations. fuels. The bulk of the remaining 20% is associ- These include the ability to trade carbon reduc- ated with agriculture and changes in land use, tions among countries ("emissions trading") and such as deforestation. to jointly implement projects that can lead to car- The objective of the UN Framework Conven- bon reductions on a project basis by reducing tion on Climate Change (UNFCCC) is to achieve emissions or improving sinks ("Joint Implemen- "stabilization of greenhouse gas concentrations tation"). Emissions trading can take place only in the atmosphere at a level that would prevent among Annex B parties. Joint implementation dangerous anthropogenic interference with the involving non-Annex B (i.e., developing country) climate system." The Convention is founded on parties can take place under the Clean Develop- the principle of "common but differentiated re- ment Mechanism (CDM), with crediting being sponsibilities." Commonality refers to the need allowed after 2000. of all nations to assume responsibility for the pro- tection of the global atmosphere and the recog- Commitments of Bank Borrower Countries nition that developing country GHG emissions will exceed those from the industrial nations The World Bank's borrower countries that are within the coming generations. Differentiation is parties to the Convention and may sign the Kyoto predicated on the scientific fact that the indus- Protocol can be broadly classified in three trial countries are responsible for the bulk of the categories: (a) transition economies in East- present atmospheric stock of GHGs, and the re- em Europe and the former Soviet Union that are alization that developing countries are least able listed in Annex I of the UNFCCC and in Annex B to bear the costs of GHG mitigation and are most of the Kyoto Protocol, (b) developing countries, vulnerable to climate change effects. and (c) least developed countries. A further dis- 169 170 IMPLEMENTING POLICIES: GLOBAL AND TRANSBOUNDARY ISSUES tinction is made for those developing countries Sustainable Development, Equity, that are particularly vulnerable to the impacts of and Consistency with the UNFCCC climate change. The operational implications of and the Kyoto Protocol this categorization are highlighted in Table 1. The Convention and the Protocol do not im- Defining which policies and investments are pose mandatory emissions restrictions on devel- "consistent" with the Convention is difficult, es- oping countries and least developed countries, pecially regarding developing countries. It is whereas they call on industrial-country parties universally recognized that the energy needs of to limit their anthropogenic emissions of green- developing countries are enormous, that in- house gases. However, developing countries and creased energy consumption and economic least developed countries do have obligations to growth will be essential if the living standards measure and monitor emissions within their of the poor are to be raised, that without acceler- countries. ated development in many countries domestic environmental degradation will worsen, and that Principles of World Bank Group the current threat from anthropogenic climate Assistance change is caused much more by affluent coun- tries than by the poorer nations. For all these rea- The World Bank's role is to help finance sustain- sons, the Convention and the Protocol make it able development. In fulfilling this role, the Bank clear that continued growth of energy and use of has a substantial capacity to assist its client coun- fossil fuels in developing countries is consistent tries in implementing their commitments under with the stipulations of the Convention and the international conventions. In the case of the Protocol. But guidance from the parties as to UNFCCC and the Kyoto Protocol, the World when and how such growth must be moderated Bank will ensure that its activities are consistent in order to maintain this consistency will only with these conventions and will actively support evolve over time. its member countries in building capacity and There is significant potential in Bank client undertaking investments for their implementa- countries for efficiency gains, substitution of tion. Global environmental externalities can be lower carbon fuels such as natural gas, and the recognized at the project level and, increasingly, application of renewable energy technologies. in economic and sector work and in national en- Emissions factors for various fuels are presented vironmental action plans. Where appropriate, in Table 2. country assistance strategies also include global There are also critical shortages of conven- environmental issues. tional energy supplies and, in many countries, Table 1. Differentiated UNFCCC and Kyoto Protocol Commitments of World Bank Clients Timetable for Description of Limitation of year Financing for World Bank initial national mitigation policies 2000 emissions climate change client category communication and measures to 1990 levels mitigation Transition Within 6 months of Detailed, with net By 0-8%, but with GEF; bilaterals and economies entry into force; GHG emissions flexibility and multilaterals; Joint flexibility granted projections optional base year Implementation Developing Within 3 years of General No GEF grant and conces- countries entry into force of the sional; bilaterals and UINFCCC (by 1997) multilaterals; CDM Least At country discretion General No GEF grant and conces- developed sional; bilaterals and countries multilaterals; CDIs Note: GEF, Global Environment Facility; CtDo, clean development mechanism Source: UNFCPC; Kyoto Protocol; GEE Legal Instrument; World Bank staff estimates. Greenhouse Gas Abatement and Climate Change 171 Table 2. Emissions Factors for Utility and Industrial Combustion Systems (grams per gigajoule energy input) Emissions factor Carbon Carbon Methane Nitrogen Nitrous Source dioxide (CO) monoxide (CO) (CH) dioxide (NO) oxide (NO) Utility application Natural gas boilers 56,100 19 0.1 267 - Gas turbine, combined cycle 56,100 32 6.1 187 - Gas turbine, simple cycle 56,100 32 5.9 188 - Residual oil boilers 77,350 15 0.7 201 - Distillate oil boilers 74,050 15 0.03 68 - Municipal solid waste (mass feed) - 98 - 140 - Coal, spreader stoker 94,600 121 0.7 326 0.8 Coal, fluidized bed 94,600 - 0.6 255 - Coal, pulverized 94,600 14 0.6 857 0.8 Coal, tangentially fired 94,600 14 0.6 330 0.8 Coal, pulverized, wall fired 94,600 14 0.6 461 0.8 Wood-fired boilersa 26,260 1,473 18 112 - Industrial application Coal-fired boilers 94,600 93 2.4 329 - Residual-fired boilers 77,350 15 2.9 161 - Natural gas-fired boilers 56,100 17 1.4 67 - Wood-fired boilersa 26,260 1,504 15 115 - Bagasse/agricultural waste boilers - 1,706 - 88 - Municipal solid waste, mass burn - 96 - 140 - Municipal solid waste, small modular - 19 - 139 - - Not available. Note:The table is based on fuel energy input rather than output; that is, it does not take account of combustion efficiency. Values are based on lower heating value, converted from original data in higher heating value using OECD/IEA assumptions (lower heating value is 10% below the higher heating value for natural gas; 5% for coal and oil); C02 values for coal represent an average value of subbituminous through anthracite. a. Values for wood-fired boilers derived separately; not reported in IPCC. Source: World Bank 1994a. major shortcomings in energy policies. The World Concerning climate change and the forestry Bank's energy sector strategy encourages the sector, the scientific literature suggests that a sig- adoption of appropriate energy pricing and in- nificant fraction of total CO2 releases from all stitutional reform, which are prerequisites for sources is caused by tropical deforestation and improving both supply-side and demand-side burning. In addition, accelerated utilization of efficiency and for more rapid adoption of no- temperate and boreal forests contributes to ris- and low-carbon-emitting energy sources. The ing global net emissions. The World Bank believes strategy also recognizes the need to support that measures for forest resource conservation, commercial energy development as part of eco- sustainable use, and enhancement could be an nomic development and as a substitute for envi- important part of many of its borrowers' climate ronmentally damaging dung and fuelwood change mitigation plans. These strategic direc- consumption. The World Bank also considers tions provide potential synergies with the pm- within its investment operations cost-effective ciples of the Convention on Biological Diversity. mitigative measures that would greatly reduce a Carbon sink protection and enhancement actions country's vulnerability to climate change, par- are also in accord with the World Bank's support ticularly in the infrastructure and agricultural for the forest sector, as summarized in its 1991 sectors. forest policy paper (World Bank 1991). The policy 172 IMPLEMENTING POLICIES: GLOBAL AND TRANSBOUNDARY ISSUES gives high priority to combating deforestation Energy Efficiency and maintaining areas of forest intact. Macroeconomic and structural reforms are a cen- Strategic Elements terpiece of World Bank advice to many of its cli- ent countries and will contribute a large fraction The strategic elements of the World Bank Group's of future carbon and other GHG savings. A wide assistance for mitigating climate change in- range of studies indicates that macroeconomic clude: policies that effect structural change and promote " Prmotng nd aptring"wi-wi" plic efficient resource allocation are the single most * Promoting and capturing "win-win" policy important source of GHG emissions savings. The and investment opportunities and, at the same following examples help demonstrate this point. time, identifying, analyzing, and clarifying First, energy subsidies add to the potential for tradeoffs between socioeconomic and global climate change. Many countries, m both the m- environmental objectives dustrial and the developing world, subsidize the * Supporting implementation of client countries' use of fossil fuels. A World Bank study has shown Convention and Protocol commitments as ex- that such subsidies are substantial for some coun- pressed in, inter alia, their national climate tries and reach as much as 10/ of gross domestic change plans and strategies product (GDP). Worldwide fossil fuel subsidies * Supporting clients who are parties to the agree- are in excess of US$210 billion a year, or 20-25% ments in integrating climate change consider- of the value of global fossil fuel consumption at ations (including both GHG abatement and world prices. Phasing out subsidies would save climate change adaptation) into development scarce public resources and, at the same time, policy and planning reduce GHG emissions. The study estimates that * Leveraging and maximizing the impact of re- removal of fossil fuel subsidies would reduce sources available by virtue of the World Bank global carbon emissions by almost 7%-in some Group's role as implementing agency of the countries, by more than 20%, assuming no change Global Environment Facility (GEF) and as a in world fuel prices. mobilizer of bilateral and private sector fi- Second, evidence is growing that changes in nancing economic structure affect the future path of GHG * Integrating GEF financing with regular devel- emissions more than any other factor. A joint opment finance and private sector resources study by the China National Environmental Pro- for promoting transfer of no- and low-carbon tection Agency, China's State Planning Commis- energy, industry, and transport technologies sion the UNDP, and the World Bank (UNDP * Assisting in the development of a global market 1994) emphasizes the importance of structural for carbon emissions offsets and credits that will change for energy intensity, energy demand, and help cut the costs of averting climate change. the associated GHG emissions reductions. The study isolates the factors that are responsible for World Bank Support for the Objectives reducing the energy intensity of the Chinese of the Convention and the Protocol economy below the level that would be reached with static production technologies. The Convention and the Protocol recognize the The study shows that only 21% of the total complexity of the climate change problem by expected decline in energy intensity results from prescribing a broad range of policies and mea- technical efficiency gains at the project level such sures in the energy, transport, industry, agri- as industrial modernization, improvement in in- culture, forestry, and waste management dustrial equipment, and energy conservation. sectors. Especially relevant to the realization The remaining 79% is the consequence of differ- of the objectives of the Convention and the ent types of structural change at the sectoral and Protocol are three focal areas of World Bank subsectoral levels. The most important change is assistance: energy efficiency, renewable energy, the shift in the product mix within subsectors, and mainstreaming of global environmental which contributes 37% of the total decline. This concerns. change represents movement up the product Greenhouse Gas Abatement and Climate Change 173 quality ladder and a shift into higher value added valuable operational experience acquired in Cali- products, mainly in the chemical, machinery, fomia. Depending on the available wind regime, building materials, and light industry sectors. some windfarm installations can already be com- The findings indicate the enormous effects that petitive with fossil-fuel alternatives. Solar ther- structural changes have on energy intensity and, mal schemes are still relatively more costly, but consequently, on energy consumption and asso- the cost differential can be reduced by properly ciated CO2 emissions. Macroeconomic and other configuring the solar field with a combined- policies can therefore have a larger impact on cycle/gas-turbine set that obviates the need for GHG emissions than any explicit mitigation op- energy storage. Photovoltaic (PV) cell costs have tion at the project level. dropped from about US$50 per peak watt in the This finding is consistent with recent research mid-1970s to less than US$5 per peak watt today, in OECD countries. An extensive ongoing study considerably expanding opportunities for prac- at the Lawrence Berkeley Laboratory analyzed the tical use of PV power, particularly for rural ap- impacts of various factors on CO2 emissions in plications such as lighting, water pumping, manufacturing industries in major OECD econo- battery charging, and vaccine refrigeration. Fur- mies. Structural change within the manufactur- ther cost reductions can extend PV use in the fu- ing sector since 1973 has reduced CO2emissions in ture for peak-shaving purposes in urban areas. that sector by about 20% in Germany, Japan, and the United States. What is more striking is that re- Mainstreaming Global Environmental Concerns ductions in energy intensity cut emissions by 25- 35% in these and most other OECD countries. The successful pursuit of environmentally sus- Without this evolution of both structure and inten- tamable development at the national level will sity, CO2 emissions from manufacturing in the ultimately depend on the protection of the glo- early 1990s would have been twice their actual level. bal commons, including the atmosphere. The Renewable Energy commons are being degraded because decisions taken at the country level on use of natural re- Renewable energy is a growing focus of Worldeconomic development do Bank/GEF e e g s at ri ng f c f W orld not adequately reflect the global im pacts of the point out the insufficiency of energy efficiency po, A ndstr eemn trat- measures alone and the massive shift to renew- egies and oramsgnal failopconsrt able energy required if the IPCC-prescribed sta- ipat ogr enhousefgaes on bilization of atmospheric CO2 concentrations is imat che e n oc and globa o to be achieved. for resour ce o dive g A small number of renewable energy forms Th e rinia chl ege have emerged as the most promising in the im- The lblcomo therefor istoinab o mediate term. Biomass-based applications, such as the internalization ofeglobal,environmentalaex- direct combustion of wood residues in the forest ternali ation al e inet e- product industries, industrial-scale methane gen- pentliies and proms, asel asinl eration from animal and distillery wastes, and m ament of n rorcs. This halleng so on, have long been used commercially in many break o ntwai em en countries. New techniques such as fluidized-bed combustion systems and modern gasification Countries should be informed about options systems, especially when combined with high and encouraged to pursue actions that are in efficiency gas turbines, are likely to expand these their own best interest and will also help to applications considerably. capture global environmental benefits. Policies For large, grid-connected power applications, and measures for energy efficiency, for ex- windfarms and solar thermal conversion, particu- ample, typically reduce fuel consumption, SO, larly with use of parabolic trough technology, NO, and particulate emissions, and carbon have made important technical and economic emissions. Thus, up to a point, global and do- progress in the last decade due, in large part, to mestic benefits are produced jointly. 174 IMPLEMENTING POLICIES: GLOBAL AND TRANSBOUNDARY ISSUES * Reflecting global environmental externalities ICC (Information Unit on Climate Change, United in national decisionmaking will frequently re- Nations Environment Programme and World Me- quire going beyond "no regrets" actions of the teorological Organization). 1992. United Nations type referred to above. In Convention and GEF Framework Convention on Climate Change. Geneva: terminology, this is the case when the addi- United Nations Environment Programme. tional domestic costs of addressing the global UNDP (United Nations Development Programme). externality exceed the extra domestic benefits 1994. China: Issues and Options in Greenhouse Gas and the host country incurs "incremental Emissions Control. A summary report prepared by a costs." This would, for example, be the case joint team from the National Environmental Pro- when reduction of carbon emissions from burn- tection Agency of China, the State Planning Com- ing fossil fuel requires going beyond the levelDevelopment ing ossl ful rquies gingbeynd te lvel Programme, and the World Bank. World Bank, East dictated by national economic efficiency. The Asia and Pacific Regional Office, China and GEF has been established to help countries Mongolia Department, Industry and Energy Divi- meet the incremental costs of capturing addi- sion. Washington, D.C. tional global environmental benefits, that is, in effect, to make available the "global premium" Policy Paper. Washington, D.C. on national environmental management. 1994a. "Greenhouse Gas Abatement Invest- The World Bank has initiated support to bring ment Project Monitoring and Evaluation Guide- the global environmental dimension into its regu- lines." Environment Department, Global lar economic and sector work program as it re- Environment Coordination, Washington, D.C. lates to sector development strategies, and in later stages, into strategic planning of environmental .19b rehueGsAssmn eh management (e.g., in national environmental odology." Environment Department, Global En- manaemet (eg.,in atioal nvionmetalac- vironment Coordination Division, Washington, tion plans). Complementary efforts are under D.C. way to apply greenhouse gas accounting tech- niques at the individual investment level, where 1994c. OP 10.04, "Economic Evaluation of global externality impacts serve as an input to Investment Operations." World Bank Operational the environmental scoping process and affect Manual: Operational Policies. Washington, D.C. project choice. 1995a. "The World Bank and the UN Framework Convention on Climate Change." En- References and Sources vironment Department Papers, Climate Change Series 8. Environment Department, Washington, Anderson, Dennis, and Kulsum Ahmed. 1995. The Case D.C. for Solar Energy Investments. World Bank Technical Paper 279. Washington, D.C. * 1995b. "Joint Implementation of Climate Change Measures." Environment Department Pa- Asian Development Bank. 1992. Environmental Consid- pers, Climate Change Series 5. Environment Depart- erations in Energy Development. Manila. ment, Washington, D.C. Least-Cost Approaches to Reducing Acid Emissions The costs of meeting sulfur emissions targets can be high. It is essential, therefore, that coun- tries adopt policies which minimize the net economic and social costs of reducing emissions to the agreed target levels and maximize the overlap between measures designed to reduce acidi- fying emissions and those addressing other forms of air pollution. This chapter discusses alter- native approaches to reducing acid emissions cost-effectively, identifies possible mechanisms for international assistance, and describes the health and ecological damages caused by acid emissions and acid rain. Considerable work has been undertaken on the maybe mandated by specific regulations or may comparison of alternative mechanisms for meet- be adopted in response to economic or other in- ing given emissions targets. Among the market- centives such as differentiated fuel taxes, pollu- based systems are emissions charges and tradable tion charges, permit trading, and investment permits. Possible regulatory systems range from subsidies. For large stationary emissions sources, the imposition of uniform emissions standards a considerable range of alternative actions can to the negotiation of plant-specific emissions per- be considered, but small or area sources, includ- mits. All raise practical problems of implemen- ing households and small industrial and commer- tation, as well as issues of designing a system of cial boilers, should not be neglected, although incentives that induces emitters to reduce their they cannot be treated at the same level of detail. emissions in the most efficient, i.e., least-cost, manner. Sample Terms of Reference for a Study The use of geographic differentiation in charges or emissions standards, to take account Prepare a countrywide database of large sta- of the fact that emissions from sources in one re- tionary sources of sulfur and nitrogen oxide gion may be more damaging than those from emissions, with information on location, cur- sources elsewhere in the country, adds a further rent emissions, and options for controlling layer of complication. However, introducing a emissions (including modifying combustion spatial element may be essential in any system if processes, switching to alternative fuels, and the basic objective of reducing the damage caused fitting abatement equipment). by acid rain-as represented by exceedances of Collect data on the marginal and average costs deposition rates over critical loadings-is to be of fuel use and operation for the alternative met at an acceptable total cost. methods of reducing emissions for a sample It is possible to identify combinations of ac- of sources and generalize to the full range of tions that may be used to reduce emissions of stationary sources in the country database. sulfur and nitrogen oxides at least cost, subject Where applicable, investigate the impact of to constraints on monitoring and institutional economic and regulatory instruments on the feasibility. The list of possible actions includes merit order for operating power stations to energy conservation, the use of low-sulfur fuels, meet a given load curve and level of aggre- fuel switching, changes in levels or patterns of gate electricity demand in each country. equipment operation, installation of controls to Examine evidence on the "local" damage to mitigate or eliminate emissions, and changes in human health, ecosystems, economic produc- combustion or other technologies. These actions tivity, and amenity caused by air pollutants in 175 176 IMPLEMENTING POLICIES: GLOBAL AND TRANSBOUNDARY ISSUES the areas surrounding emissions sources. Use lates or sulfur dioxide and thus lower the health this evidence to prepare approximate esti- damage caused by such pollution. Such a study mates of the benefits of reducing such air pol- can identify the net costs of actions to reduce sul- lution in order to estimate the net cost of fur emissions as a basis for agreements between adopting alternative measures to reduce emis- countries or for donor assistance designed to sions of sulfur dioxide (SO2) and nitrogen ox- meet emissions reduction targets. In the future, ides (NOx), from both large and small sources. Activities Implemented Jointly (AIJ) arrange- * Compare the total and marginal costs of meet- ments, as provided for in the Kyoto Protocol, ing different targets for reducing emissions us- might be one way of developing more cost-effec- ing different policy instruments, allowing for tive strategies. the "local" benefits of improving ambient air quality near the emissions sources. The com- Environmental Damage parisons should take account of the feasibility from Acid Emissions and costs of monitoring and enforcing the dif- ferent systems of control. Health Impacts * Investigate the scope for introducing regional differentiation to take account of the greater Sulfur dioxide is an irritant that, in high concen- damage caused by depositions from some trations, can cause acute respiratory problems. sources than from others. This analysis should In conjunction with high levels of exposure to be extended to take account of the benefits of g reducig concentrations of particulates in the tality observed during severe smogs, and it wors- neighborhood of the sources as a result of thechronic control measures and changes in utilization respiratory problems. duced by the alternative instruments. Sulfur dioxide also reacts with other sub- * Examine the institutional and administrative stances in the atmosphere to form sulfate aero- aspects of using alternative regulatory and eco- sols that may have nomic instruments to reduce acidifying emis-aniprnthlhim c. nomi intruent toredce cidfyig eis- Moreover, sulfate aerosols can be transported sions, with particular attention to requirements long distances through the atmosphere before for monitoring and enforcement. deposition occurs. In identifying the least-cost strategies for re- Exposure to high levels of nitrogen oxides can ducing emissions in each country, considerable also worsen the health of those with pre-existing attention should be paid to the administrative or respiratory problems. It is, however, through its regulatory issues that arise in implementing the contribution to the generation of photochemical alternative actions. Whatever the theoretical ad- smog and ozone (another respiratory irritant that vantages or disadvantages of different instru- aggravates the condition of people with asthma ments of environmental policy, it is crucial to base and heart disease) that NO emissions have their the analysis on a realistic assessment of the costs main effect on health. and performance, in practice, of the various mechanisms available. Other Impacts Transboundary versus Local Effects High levels of So2 and NO emissions can dam- age buildings and other structures because of The analysis should assess the net costs of imple- relatively high concentrations of acid and of sul- menting each alternative action after allowing for fur particles in rainfall. Much concern has been the associated health and other benefits to the expressed about damage to cultural artifacts and country. For example, the net economic cost of especially historic buildings in cities in Eastern switching households and small boilers from Europe. It is, however, difficult to disentangle this burning coal to gas may be small or even nega- damage from that caused by poor maintenance tive because this change will also reduce the and mistaken attempts at restoration in the past. population's exposure to high levels of particu- While the scale of the damage to materials caused Least-Cost Approaches to Reducing Acid Emissions 177 by acid emissions is uncertain, emissions un- rope over the last 50 years, but the area covered doubtedly give rise to amenity costs because they by highly acid rainfall has increased greatly. Evi- reduce visibility. The presence of sulfate and ni- dence from Germany and other western Euro- trate particles and of acid aerosols, as a result of pean countries suggests that forest loss may be either direct emissions or their secondary forma- linked to the long-term effects of acid depositions tion in the atmosphere, leads to light scattering. but that other (often site-specific) stress factors Furthermore, gaseous nitrogen dioxide absorbs are also involved. light at the high end of the spectrum, giving the The nature of the damage to ecosystems atmosphere a reddish-brown tinge. The result is caused by acid rain means that it is necessary to a haze that may extend over a large region, or distinguish between the "stock" and "flow" as- topographical features may concentrate the haze pects of the problem. Long-term acidification of over a city soils is a "stock" problem that cannot be quickly reversed by reducing the level of current deposi- Acid Rain tions, although applications of lime and nutri- ents and changes in silvicultural practices may Depositions of sulfur and nitrogen, or "acid rain," mitigate its consequences. At the same time, it is are primarily associated with the long-distance possible to define "critical loads" representing the transport of acid aerosols formed in the atmo- maximum "flow" of acid depositions that can be sphere from a mixture of dilute hydrochloric, ni- absorbed by specific soil types without provok- tric, and sulfuric acids, plus ammonium sulfate ing a tendency to acidification. These critical and nitrate. Rainfall gives rise to wet deposition, loads define a measure of long-run sustain- which rapidly infiltrates soils, groundwater, riv- ability that can be used in setting the ultimate ers, and lakes. Both dry and wet depositions may goals of environmental policy. However, in set- cause direct damage to trees and other vegeta- ting priorities for short-term actions, countries tion by affecting their plant chemistry and pa- must also consider how much immediate mea- thology. Acidification of soils leads to leaching sures to reduce acid emissions will affect the of plant nutrients and to mobilization of alumi- amount of damage that will occur over the next num that would otherwise be bound up in rocks few years. and mineral particles. Excessive levels of alumi- num damage roots, reduce the capacity of plants Conclusions to take up necessary trace elements such as cal- cium and magnesium, and interfere with water The implication is that short-term priorities transport within trees, which increases their sen- should focus on the local, health-related, dam- sitivity to drought. Acidification of rivers and age caused by acid emissions, while damage to lakes can result in drastic changes in their eco- ecosystems should be the basis for a longer-term systems, including the complete loss of fish reduction in emissions from those sources and stocks. regions that have contributed most to acidifica- The dose-response relationships between tion in the past. Any measures to alleviate the acidic emissions and damage to forests, crops, local damage caused by sulfur dioxide and other and lakes are complex and are still poorly un- emissions should be consistent with achieving a derstood. Recent evidence suggests that nitrogen declining trend in emissions, which would not, compounds may be more damaging to ecosys- for example, be the case with a policy of con- tems than sulfur compounds. Rainwater has not structing tall stacks to extend the area over which become significantly more acidic in Central Eu- acid emissions are deposited.  PART III PROJECT GUIDELINES PRINCIPLES OF INDUSTRIAL POLLUTION MANAGEMENT MONITORING SUMMARY OF AIR EMISSION AND EFFLUENT DISCHARGE REQUIREMENTS POLLUTANTS POLLUTANT CONTROL TECHNOLOGIES INDUSTRY SECTOR GUIDELINES Principles of Industrial Pollution Management A New Approach proaches that avoid additional burdens on the environment, especially where the outcome is In the 10 years since the World Bank Group pro- uncertain and potentially irreversible. One way duced its first set of Environmental Guidelines, of applying the precautionary principle is by there has been an important shift in the way in implementing cleaner production. which environmental agencies and the Bank Group approach the problem of minimizing the Cleaner Production and Pollution Prevention environmental damage caused by industrial de- velopment. In the past, guidelines and legisla- Pollution prevention is preferable to reliance on tion tended to focus on achieving acceptable end-of-pipe pollution controls. The Bank Group pollution concentrations in different media, and encourages the adoption of cleaner production it was logical to rely on end-of-pipe controls and approaches, which go beyond pollution preven- "external" treatment of pollution. Moreover, since tion. Cleaner production encompasses produc- environmental concerns were seen as distinct tion processes and management procedures that from industrial ("productive") processes, envi- entail less use of resources than conventional ronmental legislation steered well clear of inter- technologies and also generate less waste and fering in industrial production decisions. smaller amounts of toxic or other harmful This approach has achieved significant reduc- substances. It emphasizes the human and orga- tions in pollution, but the costs have sometimes nizational dimensions of environmental manage- been high, and performance has not always been ment, including good plant operation to avoid consistent. Thus, it has become clear that another deliberate or accidental discharges. approach is required, especially in countries ex- Industries striving toward environmental ex- periencing rapid economic and industrial growth, cellence now also consider how environmentally if progress in preventing industrial pollution is friendly the final product is. Thus, a petroleum to continue. The new approach that is emerging refinery would not only address the emissions incorporates the concepts of sustainable develop- caused by the refining process itself but would ment and cleaner production, together with an also change its processes to discontinue the use emphasis on good management practices. of lead as an additive to boost octane in gaso- line, because of the well-known serious health Sustainable Development effects of lead. Today, cleaner production aims to include everything from the drawing board to The World Bank Group recognizes and promotes final disposal or reuse of the product. the concept of sustainable development, in which growth and environmental protection are com- Treatment and Disposal patible. Within this framework, it is important to avoid or reduce the discharge of pollutants and Cleaner production and pollution prevention can to minimize their impact on human health and reduce the quantities of waste and eliminate some the environment. The precautionary principle is a pollutants, but treatment and disposal of remain- fundamental guiding principle of this Handbook: ing wastes are required. Appropriate treatment whenever possible, projects should seek ap- systems must be designed and installed to 181 182 PROJECT GUIDELINES achieve acceptable emissions levels. The systems standards. Some of these responsibilities might must then be operated and maintained to attain be carried out by the private sector as a way the required reductions in pollutants. The trans- of ensuring the long-term sustainability of fer of pollutants from one medium to another its investments. (e.g., from effluent to sludges) may simplify but does not solve the disposal problems of an in- Guidelines dustry. An integrated approach should be adopted toward management of pollutants to Purpose ensure that the overall treatment and disposal solution is the most appropriate. The Pollution Prevention and Abatement Handbook Monitoring of control devices, treatment plant has been prepared to assist Bank Group staff and performance, and emissions is an integral part consultants, other financial institutions, and bor- of the operation of the system. The information rowers in ensuring that industrial projects gathered from monitoring should be utilized to achieve adequate environmental performance. To achieve and maintain system performance. protect human health and the environment, Bank Group-financed industrial projects must comply Good Management with pollution prevention and abatement mea- sures acceptable to the Bank Group. The Hand- The Bank Group promotes good management book describes measures that the Bank Group and operating practices such as maintaining and would consider acceptable for the purposes of operating production processes and pollution deciding on Bank Group financing. It must be control devices according to design specifica- applied in conjunction with other Bank Group tions. It encourages the continual improvement requirements, in particular those on environmen- of processes, the installation of controls, and the tal assessment, EA (see "Using the Guidelines," monitoring of performance. below). In support of this emphasis on pollution prevention, the new approach also stresses Scope the human and organizational dimensions of en- vironmental management that are required to The principal focus of Part III of this Handbook is develop sound plant management and opera- on industrial pollution. However, from the point tional practices and the need for a regulatory and of view of environmental impacts, the sources of resource pricing framework that provides incen- pollution are often very hard to distinguish, par- tives for continuous improvements in environ- ticularly in urban areas. Indeed, in many cases, mental performance. In its economic and sector the key issue is to understand the relative contri- work, the Bank Group assesses the role of prices, butions of point and nonpoint sources, urban and taxes, and other instruments to ensure that there industrial sources, large polluters and small and are incentives to apply such measures. medium-size enterprises. Environmental Regulations Underlying Principles The World Bank encourages its country borrow- The Handbook is based on good industrial prac- ers to develop (a) appropriate permitting proce- tices. The cleaner production and waste minimi- dures to encourage pollution prevention and to zation guidelines cannot cover all possible decide on applicable emissions limits and (b) processes and products, but they do indicate typi- sound and enforceable ambient environmental cal levels of performance that are achievable in a standards. It supports the strengthening of ap- well-designed and well-managed plant. The propriate institutions and the training of staff to Bank Group supports continuing improvement identify pollution prevention and cleaner produc- in industrial efficiency and encourages enter- tion options and to monitor and enforce compli- prises to achieve better performance than the ance with permit conditions and environmental Handbook recommends. Principles of Industrial Pollution Management 183 Minimizing waste reduces not only the de- not intended to be comprehensive guides to the mand for resources but also the scale of final technologies of the sector. treatment required. However, in most cases there will also be a need for pollution control Using the Guidelines measures to supplement cleaner production efforts. The relevant treatment requirements Normal Bank Group procedures for analysis of and the emissions levels given in the Handbook industrial projects include (a) an appropriate EA are based on good practice; they are intended that takes into account relevant national legisla- to be maintained in the long term using the tion and (b) an economic analysis that includes skills and resources normally available in indus- an assessment of the costs and benefits of the al- try in the countries in which the Bank Group temative environmental measures available for operates. new or existing plant, evaluating reductions in The Handbook also stresses the need for good exposure and improvements in ambient condi- management and for adequate operating and tions compared with the situation without such monitoring resources to ensure that a plant's environmental measures. On the basis of these proper environmental performance is main- analyses, site-specific requirements related to the tained, documented, and reviewed as a matter local conditions and resources available are es- of course. Good pollution management habits tablished (e.g., emissions limits and special op- should be developed so that good performance erating procedures) to ensure that human health becomes routine. Each plant should also put in is protected and environmental benefits are op- place measures to minimize accidental releases timized. Depending on the circumstances, these (such as spills) and emergency response proce- site-specific requirements will be as strict as, or dures to manage such events. stricter than, those set out in the Handbook. In rare Design and implementation of industrial instances, the EA may show that less-strict site- projects to minimize the use of resources must specific requirements would be acceptable. If include energy conservation measures. Energy these are adopted, the project documentation efficiency is frequently indistinguishable from would be expected to provide detailed justifica- environmental efficiency. Whenever possible, tion for the measures chosen. both issues should be addressed together. The site-specific requirements determine the level and type of pollution abatement measures Process of Preparation required for a particular project. These depend on (a) the impact of the pollutants from that plant The preparation of the Handbook has been a long on the overall ambient pollution level; (b) the and cooperative process, drawing on a wide environmental and health damage caused by range of expertise and experience both inside and pollutants relative to the costs of reducing emis- outside the World Bank Group. sions levels; and (c) the most cost-effective op- The sections in Part III were circulated for com- tions for reducing the ambient level of pollution, ment, initially to a small number of specialists for example, through an approach that takes into and later to a wider audience of interested par- account systemwide technical and institutional ties. The guidelines related to thermal power solutions within a river basin, an airshed, or a plants were discussed at a two-day meeting of power grid. an international panel of experts at the World Health Organization in Geneva. The review and Projects Involving New Plant comment process had to balance breadth of re- view with the time and resources required for the An EA for a new industrial project should not preparation of each document. only determine the environmental impact of the The documents in Part III are intentionally project but should also identify alternative op- short. Their aim is to emphasize the key points tions for achieving the project objectives at equal that should be addressed in the preparation of a or lower cost, taking into account environmental project involving the particular sector. They are cost. Among the options to be considered are 184 PROJECT GUIDELINES policy and institutional measures and compre- performance of the facility; and (c) recommend hensive approaches to airshed and watershed site-specific targets and a timetable for achiev- management, including use of alternative sources ing them. of energy. Some of these alternatives will apply The economic prospects of an existing indus- only to projects initiated by governments, but trial plant should define the type of expenditure many will also apply to private sector investors to be made to reduce pollution. Plants with a who will find it in their best interest to conduct longer expected economic life are required to fo- EAs that consider the broadest reasonable range cus to a greater extent on process improvements of alternatives. Early investments in a sound EA to reduce their pollution emissions and should often pay off in smoother project implementation. be held to standards that approach those of a new When a project involves adding new plant in plant. Plants with a shorter economic life should an area where there are already plants in opera- make management improvements and should tion, the EA should examine a range of alterna- reduce emissions of the most damaging pollut- tive ways of reducing the exposure of people and ants by implementing other cost-effective mea- the environment to harmful pollution by taking sures for which the benefits achieved within the into account the contribution of other pollution anticipated economic life of the plant exceed the sources. If the EA indicates that there will be no costs involved. With technical justification and significant deterioration in ambient conditions, government approval, such plants may be held the plant should comply, at a minimum, with the to less strict standards if there is a clear commit- measures set out in the Handbook. ment to close the plant within an agreed time If the EA indicates that there may be a signifi- period and to avoid or clean up any hazardous cant deterioration in ambient conditions, several materials and soil or groundwater contamination possibilities should be examined: (a) the new that pose an immediate threat or a persistent risk project simply complies with the measures rec- to human health and the environment ommended in the Handbook; (b) the Bank Group The Bank Group encourages governments to may require the application to the plant of addi- undertake a process of negotiation between plant tional measures on the basis of site-specific con- owners and management, on the one hand, and ditions; or (c) the Bank Group may require, as a local regulators, on the other. The success of condition for providing financing, that further cleaner production or industrial pollution abate- measures be taken to address other sources ment measures depends crucially on an agree- within the project area of influence, where this is ment with plant managers regarding the a more cost-effective approach to reducing the management and process modifications that are overall impacts. This option may call for the as- required, after considering the different options sistance of the World Bank Group in facilitating available to achieve environmental objectives. negotiations between various government insti- For each plant, a detailed public schedule tutions or between the government and the pri- should be worked out that refers to the industry's vate sector. specific pollution performance over time and includes agreements on (a) initial compliance, Projects Involving Existing Plant involving management improvements and in- stallation of certain equipment, and (b) continuing For any Bank Group-financed industrial project compliance based on the results of environmen- involving significant modifications to an exist- tal monitoring, which is normally carried out ing facility, the Bank Group requires that the fa- by the enterprises themselves and verified in- cility undergo an environmental audit as the basis dependently. for appropriate project design. The report should (a) assess past and current releases to land, air, Industry-Specific Guidelines surface water, and groundwater; (b) identify good housekeeping and good maintenance prac- The industry-specific sections provide informa- tices, process modifications, and end-of-pipe tion on pollution prevention measures and emis- measures that can improve the environmental sions requirements. The pollution reduction targets Principles of Industrial Pollution Management 185 and pollution emissions levels provided cannot to pollutants. For example, in dealing with pes- be applied rigidly to every project, but they ticides and fertilizers, there are potentially ser- should be achieved wherever possible. Where ous exposures that are not addressed here and they cannot be achieved, the reasons for nonper- that could be far more important than those re- formance should be explained in detail. lated to manufacturing and waste disposal. These Specific emissions guidelines are intended to be include exposures of children playing in recently measurable with the expertise and equipment sprayed fields or with large containers (drums), normally available within the industry or to the repackaging of wholesale quantities for idi- relevant regulatory and enforcement body. The vidual consumption, contamination of the food intention of the Handbook is to present realistic chain, and so on. Similarly, for lead, the idi- performance levels to which industry will be held vidual industry guideline does not address fac- rather than nominal targets that enterprises do tors such as removal of existing environmental not take seriously. Where appropriate, the Bank lead (which can circulate for up to 30 years), nor Group may assist in developing local capabili- does it deal with various nonfuel sources of lead ties for monitoring and interpreting results. that may be more important locally but are often New projects should meet the maximum emis- not monitored. Thus, compliance with emissions sions levels contained in the sector-specific guide- standards at individual sources can give a false lines unless the site-specific environmental sense of security by creating the impression that analysis recommends stricter controls or provides the overall problem has been addressed. The ap- a justification for a variance from the guidelines propriate watchword is, "Environmental man- contained in the Handbook. The Bank Group re- agement, not just pollution control." quires a site-specific environmental analysis for all projects that may affect the environment. The Application of the Guidelines analysis should take into account local conditions and national legislation. Technical and managerial circumstances and con- The Handbook is intended to apply to both the straints will continue to change, and further ex- design and monitoring of projects. The emissions perience will be gained as regulatory and guidelines are typically stated as concentrations, pollution management systems are implemented. which are normally more easily measured than This Handbook can be used as a basic point of ref- loads. However, the objective is to reduce the erence, but users must constantly be aware of overall loads discharged to the environment. Any new developments and change and must apply process or operating procedure that uses dilution the advice provided here in the light of condi- or similar approaches to circumvent the objec- tions that pertain at a given time and place. tive of reducing pollutant loads is unacceptable. Project design should include consideration of The next document in Part III is a discussion the equipment and personnel requirements for on monitoring of pollutants, followed by a sum- the operation and monitoring of pollution pre- mary table of requirements for air emissions and vention and abatement measures. Basic sampling effluent discharges as presented in the Handbook. and laboratory facilities should be included as The remainder of Part III presents material on project components, if necessary specific pollutants, brief descriptions of control Avoidance of damage to human health is a technologies for pollutants of special importance, principal objective of the guidelines. However, guidelines for specific industries, and a document the guidelines focus on industrial sources and do on general environmental guidelines. A glossary not necessarily reflect all the potential exposures of terms follows Part tl. Monitoring Objectives natively, on-line monitoring); and a format for reporting the results. Pollutants of concern for the environment must Ambient levels of pollutants such as heavy be monitored to obtain reliable information on metals are measured in air, water, and soil, along the quality of ambient air and media. Such infor- with other parameters, at specified locations and mation is a necessary part of any environmental frequencies and using specified equipment and management system, whether in the private or methods. The objective is to collect and analyze the public sector. It provides a basis for informed representative samples to produce data for use decisionmaking and the development of environ- in the environmental management system. To mental management strategies. To ensure that ensure acceptable ambient levels, concentrations decisions are made on a sound basis, it is essen- of pollutants in the environment are predicted, tial to be confident that the measurements reflect using models and information on emissions from the existing situation; in other words, the data some of the major pollution sources, and are then must be of clearly defined and documented qual- monitored (that is, verified by actual observa- ity. Hence, quality assurance and quality control tion). Corrective action, follows, when necessary. are important. The way in which samples are taken and analyzed is as important as the results Ambient Air Quality of the measurement (analysis) itself. A quality assurance system should include institutional as Although, in theory, all pollutants should be well as technical aspects. monitored, in practice, only the significant pol- Environmental releases from major industrial lutants are monitored, at best. Usually, monitor- sources are monitored as part of the overall moni- ing is limited to some key pollutants such as toring of sources of the pollutants of concern suspended particulate matter (SPM). A good air within an airshed or water basin. The objectives quality management system usually reviews the of monitoring systems also include process opti- probable emissions sources and the environen- mization, auditing, and compliance with regula- tal receptors in the area of concern and then se- tory requirements such as emissions standards. lects the pollutants to be monitored. One such pollutant is particulate matter of less than 10 Methodology microns in aerodynamic diameter (PM,,). (Some modern air quality monitoring systems are be- Monitoring plans are designed and implemented ing developed to monitor PM,5 and PM, that is, for collecting data on ambient air and water qual- particulates of sizes less than 2.5 microns and 1 ity and on releases of pollutants of concern from micron, respectively) Other pollutants normally major point sources. The elements of a monitor- monitored include sulfur oxides, ozone, and ni- ing plan normally include selection of the param- trogen oxides. In some places, other priority pol- eters of concern; the method of collection and lutants may be included in ambient air handling of samples (specifying the location, the monitoring: examples are volatile organics such frequency, type, and quantity of samples, and as benzene and vinyl chloride, polynuclear aro- sampling equipment); sample analysis (or, alter- matic hydrocarbons (PAHs), dioxins, furans, 186 Monitoring 187 asbestos, inorganics, and arsenic, cadmium, lead, sumption. Further information on these issues is mercury, nickel, and other heavy metals. provided in the Water Quality Management Locations of monitoring stations are deter- chapters of this Handbook and in Jorgensen and mined on the basis of the receptors in the airshed. Vollenweider (1988); World Bank (1993); Le A network of monitoring stations is usually es- Moigne et al. (1994); and Lee and Dinar (1995). tablished to estimate the exposure levels. Nor- Table 2 lists some pollutants of concern and meth- mally, a monitoring station is also set up to ods of monitoring them. measure background concentrations in cases On the basis of the nature of the water body where the resultant ambient levels of a particu- (canal, river, lake, or sea) and its uses, the qual- lar source or sources are to be computed. The ity assurance plan establishes the number and quality assurance plan should include the ratio- locations of monitoring stations to estimate ex- nale for selecting the number and location of posure levels, including exposure of aquatic eco- monitoring stations, the monitoring frequency, systems. the equipment, and the method of sample col- Typically, monitoring of water quality for hu- lection. Monitoring may be continuous or may man consumption includes measurements of fe- be done for short durations of, say, 1 hour, 8 cal coliform; toxic organics such as benzene, hours, or 24 hours to determine the maximum trichloroethane, tetrachioroethene, chloro- and average for the set period. phenols, and pesticides; polynuclear aromatics Table 1 presents examples of the common am- such as benzo(a)pyrene, carbon tetrachloride, bient air monitoring systems used for some pol- polychlorinated biphenyls (PCBs), dioxins, and lutants of concern. furans; oil and grease; pH; toxic metals, includ- ing arsenic, cadmium, chromium, copper, lead, Water Quality and mercury; and cyanides, as well as color, taste, odor, turbidity, and hardness (see WHO 1984). Water quality management usually involves The quality of data obtained from analyzing col- monitoring of key pollutants that serve as indi- lected samples or from continuous monitors cators of acceptability for a specific use. For ex- should at least be of a level at which the cost- ample, there may be restrictions on pollutant effectiveness of sampling and monitoring tech- levels for water used in irrigation and stricter niques is balanced with the adverse consequences restrictions for water destined for human con- of erroneous data. Table 1. Examples of Ambient Air Monitoring Systems Parameter Sampling or monitoring system SPM/PMJ(, ISOfTR7708/DP 4222 (measurement of atmospheric deposit; horizontal deposit gauge method) ISO/DP 10473 (measurement ofithe mass of particulate matter on a filter medium; beta ray absorption); ISO/DIS 9835 (determination of a black smoke index) 40 CFR, Part 50, Appendix J (for PM,10); Appendix B (for SPM) Sulfur dioxide ISO 4219/4221; 40 CFR, Part 50, Appendix A (pararosaniline method) Nitrogen dioxide ISO 6768,7996; 40 CFR, Part 50, Appendix F (gas phase chemiluminescence method); Salzman automatic colorimeter (method used in Japan) Ozone 40 CFR, Part 50, Appendix D; measurement of photochemical oxidants using the neutral buf- fered automatic potassium iodide colorimetric method; used in Japan Lead ISO/DIS 9855; 40 CFR, Part 50, Appendix G (extraction with nitric and hydrochloric acids and analysis by atomic absorption spectrometry) Asbestos ISO/DIS 10312/DI 3492 (fibers counted using scanning electron microscope) Note: aPM, suspended particulate matter; CFR, United States, Code of Federal Regulations; ISO, International Organization for Standardization. 188 PROJECT GUIDELINES Table 2. Examples of Monitoring Systems for Water Bodies and Liquid Effluents Parameter Sampling or monitoring system General PH pH meter ISO (1980-91), Water Quality Standards APHA, ASTM, BS, DIN, SCA BOD Determine dissolved oxygen concentration in the test solution before and after incubation (APHA, ASTM, BS, DIN, ISO, SCA); 40 CFR, Part 136; USEPA Method 405.1 COD Digest with potassium dichromate in strong acid solution with silver sulfate as catalyst after sample homogenization (APHA, ASTM, BS, DIN, ISO, SCA); 40 CFR, Part 136; USEPA Method 410.1 AOX USEPA Method 1650 (titrimetric) TSS Filtration 40 CFR, Part 136; USEPA Method 160.2; APHA, BS, DIN, ISO, SCA Total dissolved solids Pretreatment with membrane filtration, followed by evaporation APHA, BS, DIN, ISO, SCA (TDS) Phenol Extract with MIBK, followed by GC analysis USEPA Methods 420.1, 420.2 Sulfide React with dimethIphenylenediamine and ferric chloride in acid solution to form methylene blue; USEPA Methods 376.1, 376.2 Oil and grease Extract with light petroleum, evaporate solvent, and measure weight USEPA Method 413.1 Organic compounds Total organic carbon UV oxidation followed by infrared analysis USEPA Method 415.1; APHA, ASTM, DIN, ISO, SCA Organics 40 CFR, Part 136.3 (GC, GC/MS, HPLC, ASTM D4657-87) PAHs Gas chromatography with flame ionization detection Pesticides Gas chromatography; 40 CFR, Part 136.3, Table 1 -D. Inorganic substances General reference 40 CFR, Part 136.3, Table 1-B. Metals Arsenic Atomic absorption spectroscopy; APHA, ASTM, SCA Cadmium Atomic absorption spectrometry; APHA, ASTM, BS, DIN, ISO, SCA Inductively coupled plasma emission spectrometry; ASTM, DIN, SCA Chromium Atomic absorption spectrometry; APHA, ASTM, BS, DIN, ISO, SCA Inductively coupled plasma emission spectrometry; ASTM, DIN, SCA Lead Atomic absorption spectrometry; APHA, ASTM, BS, DIN, ISO, SCA Inductively coupled plasma emission spectrometry; ASTM, DIN, SCA Mercury Flameless atomic absorption spectrometry; APHA, ASTM, BS, DIN, ISO, SCA Nickel Atomic absorption spectrometry; APHA, ASTM, DIN, SCA Inductively coupled plasma emission spectrometry; ASTM, DIN, SCA Zinc Atomic absorption spectrometry; APHA, ASTM, BSI, DIN, ISO, SCA Note: See UNEP, Technical Report 27, for details. APHA, American Public Health Administration, Standard Methods for the Exami- nation of Water and Wastewater; ASTM, American Society for Testing and Materials Standards, Annual, vols. 11.01, 11.02; BS, British Standards Institute, Water Quality, BS-6068; CFR, United States, Code of Federal Regulations; DIN, German Industrial Standard Methods for the Examination of Water, Wastewater and Sludge, DIN 38404-09; ISO, International Organization for Stan- dardization, Water Quality Standard Method; SCA, Standing Committee of Analysts, U.K. Department of the Environment, Methods for the Examination of Waters and Associated Materials. Monitoring 189 Point-Source Releases tions. The flow rate of stack gases and their tem- perature are among the basic parameters usually Releases, including fugitive air emissions, are monitored, along with the level of pollutants usually monitored to provide feedback to pollu- present (see Table 3). (In extractive systems, a tion prevention and control systems and to guide sample of stack gases is drawn.) The major pol- the necessary corrective action. Although releases lutants monitored in stack gases include particu- from transport, households, and other sources are late matter; sulfur oxides and, in some cases, also monitored, this chapter deals solely with hydrogen sulfide and total reduced sulfur com- industrial sources. The chapter does not cover pounds; nitrogen oxides; carbon monoxide and. fugitive emissions; the empirical methods re- in some cases, carbon dioxide; halogens or ha- quired for monitoring fugitive emissions are ad- lides (such as chlorine or hydrogen chloride); dressed in such sources as Bounicore and Davis volatile organic compounds; and toxic materials, (1992) and USEPA, Compilation of Air Pollutant including metals. The parameters are selected on Emission Factors (AP-42). the basis of knowledge of the process and the associated environmental issues of concern, as Air described in the guidelines for the specific indus- try sector. Monitoring of air emissions from point sources Monitoring methods for stack emissions usually involves monitoring pollutant concentra- specify locations, frequency, and equipment; the Table 3. Examples of Air Emissions Monitoring Systems Parameter Sampling and analytical methods Stack gases Extractive methods using pitot tubes; 40 CFR, Part 60, Appendix A, Methods 1-4; BS 1756:1977, Part 2 PM1,/lTSP In situ nondispersive infrared spectrophotometry and extractive gravimetric; ISO 9096; ISO/TC 146/SCI/WGI N1 6(1994); 40 CFR, Part 60, Appendix A, Methods 5, 5A, 17; BS 3405:1983 VDI 2066, Parts 1, 2 Sulfur oxides Extractive nondsispersive infrared spectrophotometry; ISO 8178; 40 CFR, Part 60, Appendix A, Method 6; BS 1756:1977, Part 4; VDI 2462, Parts 1-7 Nitrogen oxides Extractive fluorescence; ISO 8178; 40 CFR, Part 60, Appendix A, Method 7, 7A-7E; VDI 2456 Parts 1-7 VOCS Extractive flame ionization; 40 CFR, Part 60, Appendix A, Method 18; VDI 3493, Part 1 Total hydrocarbons Extractive nondispersive infrared spectrophotometry; 40 CFR, Part 60, Appendix A, Methods 25, 25A, 25 B; VDI 2460 (Parts 1-3), 2466 (Part 1), 3481 (Parts 1, 2), 2457 (Parts 1-7) Carbon monoxide Extractive nondispersive infrared spectrophotometry; 40 CFR, Part 60, Appendix A, Methods 10, 1 OA, 1 OB; VDI 2459, Part 6 Chlorine/hydrogendchloride Extractive nondispersive infrared spectrophotometry; VDI 3488, Parts 1 and 2; VDI 3480, Part 1 Hydrogen sulfide Extractive electrochemical analysis; VDI 3486, Parts 1-3 Note: Metals are usually analyzed by the methods outlined in Table 2. BS, British Standards Institute; CFR, United States, Code of Federal Regulations; ISO, International Organization for Standardization, Method for the Gravimetric Determination of Concentra- tion and Mass Flow Rate of Particulate Material in Gas-Carrying Ducts (Geneva 1994); VDI, Germany, Federal Minister for the Environment, Nature Conservation and Nuclear Safety, Air Pollution Control Manual for Continuous Emission Monitoring (Bonn, 1992). 190 PROJECT GUIDELINES method of collecting, handling, and analyzing specific industrial sectors. Sampling may be per- samples; and the method of reporting validated formed after each stage, to assess its performance, results. The sampling points should be at least 8 or at the inlet and the outlet of a treatment train. pipe diameters downstream and 2 pipe diameters Fluctuations in the process may necessitate more upstream of any obstruction or change in flow frequent monitoring if some parameter is ex- direction. (For details, see United States, 40 CFR, pected to reach levels of concern. The number of Part 60, Appendix A; UNEP and UNIDO 1996.) samples required should be such that at least a Ports should normally be installed so as to ex- 95% confidence level can be attained. The types tend at least 5 to 20 centimeters from the exterior of samples can be discrete (spot, snap, or grab) of the stack. If the sum of stack inside diameter or composite. Discrete samples are usually taken and port length is less than 3 meters, a minimum when concentrations of individual samples are of two ports at 900 to each other is needed. In of greater interest than are averages, as may be other cases, at least four ports 900 apart are the case with compliance monitoring. Compos- needed. It is important to prevent the sampling ite samples are prepared by mixing a series of process itself from causing changes in concentra- discrete samples to get a representative sample tions, and several criteria are specified to ensure over a period of time and for different locatons. the representativeness of the sample. Sampling Sampling quantities should be sufficient for per- points should be chosen to avoid the possibility forming analysis and subsequent quality assur- of reverse flow, which might affect the validity ance and quality control; as a general rule, the of samples. sample should be at least 500 milliliters. Sample containers are selected to minimize contamina- Liquid Effluents tion of samples or leakages of volatiles, if present. The instruments used include pH meters, ion- Monitoring of liquid effluents is performed to selective electrodes, redox potential measure- meet the objectives of environmental manage- ment devices, conductivity meters, dissolved- ment systems. The priorities of the water quality oxygen meters, turbidity meters, colorimeters management are used as a guide in setting up and spectrophotometers (infrared and ultravio- the monitoring program. It is important to know let), ultraviolet fluorescence, chemiluminescence, the discharge load levels that will not compro- flame ionization detector, atomic absorption mise the sustainability of the aquatic system. The spectroscope (for metals), flame photometer, elec- liquid effluent monitoring system normally in- trochemical cell, and photo-ionization detector. cludes selection of the sampling location; param- The analytical methods to be used are presented eters to be measured; type of samples to be in Table 2. collected and frequency of measurement; equip- ment to be used; method of preserving and ana- Solid Wastes lyzing the sample; and data reporting and validation, including quality assurance and qual- The objectives of monitoring solid wastes are to ity control. determine the acceptable treatment, storage, To obtain representative samples, the samples transport, and disposal methods that can be used should be taken where liquids are turbulent and and to obtain information on production pro- well mixed. Sampling points should be located cesses. Accuracy, the time needed for analysis, at least 25 pipe diameters downstream of distur- and monitoring cost are considered when deter- bances such as places where streams join, to en- mining the data to be obtained from monitoring sure that mixing is complete and the sample is solid waste streams. Representative samples are representative. Sampling at or near boundaries collected by methods such as moving a cutter of pipes, tanks, or lagoons where stagnant or oth- through dry flowing material or collecting wet erwise unrepresentative conditions exist should materials from sampling ports in a pipeline. The be avoided. sampling frequency and the parameters to be The parameters for each process or effluent analyzed are specified in the guidelines for spe- stream to be monitored and the frequency of cific industrial sectors. Analytical methods for monitoring are described in the guidelines for solid wastes are provided in USEPA (1986). Monitoring 191 Wastes that may leach toxics such as heavy met- useful indicator of the treatment effectiveness of als are analyzed for their leachability by meth- the system. The monitoring data of some of the ods such as toxic characteristic leachate key monitoring parameters need to be verified procedure, or TCLP (see United States, 40 CFR, by alternate means to ensure some level of confi- Part 261, Appendix). dence in the monitored results. For example, the Monitoring of some process parameters is es- flowmeter readings can be verified by taking tank sential for processes that are prone to accidental dips to check the results obtained from the flow- releases. Typically, alarms are set to go off when meter. a selected parameter (an indicator of a potential accidental release) exceeds a predetermined level. Quality Assurance and Quality Control For example, the pressure of the polymerization reactor in a high-density polyethylene plant is Quality assurance means developing a system of used to warn of the imminent release of process activities to ensure that measurements meet de- ingredients to the atmosphere. Similarly, moni- fined standards of quality with a stated level of toring of oil in liquid effluents in a petroleum confidence. Development of a plan for quality refinery can warn operators of possible leakage assurance includes defining monitoring objec- of oil from storage tanks or process areas to the tives, the quality control procedures to be fol- effluent system when unusually high amounts lowed, and quality assessment. Monitoring of oil are detected. objectives are defined and are then used to ar- rive at data quality objectives, including accu- Surrogate Monitoring racy, precision, completeness, representativeness, and comparability. In some cases, alternative schemes, termed sur- Quality assurance includes designing a net- rogate monitoring, are developed that cost-effec- work, selecting sampling or monitoring sites, se- tively achieve the objectives of environmental lecting instruments and designing the sampling monitoring systems and, in some cases, even the system, and developing a training schedule. objectives of process optimization. Monitoring of Quality control includes preparing protocols some key parameters reliably indicates the per- (including standard operating procedures and formance of the operating and pollution control record keeping) for site operation and equipment systems. The validity of such a scheme is then maintenance; preparing protocols for equipment established by performing a series of tests (say, calibration; preparing site visit schedules; and three tests for each case of worse operating con- preparing protocols for data inspection, review, ditions) at regular intervals, usually at least once validation, and usage. Quality assessment a year. For example, among the parameters includes developing a schedule for audits needed to measure the performance of a power and reports. generation process are fuel feed rates, including Typical monitoring objectives include estab- the feed rates of ash and sulfur, in addition to lishing a sound scientific basis for policy devel- heat content; steam pressure; steam production opment; determining compliance with statutory rate; temperature inside the combustion cham- criteria; assessing population and ecosystem ex- ber (at the nearest feasible location of the probe posure and risk; providing public information; to the burner or combustion zone); air feed rate; identifying pollution sources as a part of air and flue gas flow rate; minimum power supply to the water quality management systems; and evalu- electrostatic precipitator or minimum pressure ating long-term trends. drop across the baghouse; carbon monoxide level in the flue gases; and oxygen level in the flue References and Sources gases (representing the excess oxygen level). Similarly, for aerobic biological treatment sys- Bounicore, Anthony J., and Wayne T. Davis, eds. 1992. tems, the minimum power supply for the aera- Air Pollution Engineering Manual. New York: Van tion equipment per unit of wastewater treated at Nostrand Reinhold. maximum inlet BOD loads, validated by actual Germany, Federal Minister for the Environment, Na- tests of the inlet and outlet streams, may be a ture Conservation and Nuclear Safety. 1992. Air 192 PROJECT GUIDELINES Pollution Control Manual for Continuous Emission USEPA (United States Environmental Protection Monitoring. Bonn. Agency). 1973. Handbook for Monitoring Industrial Jorgensen, S. E., and R. A. Vollenweider, eds. 1988. Wastewater. Washington, D.C. Guidelines of Lake Management. Vols. 1-5. United . 1982. Air Quality Criteriafor Particulate Mat- Nations Environment Programme and International ter and Sulfur Oxides. Vols. I, 11, and Ill. EPA-600/8- Lake Environment Committee. 82-029a, b, and c. Research Triangle Park, N.C. Lee, Donna J., and Ariel Dinar. 1995. "Review of Inte- . 1986. Test Methodsfor Evaluating Solid Wastes. grated Approaches to River Basin Planning, Devel- SW-846. Washington, D.C. opment, and Management." Policy Research . 1993. Guidance for Estimating Ambient Air Working Paper 1446. World Bank, Agricultural and Natrnaleorce Dep.Wrlarmn, Agricultural Poni Monitoring Costs for Criteria Pollutants and Selected Natural Resources Department, Agricultural Poli-Research cies Division. Washington, D.C. Triangle Park, N.C.: Office of Air Quality Planning Le Moigne, Guy, Ashok Subramanian, Mei Xie, and and Standards. Sandra Giltner, eds. 1994. A Guide to the Formulation WHO (World Health Organization). 1977. GEMS: Gl- of Water Resources Strategy. World Bank Technical bal Environmental Monitoring System, Air Monitor- Paper 263. Washington, D.C. ing Program Design for Urban and Industrial Areas. Lioy, Paul J., and Mary Jean Lioy, eds. 1983. Air Sam- WHO Offset Publication 33. Geneva: United Na- pling Instruments for Evaluation of Atmospheric Con- tions Environment Programme, World Health Or- taminants. Cincinnati, Ohio: American Conference ganization, and World Meteorological Organization. of Governmental Industrial Hygienists. . 1979. "Sulfur Oxides and Suspended Par- UNEP (United Nations Environment Programme) and ticulate matter." Environmental Health Criteria 8. UNIDO (United Nations Industrial Development Geneva. Organization). 1996. Monitoring Industrial Emissions . 1984. Guidelines for Drinking Water Quality. and Wastes. Technical Report 27. Paris. Geneva. UNEP (United Nations Environment Programme) and . . u in r r WHO (World Health Organization). 1994. p 1987. AireQuagene fO europe. Euro- Earthwatch, Global Environment Monitoring System pea Erie. (GEMS), GEMS/AIR Methodology Review Handbook Series. Vols. 1, 2, and 3. Nairobi: UNEP; Geneva: World Bank. 1991. "Staff Appraisal Report: India's In- WHO. dustrial Pollution Control Project." Report 9347-IN. United Nations Statistical Commission and Economic Asia Technical Department, Industry and Finance Commission for Europe. 1984. Statistics ofAir Qual- Division, Washington, D.C. ity Models: Some Methods. Conference of European . 1993. Water Resources Management. World Statisticians Statistical Standards and Studies 36. Bank Policy Paper. Washington, D.C. New York. 1997. "Environmental Monitoring Systems." United States. CFR (Code of Federal Regulations). Wash- Draft Technical Background Document. Environ- ington, D.C.: Government Printing Office. ment Department Washington, D.C. Summary of Air Emission and Effluent Discharge Requirements Presented in the Industry Guidelines Terms Used in the following Tables 1-3 N Nitrogen Ng/J Nanograms per joule ADP Air-dried pulp NH, Ammonia Ag Silver NH, Ammonium nitrogen AOX Adsorbable organic halides Ni Nickel As Arsenic NO, Nitrate nitrogen BOD Biochemical oxygen demand NO Nitrogen oxides (understood as BOD measured O&G Oil and grease over five days, BOD) P Phosphorus Cd Cadmium PAH Polynuclear aromatic hydrocarbons Cl Chlorine Pb Lead CN Cyanide pH Measure of acidity/alkalinity Co Cobalt PM Particulate matter CO Carbon monoxide PM2.5 Particulate matter with aerodyna- COD Chemical oxygen demand mic diameter less than 2.5 microns Cr+6 Hexavalent chromium PM0 Particulate matter with aerodyna- Cr, total Total chromium mic diameter less than 10 microns CTMP Chemical, thermal, mechanical ppm Parts per million process for producing pulp S Sulfur Cu Copper Sb Antimony F Fluorine Se Selenium Fe Iron Sn Tin g/mm Btu Grams per million British thermal so, Sulfur dioxide units SO Sulfur oxides GJ Gigajoule t Metric ton HC Hydrocarbons TCE Trichloroethylene HCI Hydrogen chloride/hydrochloric acid Temp. Temperature increase at the edge of HF Hydmgen fluoride/hydrofluoric acid increase the zone where initial mixing and Hg Mercury dilution take place; where the zone H,S Hydrogen sulfide is not defined, 100 meters from the Kg Kilogram point of discharge is used kg/t Kilograms per metric ton tpd/MWe Metric tons per day per megawatt mg/1 Milligrams per liter of electricity mg/m3 Micrograms per cubic meter TSS Total suspended solids Mg/Nm3 Milligrams per normal cubic meter V Vanadium MPN/100 nd Coliform count expressed as most Vocs Volatile organic compounds probable number per 100 milliliters WAD Weak acid dissociable cyanide MWe Megawatts of electricity Zn Zinc 193 Table 1. Air Emission Requirements: Parameters and Maximum Values (mg/Nn3, unless otherwise specified) Guideline PM SOx NOx Other; comments Aluminum manufacturing 30 Total F: 2; HF: 1; VOCs: 20 Base metal and iron ore mining Breweries Cement manufacturing 50 400 600 Chlor-alkali industry Cl: 3 Coal mining and production 50 Coke manufacturing 50 Benzene: 5 (leaks); VOCs: 20; sulfur recovery at least 97% (preferably over 99%) Copper smelting * 1,000 (SO2) PM: smelters, 20, other sources, 50; As: 0.5; Cd: 0.05; Cu: 1; Pb: 0.2; Hg: 0.05 Dairy industry 50 Odor: acceptable to neighbors Dye manufacturing Cl: 10: VOCs: 20 Electronics manufacturing VOCs: 20; phosphine: 1; arsine: 1; HF: 5; HCI: 10 Electroplating industry VOCs: 90% recovery Foundries * PM: 20 where toxic metals are present, 50 in other cases Fruit and vegetable processing General environmental guidelines 2,000 (SO,) Coal: 750 (260 ng/J or 365 ppm) PM: 50 for 50 MWe; 100 < 50MWe; dioxins: Oil: 460 (130 ng/J or 225 ppm) 2,3,7,8-TCSS equivalent): maximum of 1 Gas: 320 (86 ng/J or 155 ppm) ng/Nm3 Glass manufacturing * Oil fired: 1,800 1,000 (up to 2,000 depending PM: 50 (20 where toxic metals are present); Gas fired: 700 on technology and if justified Pb + Cd: 5; heavy metals (other, total): 5; As: in the EA) 1; F: 5; HCI: 50 Industrial estates * 2,000 Solid fuels: 750 (260 ng/J or 365 PM: 50 (> 10 GJ/hr), 150 (< 10 GJ/hr); ppm); Liquid fuels: 460 (130 ng/J H,S: 15 or 225 ppm); Gaseous fuels: 320 (86 ng/J or 155 ppm) Iron and steel manufacturing 50 500 (sintering) 750 (260 ng/J or 365 ppm) F: 5 Lead and zinc smelting 20 400 (SO,) As: 0.1; Cd: 0.05; Cu: 0.5; Hg: 0.05; Pb: 0.5; Zn: 1 Meat processing and rendering * PM: 150 for smokehouses with a carbon content of less than 50; odor: minimize impacts on residents Mini steel mills 2,000 750 PM: 20 where toxic metals are present, 50 in other cases Mixed fertilizer plants 50 500 (nitrophosphate unit) NH3: 50; F: 5 70 (mixed acid unit) Nitrogenous fertilizer plants 50 300 NH3: 50; urea: 50 Oil and gas development (onshore) 1,000 Oil: 460(130 ng/J or 225 ppm) VOCs: 20; 2S 30; odor: not offensive at Gas: 320 (86 ng/J or 155 ppm) receptor end (H,S at the property boundary should be less than 5 g±g/m3) Pesticides formulation PM: 20(5 where very toxic compounds are present); VOCs: 20; Cl: 5 Pesticides manufacturing PM: 20(5 where very toxic compounds are present); VOCs: 20; Cl: 5 Petrochemicals manufacturing 20 500 300 HCI: 10; benzene: 5 (emissions), 0.1 ppb (plant fence); 1,2-dichloroethane: 5 (emissions), 1.0 ppb (plant fence); vinyl chloride: 5 (emissions), 0.4 ppb (plant fence); NH,3:15 Petroleum refining 50 150 (sulfur recovery units) 460 (130 ng/J or 225 ppm) H2S: 15; Ni + V: 2 500 (combustion units) Pharmaceutical manufacturing 20 Active ingredients (each): 0.15; Class A com pounds (total): 20; Class B compounds (total): 80; benzene, vinyl chloride, dichloroethane (each): 5 Phosphate fertilizer plants 50 Sulfuric acid plant: F: 5 SO2: 2 kg/t acid SO3: 0.15 kg/t acid Printing industry VOCs: 20; Cl: 10 2 Pulp and paper mills 2 kg/t ADP PM: 100 (recovery furnace); H2S: 15 (lMe U1 kilns); S (total): 1.5 kg/ton ADP (sulfite mills), 1.0 kg/ton ADP (kraft and other) Sugar manufacturing 2,000 Liquid fuels: 460 (130 ng/J PM: 100 (150 mg/ Nm3 for small mills with less or 225 ppm) than 8.7 MW heat input to the boiler); odor: Solid fuels: 750 (260 ng/J acceptable to residents or 365 ppm) Tanning and leather finishing Odor: acceptable to neighbors Textiles industry VOC: 20 Thermal power, new plants 50* 0.2 tpd/MWe (to 500 MWe) For thermal power plants: Less than 50 MWe: PM 100; for coal with 0.1 tpd/MWe (incr. over Coal: 750(260 ng/J or 365 ppm); less than 10% volatile matter, NO is 1,500 500 Me) Oil: 460 (130 ng/J or 225 ppm); mg/NM3 Not to exceed 2,000 mg/Nm3 Gas: 320 (86 ng/J or 155 ppm) in flue gases For cosebustion turbine units: Not to exceed 500 tpd Gas: 125 Diesel fuel (No.V2 oil): 165 Fuel oil (No. 6 and other): 300 Thermal power, rehabilitation 100* In rare cases, 150 mg/Nm3 PM is acceptable of existing plants Vegetable oil processing 50 Odor: acceptable to neighbors Wood preserving industry VOCs: 20 * See column headed "Other; commentsmn Table 2. Effluent Discharge Requirements: Parameters and Maximum Values, Miscellaneous Parameters (mg/, except pH and as otherwise specified) Coli- Temp. Guideline pH BODs COD TSS O&G Phenol CN N P F Cl form Increase Other; comments Aluminum manufacturing 6-9 150 50 20 3'C HC: 5 Base metal and iron ore mining 6-9 150 50 10 Free: 0.1 WAD: 0.5 Total: 1.0 Breweries 6-9 50 250 50 10 NH,: 10 5 3'C Cement manufacturing 6-9 50 3C Chlor-alkali industry 6-9 150 20 0.2 AOX: 0.5; sulfite: 1.0 Coal mining and production 6-9 50 10 TSS: 35 (monthly average) Coke manufacturing 30 150 50 10 0.5 Total: 0.2 Total: 10 3' C Benzene: 0.05; dibenz(a,h)anthracene: 0.05; benzo(a)pyrene: 0.05 Copper smelting 6-9 50 3' C Dairy industry 6-9 50 250 50 10 Total: 10 2 400 3'C MPN/ 100 ml Dye manufacturing 6-9 30 150 50 10 0.5 Total organic (each), e.g., benzidine: 0.05; AOX: 1 mg/I Electronics manufacturing 6-9 50 * 10 Free: 0.1 NH3: 10 5 20 TSS: 50 (maximum), Total: 1 20 (monthly average); chlorocarbons and hydrochlorocarbons (total): 0.5 Electroplating industry 7-10 25 10 Free: 0.2 5 20 Trichloroethylene and trichloroethane (each): 0.05 Foundries 6-9 50 10 3'C Fruit and vegetable processing 6-9 50 250 50 10 Total: 10 5 General environmental guidelines 6-9 50 250 50 10 0.5 Total: 1 NH3: 10 2 20 0.2 400 ! 3'C Sulfide: 1.0 Free: 0.1 MPN/ 100 ml Glass manufacturing 6-9 250 50 10 Industrial estates 6-9 50 250 50* 10 0.5 3' C TSS: 20 mg/I where toxic metals are present at significant levels; sulfide: 1; AOX: 1; benzene: 0.05; benzo(a)pyrene: 0.05 Iron and steel manufacturing 6-9 250 50 10 0.5 Free: 0.1 5 3' C Total: 1 Lead and zinc smelting 6-9 20 5 3'C Meat processing and rendering 6-9 50 250 50 10 Total: 10 5 400 MPN/ 100 ml Mini steel mills 6-9 50 10 3' C Mixed fertilizer plants 6-9 50 NH4: 10 5 20 Nickel smelting and refining 6-9 50 Nitrogenous fertilizer plants 6-9 50 NH3: 10 5 3* C Urea: 1 Oil and gas development (onshore) 6-9 50 50 20* 1 5 3*C O&G: up to 40 mg/I is acceptable for facilities producing < 10,000 tpd.; sulfide: 1 Pesticides formulation 6-9 150 20 10 TSS: 20, monthly average must not exceed 50 mg/I at any time; AOX: 1; organo- chlorines: 0.05; nitroorganics: 0.05; pyrethroids: 0.05; phenoxy compounds: 0.05; active ingredients (each): 0.05 Pesticides manufacturing 6-9 30 150 10 10 0.5 AOX: 1; active ingredi- ents (each): 0.05; BOD test to be done only when no toxics to microorganisms are present Petrochemicals manufacturing 6-9 30 150 30 10 0.5 Total: 10 5 3C Benzene: 0.05; vinyl chloride: 0.05; sulfide: 1 Petroleum refining 6-9 30 150 30 10 0.5 Total: 10 S 3'C Benzene:0.05; benzo(a)pyrene: 0.05; sulfide: 1 Pharmaceutical manufacturing 6-9 30* 150 10 10 0.5 AOX: 1; active ingredi- ents (each): 0.05; BOD test to be done only when no toxics to microorganisms are present (Table continues on the following page.) Table 2. (continued) Coli- Temp. Guideline pH BOD, COD TSS O&G Phenol CN- N P F C/ form Increase Other; comments Phosphate fertilizer plants 6-9 50 5 20 Printing industry 6.5-10 30 150 50 10 Pulp and paper mills 6-9 * 0.4 0.05 3'C COD: kraft and CTMP, kg/t kg/t 300 mg/, 15 kg/t; sulfite, 700 mg/1, 40 kg/t; mechanical and recycled fiber, 10 mg/, 5 kg/t; paper mills, 250 mg/I; AOX: 40 mg/, 2 kg/t for new mills (target is 4 mg/l. 0.2 kg/t); 40 mg/I, 2 kg/t for retrofits (target is 8 mg/, 0.4 kg/t); 4 mg/ for paper mills Sugar manufacturing 6-9 50 250 50 10 NH4: 10 2 5 3C Tanning and leather finishing 6-9 50 250 50 10 NH4: 10 2 400 Sulfide: 1 MPN/ 100 ml Textiles industry 6-9 50 250 50 10 0.5 400 3 C AOX: 8; pesticides MPN/ (each): 0.05; sulfide: 1 100 ml Thermal power 6-9 50 10 Total 3' C Chlorine shocking: residual: maximum value is 2 0.2* mg/1 for up to 2 hours, not to be repeated more frequently than once in 24 hours, with a 24-hour average of 0.2 mg/I Vegetable oil processing 6-9 50 250 50 10 Total: 10 ! 3' C Wood preserving industry 6-9 150 50 10 0.5 20 PAHs (each): 0.05; pesticides (each): 0.05; dioxins/furans (sum of all): 0.0005 * See column headed "Other; comments.' Table 3. Effluent Discharge Requirements: Parameters and Maximum Values, Metals (mg/, unless otherwise specified) Total Total Guideline Ag Al As Cd Cr 6 Cr Cu Fe Hg Ni Pb Sn Zn metals Other; comments Aluminum manufacturing 0.2 Base metal and iron ore mining 0.1 0.1 0.1 0.5 3.5 0.01 0.5 0.2 2 10 Breweries Cement manufacturing Chlor-alkali industry Coal mining and production 3.5 10 Coke manufacturing Copper smelting 0.1 0.1 0.5 3.5 0.01 0.1 1 10 Dairy industry Dye manufacturing 0.1 0.5 2 Electronics manufacturing 0.1 0.1 0.1 0.5 0.01 0.5 0.1 2 10 Electroplating industry 0.5 0.1 0.1 0.1 0.5 0.5 0.01 0.5 0.2 2 10 Foundries 0.5 2 Fruit and vegetable processing General manufacturing 0.5 0.1 0.1 0.1 0.5 3.5 0.01 0.5 0.1 2 10 Se: 0.1 Glass manufacturing 0.1 10 8 Industrial estates 0.1 0.1 0.5 0.5 0.5 0.1 2 Iron and steel manufacturing 0.1 0.5 0.01 0.2 2 Lead and zinc smelting 0.1 0.1 0.5 3.5 0.01 0.1 2 5 Meat processing and rendering Mini steel mills 0.1 0.1 0.5 0.5 0.5 0.1 Mixed fertilizer plants 0.1 10 Nickel smelting and refining 3.5 0.5 10 Nitrogenous fertilizer plants Oil and gas development (onshore) See Total toxic metals com- (antimony, arsenic, ments beryllium, cad- mium, chromium, copper, lead, mercury, nickel, selenium, silver, thallium, vana- dium, zinc): 5 Pesticides formulation 0.1 0.1 0.5 0.01 Pesticides manufacturing 0.1 0.1 0.5 0.01 Petrochemicals manufacturing 0.1 0.1 0.5 (Table continues on the following page.) Table 3. (continued) Total Total Guideline Ag Al As Cd Cr6 Cr Cu Fe Hg Ni Pb Sn Zn metals Other; comments Petroleum refining 0.1 0.5 0.1 Pharmaceutical manufacturing 0.1 0.1 0.1 0.01 Phosphate fertilizer plants 0.1 Printing industry 0.5 0.1 0.1 0.5 0.5 0.5 2 Pulp and paper mills Sugar manufacturing Tanning and leather finishing 0.1 0.5 Textiles industry 0.5 0.5 0.5 2 Co: 0.5 Thermal power 0.5 0.5 1 1 Vegetable oil processing Wood preserving industry 0.1 0.1 0.5 0.5 Airborne Particulate Matter Airborne particulate matter, which includes dust, ganic carbon (hydrocarbons emitted in combus- dirt, soot, smoke, and liquid droplets emitted into tion exhaust, and secondary organic compounds the air, is small enough to be suspended in the formed by photochemistry). These species may atmosphere. Airborne particulates may be a com- be the most abundant fine particles after sulfates. plex mixture of organic and inorganic substances. Additionally, atmospheric reactions of nitrogen They can be characterized by their physical at- oxides produce nitric acid vapor (HNO,) that tributes, which influence their transport and may accumulate as nitrate particles in both fine deposition, and their chemical composition, and coarse forms. The most common combina- which influences their effect on health. tion of coarse particles consists of oxides of sili- The physical attributes of airborne particulates con, aluminum, calcium, and iron. include mass concentration and size distribution. Ambient levels of mass concentration are mea- Terms and Sampling Techniques sured in micrograms per cubic meter (mg/n); size attributes are usually measured in aerody- Several terms are used to describe particulates. namic diameter. Particulate matter (PM) exceed- Generally, these terms are associated with the ing 2.5 microns (mm) in aerodynamic diameter sampling method: is generally defined as coarse particles, while Total suspended particulates (TSP) includes par- particles smaller than 2.5 mm (PM 2.) are called tides of various sizes. Some proportion of TSP fine particles. The acid component of particulate consists of particles too large to enter the human matter, and most of its mutagenic activity, are respiratory tract; therefore, TSP is not a good in- generally contained in fine particles, although dicator of health-related exposure. TSP is mea- some coarse acid droplets are also present in fog. sured by a high-volume gravimetric sampler that Samples taken in the United States showed that collects suspended particles on a glass-fiber fil- about 30% of particulate matter was in the fine ter. The upper limit for TSP is 45 mm in diameter fraction (Stern et al. 1984). in the United States and up to 160 gmin Europe. Particles interact with various substances in TSP sampling and TSP-based standards were the air to form organic or inorganic chemical com- used in the United States until 1987. Several coun- pounds. The most common combinations of fine tries in Central and Eastern Europe, Latin particles are those with sulfates. In the United America, and Asia still monitor and set standards States, sulfate ions account for about 40% of fine based on measurements of TSP. As monitoring particulates and may also be present in concen- methods and data analysis have become more trations exceeding 10 micrograms per normal sophisticated, the focus of attention has gradu- cubic meter, mg/NM3 (USEPA 1982b). The ally shifted to fine particulates. Recent evidence smaller particles contain the secondarily formed shows that fine particulates, which can reach the aerosols, combustion particles, and recondensed thoracic regions of the respiratory tract, or lower, organic and metal vapors. The carbonaceous are responsible for most of the excess mortality component of fine particles-products of in- and morbidity associated with high levels of ex- complete combustion--contains both elemental posure to particulates. Most sophisticated stud- carbon (graphite and soot) and nonvolatile or- ies suggest that fine particulates are the sole factor 201 202 PROJECT GUIDELINES: POLLUTANTS accounting for this health damage, while expo- as a result of combustion processes, including the sure to coarse particulates has little or no inde- burning of fossil fuels for steam generation, heat- pendent effect. ing and household cooking, agricultural field The particles most likely to cause adverse burning, diesel-fueled engine combustion, and health effects are the fine particulates PM,o and various industrial processes. Emissions from PM2.5 -particles smaller than 10 mm and 2.5 mm these anthropogenic sources tend to be in fine in aerodynamic diameter, respectively. They are fractions. However, some industrial and other sampled using (a) a high-volume sampler with a processes that produce large amounts of dust, size-selective inlet using a quartz filter or (b) a such as cement manufacturing, mining, stone dichotomous sampler that operates at a slower crushing, and flour milling, tend to generate par- flow rate, separating on a Teflon filter particles tides larger than 1 mm and mostly larger than smaller than 2.5 mm and sizes between 2.5 mm 2.5 mm. In cold and temperate parts of the world, and 10 mm. No generally accepted conversion domestic coal burning has been a major con- method exists between TSP and PM,o, which may tributor to the particulate content of urban air. constitute between 40% and 70% of TSP Traffic-related emissions may make a substan- (USEPA1982b). tial contribution to the concentration of sus- In 1987, the USEPA switched its air quality pended particulates in areas close to traffic. Some standards from TSP to PMo. PM1o standards have agroindustrial processes and road traffic repre- also been adopted in, for example, Brazil, Japan, sent additional anthropogenic sources of mostly and the Philippines. In light of the emerging evi- coarse particulate emissions. dence on the health impacts of fine particulates, The largest stationary sources of particulate the USEPA has proposed that U.S. ambient stan- emissions include fossil-fuel-based thermal dards for airborne particulates be defined in fine power plants, metallurgical processes, and ce- particulates. ment manufacturing. The physical and chemical Black smoke (BS) is a particulate measure that composition of particulate emissions is deter- typically contains at least 50% respirable particu- mined by the nature of pollution sources. Most lates smaller than 4.5 mm in aerodynamic diam- particles emitted by anthropogenic sources are eter, sampled by the British smokeshade (BS) less than 2.5 mmin diameter and include a larger method. The reflectance of light is measured by variety of toxic elements than particles emitted the darkness of the stain caused by particulates by natural sources. Fossil fuel combustion gen- on a white filter paper. The result of BS sampling erates metal and sulfur particulate emissions, depends on the density of the stain and the opti- depending on the chemical composition of the cal properties of the particulates. Because the fuel used. The USEPA (1982b) estimates that more method is based on reflectance from elemental than 90% of fine particulates emitted from sta- carbon, its use is recommended in areas where tionary combustion sources are combined with coal smoke from domestic fires is the dominant sulfur dioxide (SO2). Sulfates, however, do not component of ambient particulates (WHO and necessarily form the largest fraction of fine UNEP 1992). After reviewing the available data, particulates. In locations such as Bangkok, Ostro (1994) concluded that BS is roughly equiva- Chongqing (China), and Sdo Paulo (Brazil), or- lent to PM,o. However, there is no precise equiva- ganic carbon compounds account for a larger lence of the black smoke measurements with fraction of fine particulates, reflecting the role of other methods. The BS measure is most widely emissions from diesel and two-stroke vehicles or used in Great Britain and elsewhere in Europe. of smoke from burning coal and charcoal. Al- though sulfates represent a significant share (30- Sources of Particulates 40%) of fine particulates in these cases, care is required before making general assertions about Some particulates come from natural sources the relationship between sulfates and fine par- such as evaporated sea spray, windborne pollen, ticulates, since the sources and species charac- dust, and volcanic or other geothermal eruptions. teristics of fine particulates may vary significantly Particulates from natural sources tend to be across locations. Combustion devices may emit coarse. Almost all fine particulates are generated particulates comprised of products of incomplete Airborne Particulate Matter 203 combustion (PICs, which may include toxic or- Population-based cross-sectional and longitu- ganics) and toxic metals, which are present in the dinal studies (see, for example, Lipfert 1984; fuel and in some cases may also be carcinogenic. Dockery et al. 1993) have found an association Particulates emitted by thermal power genera- between long-term exposure and mortality Us- tion may contain lead, mercury, and other heavy ing 14-to-16-year studies in six U.S. cities, and metals. The melting, pouring, and torch-cutting controlling for individual risk factors, including procedures of metallurgy emit metal particulates age, sex, smoking, body-mass index, and occu- containing lead, cadmium, and nickel. Particles pational exposure, Dockery et al. (1993) found a emitted by the cement industry are largely stone significant connection between particulate air or clay-based particulates that may contain toxic pollution and excess mortality at average annual metals such as lead. PM, concentrations as low as 18 mg/m3, well below the current U.S. ambient standard of 50 Impacts of Exposure mg/3. Studies on the effect of particulates on human health summarized by Ostro (1994) sug- Human Health Effects gest an increase in human mortality rates rang- ing from 0.3% to 1.6% for each 10 Mg/in3 increase The respiratory system is the major route of en- in average annual PM, concentrations. try for airborne particulates. The deposition of A study conducted on over a half million particulates in different parts of the human res- people in 151 U.S. metropolitan areas during piratory system depends on particle size, shape, 1982-89 by Pope et al. (1995) found that death density, and individual breathing patterns rates in the areas most polluted with fine par- (mouth or nose breathing). The effect on the hu- ticulates were 17% higher than in the least pol- man organism is also influenced by the chemical luted areas, as a result of a 31% higher rate of composition of the particles, the duration of ex- death from heart and lung disease, even when posure, and individual susceptibility. While all most cities complied with the U.S. federal stan- particles smaller than 10 mm in diameter can dards for particulate pollution. Cities with aver- reach the human lungs, the retention rate is larg- age pollution that complied with federal est for the finer particles. standards still had about a 5% higher death rate Products of incomplete combustion, which than the cleanest cities. form a significant portion of the fine particulates, In addition, relationships between morbid- may enter deep into the lungs. PICs contribute ity and short- and long-term exposure to par- significantly to health impacts associated with ticulate matter have been found in a number fine particulates. of studies. Schwartz et al. (1993) found a sig- Clinical, epidemiologic, and toxicological nificant increase in emergency room visits sources are used to estimate the mortality and among people under the age of 65 in areas with morbidity effects of short- and long-term expo- daily average PM1, concentrations that were less sure to various particulate concentration levels. than 70% of the U.S. air quality standard of 150 Several studies have found statistically signifi- Mg/M3. Several studies carried out in Canada, cant relationships between high short-term am- Germany, Switzerland, and the United States bient particulate concentrations and excess have found an association between respiratory mortality in London and elsewhere. The esti- symptoms and exposure to long-term ambient mated 4,000 excess deaths in the London met- particulate concentrations of about 30-35 mg/m3, ropolitan area in December 1952 were without any evidence of a threshold level below associated with BS measurements equivalent which health effects do not occur. (For a sum- to a 4,000 mg/m3 maximum daily average am- mary, see Schwartz 1991/92.) Kane (1994) dem- bient concentration of particulates (Schwartz and onstrated an association between mineral dusts Dockery 1992b). Schwartz (1993b) has also found such as silica or asbestos fibers accumulating a significant association between daily average in the lungs and a characteristic spectrum of dis- PM1o concentrations and mortality at concentra- eases. Recently, the potential carcinogenic effect tions below the current U.S. standard of 150 mg/ of certain dust compounds has been analyzed, M3 for short-term PM10 concentrations. and in some cases (for example, for silica dust), 204 PROJECT GUIDELINES: POLLUTANTS limited evidence of carcinogenic effects has been the EU and USEPA standards also reflect the tech- found (see Ulm 1994). nological feasibility of meeting the standards. In Recent epidemiologic evidence (for example, the EU, a prolonged consultation and legislative Schwartz 1991/92; Schwartz and Dockery 1992b; decisionmaking process took into account the Ostro 1994) suggests that there may be no safe environmental conditions and the economic and threshold for fine particulate matter and that the social development of the various regions and effects are linearly related to concentration. countries and acknowledged a phased approach to compliance. A potential tradeoff was also rec- Other Effects ognized in the guidelines for the combined ef- fects of sulfur dioxide and particulate matter (see Vegetation exposed to wet and dry deposition of European Community 1992). particulates may be injured when particulates are combined with other pollutants. Coarse particles, Conclusions such as dust, directly deposited on leaf surfaces can reduce gas exchange and photosynthesis, The main objective of air quality guidelines and leading to reduced plant growth. Heavy metals standards is the protection of human health. Since that may be present in particulates, when depos- fine particulates (PM10) are more likely to cause ited on soil, inhibit the process in soil that makes adverse health effects than coarse particulates, nutrients available to plants. This, combined with guidelines and standards referring to fine par- the effects of particulates on leaves, may contrib- ticulate concentrations are preferred to those re- ute to reduction of plant growth and yields. In ferring to TSP, which includes coarse particulate addition, particulates contribute to the soiling concentrations. and erosion of buildings, materials, and paint, Scientific studies provide ample evidence of leading to increased cleaning and maintenance the relationship between exposure to short-term costs and to loss of utility. and long-term ambient particulate concentra- Particulate emissions have their greatest im- tions and human mortality and morbidity effects. pact on terrestrial ecosystems in the vicinity of However, the dose-response mechanism is not emissions sources. Ecological alterations may be yet fully understood. Furthermore, according to the result of particulate emissions that include WHO (1987), there is no safe threshold level toxic elements. Furthermore, the presence of fine below which health damage does not occur. particulates may cause light scattering, or atmo- Therefore, policymakers may have to consider ac- spheric haze, reducing visibility and adversely ceptable risk rather than try to achieve absolute affecting transport safety, property values, and safety when setting ambient particulate concen- aesthetics. tration standards. Furthermore, ambient guide- lines can become an effective part of the Ambient Standards and Guidelines environmental management system only if implementation is feasible and the enforcement The most frequently used reference guidelines for of other policy instruments ensures their attain- ambient particulate concentration are those of ment. Consideration should therefore be given WHO, the EU, and the USEPA. These guidelines to the technical feasibility and the costs of at- are based on clinical, toxicological, and epidemio- tainment. logic evidence and were established by determin- Another difficulty is that airborne particulates ing the concentrations with the lowest observed are rarely homogeneous: They vary greatly in size adverse effect (implicitly accepting the notion and shape, and their chemical composition is that a lower threshold exists under which no ad- determined by factors specific to the source and verse human health effects can be detected), ad- location of the emissions. The combined effects justed by an arbitrary margin of safety factor and interactions of various substances mixed to allow for uncertainties in extrapolation from with particulates have not yet been established animals to humans and from small groups of hu- (except for sulfur dioxide), but they are believed mans to larger populations.' The WHO guide- to be significant, especially where long-term ex- lines are based on health considerations alone; posure occurs. Measurement techniques and their Airborne Particulate Matter 205 reliability may vary across regions and countries, appropriate to establish area-specific ambient and so may other factors, such as diet, lifestyle, standards case by case. and physical fitness, that influence the human Prior to carrying out an environmental assess- health effects of exposure to particulates. ment, a trigger value for annual average concen- trations of PM,, should be agreed on by the Recommendations country and the World Bank. Countries may wish to adopt EU, USEPA, or WHO guidelines or stan- In the long term, countries should seek to ensure dards as their trigger values. The trigger value that ambient exposure to particulates, especially should be equal to or lower than the country's to PM20, do not exceed the WHO recommended ambient standard. The trigger value is not an guidelines (see Table 1). In the interim, countries ambient air quality standard but simply a thresh- should set ambient standards for total particu- old. If, as a result of the project, the trigger value lates, PM10, or both that take into account (a) the is predicted to be exceeded in the area affected benefits to human health of reducing exposure by the project, the EA assessment should seek to particulates; (b) the concentration levels mitigation alternatives on a regional or sectoral achievable by pollution prevention and control basis. In the absence of an agreed value, the World measures; and (c) the costs involved in meeting Bank Group will classify an airshed as moder- the standards. In adopting new ambient air qual- ately degraded if the annual average concentra- ity standards, countries should set appropriate tion levels of particulates are above 50 Mg/M3 or phase-in periods during which districts or mu- if the 98th percentile of 24-hour mean values over nicipalities that do not meet the new standards a one-year period is estimated to exceed 150 mg/ are expected to come into compliance and will M3 Of PM,,. In areas where PM10 measurements be assisted to attain the standards. Where there do not exist, the value of 80 Mg/i3 for TSP will are large differences between the costs and ben- be used. Airsheds will be classified as having efits of meeting air quality standards, it may be poor air quality with respect to particulate mat- Table 1. Reference Standards and Guidelines for Average Ambient Particulate Concentration (micrograms per cubic meter) Long-term (annual) Short-term (24 hours) Standard or guideline PM10 BS TSP PM10 BS TSP EU limit values 80a 1 5b 250c 300d EU guide values 40t60a 100-150e USEPA primary and secondary standards 50b 1 50 WHO guidelinesh 40-60 60-90 100-150 150-230 WHO guidelines for Europeg 50 70' 125 120 Notes: PM1o, particulate matter less than 10 microns in aerodynamic diameter; BS, black smoke (converted to vgNm3 measure); TSPi total suspended particulates. a. Median of daily mean values. b. Arithmetic mean of daily mean values. c. 98th percentile of all daily mean values throughout the year. d. 95th percentile of all daily mean values throughout the year. e. Daily mean values. f. Arithmetic mean. g. Guideline values for combined exposure to sulfur dioxide and particulates. h. Not to be exceeded for more than one day per year. i. Guideline for thoracic particles. According to International Organization for Standardization standard lSO-TP thoracic particle measurements are roughly equivalent to the sampling characteristics for particulate matter with a 50% cutoff point at 10 mm diameter. Values are to be regarded as tentative at this time, being based on a single study that also involved sulfur dioxide exposure. Sources. European Community 1992 (EU); United States, CFR (USEPA); WHO 1979 (WHO guidelines); WHO 1987 (WHO guide- lines for Europe). 206 PROJECT GUIDELINES: POLLUTANTS ter if the annual mean value of PM,o is greater Pope, C. A., M. Thun, M. Namboodiri, D. Dockery, than 100 mg/m3 or if the 95th percentile of 24- J. Evans, F. Speizer, and C. Heath. 1995. "Particu- hour mean values of PM,o over a period of one late Air Pollution as a Predictor of Mortality in a year is estimated to exceed 150 mg/m3. Prospective Study of U.S. Adults." American jour- Good practice in airshed management should nal of Respiratory and Critical Care Medicine 151: 669-74. encompass the establishment of an emergency response plan during industrial plant operation. Schwartz, Joel. 1991/92. "Particulate Air Pollution and It is recommended that this plan be put into ef- Daily Mortality: A Synthesis." Public Health Reviews fect when levels of air pollution exceed one or more of the emergency trigger values (deter- . 1993a. "Particulate Air Pollution and Chronic mined for short-term concentrations of sulfur Respiratory Disease." Environmental Research 62:7-13. dioxide, nitrogen oxides, particulates, and . 1993b. "Air Pollution and Daily Mortality ozone). The recommended emergency trigger in Birmingham, Alabama." American Journal of Epi- value for PMjo is 150 mg/m3 for 24-hour average demiology 137(10). concentrations. Where PM,o measurements do SchwartzA4el, and D. W. Dockery. 1992a. "Increased not exist, the value of 300 mg/M3 for TSP is rec- Mortality in Philadelphia Associated with Daily Air ommended. Pollution Concentrations." American Review of Res- piratory Disease 145: 600-604. Note _ 1992b. "Particulate Air Pollution and Daily Mortality in Steubenville, Ohio." American Review 1. Adverse effect is defined as "any effect result- of Respiratory Disease 135(1). ing in functional impairment and/or pathological "Particulate Air Pollution lesions that may affect the performance of the whole arz Hoelital 1993. organism or which contributed to a reduced ability an Stl mergn R o Vsitor Asa to respond to an additional challenge" (see USEPA in7Seattle. 1980). Stern, Arthur C., et al. 1984. Fundamentals of Air Pollu- References and Sources tion. Orlando, Fla.: Academic Press. Ulm, K. 1994. "Epidemiology of Chronic Dust Expo- Dockery, D., C. A. Pope, X. Xiping, J. Spengler, J. Ware, sure." In D. L. Dungworth, J. C. Mauderly, and G. M. Fay, B. Ferris, and F. Speizer. 1993. "An Associa- Oberdorfer, eds., Toxic Carcinogenic Effects of Solid tion between Air Pollution and Mortality in Six U.S. Particles in the Respiratory Tract. Washington, D.C: Cities." New England Journal of Medicine 329(24): International Life Sciences Institute. 1753-59. United States. CFR (Code of Federal Regulations). Wash- European Community. 1992. European Community ington, D.C.: Government Printing Office. Deskbook. Washington, D.C.: Environmental Law Institute. USEPA (United States Environmental Protection Agency). 1980. "Guidelines and Methodology Used Kane, A. B. 1994. "Particle- and Fiber-induced Lesions: in the Preparation of Health Effect Assessment An Overview." In D. L. Dungworth, J. C. Mauderly, Chapters of the Consent Decree Water Quality Cri- and G. Oberdorfer, eds., Toxic and Carcinogenic Ef- teria." Federal Register 45: 79347-57. fects of Solid Particles in the Respiratory Tract.. Wash- ington, D.C: International Life Sciences Institute. 1982a. Air Quality Criteriafor Particulate Mat- ter and Sulfur Oxides. Vol. 1. EPA-600/8-82-029a. Lipfert, F. W. 1984. "Air Pollution and Mortality: Research Triangle Park, NC. Specification Searches Using SMSA-Based Data." Journal of Environmental Economics and Management 1982b. Second Addendum to Air Quality Crite- 11: 208-43. na for Particulate Matter and Sulfur Oxides (1982): Ostro, Bart. 1994. "Estimating the Health Effects of Air tn.eseac TrNle Park, N hCf Pollutants: A Method with an Application to Jakarta." Policy Research Working Paper 1301. . 1990. Review of the National Ambient Air Quality World Bank, Policy Research Department, Washing- Standardfor Particulate Matter: Assessment of Scientific and ton, D.C. Technical Information. Research Triangle Park, N.C. Airborne Particulate Matter 207 WHO (World Health Organization). 1979. "Sulfur WHO (World Health Organization) and UNEP (United Oxides and Suspended Particulate Matter." Envi- Nations Environment Programme). 1992. Urban Air ronmental Health Criteria 8. Geneva. Pollution in Megacities of the World. Cambridge, --- . 1987. Air Quality Guidelines for Europe. Mass.: Blackwell Reference. Copenhagen: WHO Regional Office for Europe. Arsenic Arsenic is a metalloid that is distributed widely found as arsenides of copper, lead, silver, and in the earth's crust. Pure arsenic is rarely found gold, but high levels may also be found in some in the environment. More commonly, it bonds coal. The principal natural sources of arsenic in with various elements such as oxygen, sulfur, and the atmosphere are volcanic activity and, to a chlorine to form inorganic arsenic compounds lesser degree, low-temperature volatilization. and with carbon and hydrogen to form organic White arsenic (arsenic trioxide), a by-product arsenic compounds. The water-soluble trivalent of roasting sulfide ores, is the basis for manufac- and pentavalent oxidation states of inorganic ar- turing all arsenicals. The main uses of arsenicals, senic are the most toxic arsenic compounds. At- as components of pesticides and herbicides, have mospheric arsenic exists primarily in inorganic been banned in many countries. Arsenicals are form and is absorbed by particulate matter, while also used in leather pigments. Chromated cop- soluble arsenate and arsenite salts are the most per, sodium, and zinc arsenates are used in anti- typical forms in water. Atmospheric arsenic de- fungal wood preservatives, and in some places, posits to the soil, and is then absorbed by plants, arsanilic acid is added to farm animal feed as a leached to groundwater and surface water, and growth stimulant. Metallic arsenic is used in elec- taken up by plants and animals. tronics and as a metal alloy, and sodium arsenite Airborne concentrations of arsenic range from has been included in drugs for treating leukemia a few nanograms per cubic meter (ng/m3) to a and other diseases. Arsenic is also used in lead few tenths of a microgram per cubic meter (gg/ crystal glass manufacturing, contributing to at- m3), but concentrations may exceed 1 gg/m3 near mospheric emissions and the generation of highly stationary sources of emissions (Bencko 1987). A toxic wastes. few micrograms per liter (mg/1) of arsenic are The greatest part of anthropogenic arsenic normally found in drinking water. In some loca- emissions originates from stationary sources, in- tions, however, concentrations may exceed 1 mil- cluding copper smelting (about 50%), combus- ligram per liter (mg/1); see WHO (1981). tion of coal, especially low-grade brown coal Uncontaminated soil typically contains about 7 (about 20%), and other nonferrous metal indus- micrograms per gram (mg/g) arsenic, on aver- tries (around 10%). The drying of concentrates age, but levels in the range of 100-2,500 mg/g in mining operations also contributes to atmo- have been detected near stationary sources, and spheric emissions of arsenic. The contribution of up to 700 mg/g in agricultural soils treated with agriculture to anthropogenic arsenic releases, arsenic-containing pesticides (WHO 1987). High through the use of arsenicals as pesticides and concentrations of arsenic, mainly fat-soluble or herbicides and through the burning of vegeta- water-soluble organoarsenic compounds, have tion and of wood treated with arsenic-contain- been observed in seafood (WHO 1981). ing preservatives, is estimated at around 20% (Chilvers and Peterson 1987). The largest con- Sources and Uses tributors of arsenic in terrestrial waters are land- fills, mines, pit heaps, wastewater from smelters, Arsenic occurs widely in the natural environ- and arsenic-containing wood preservatives ment. The highest mineral concentrations can be (Bencko 1987). Some iron and steel plants that 208 Arsenic 209 use iron pyrites from metal mines, as well as other et al. 1968). Further studies (cited by Wildavsky industries, such as sulfuric acid plants, that use and Schleicher 1995) have failed to demonstrate pyrite as a source of sulfur for production, could a relationship at lower levels of exposure, which be substantial sources of arsenic pollution of both may indicate the existence of a lower threshold air and water. level for carcinogenic impacts of ingested arsenic. Inhalation is a less significant pathway for ar- Health Impacts of Exposure senic exposure for the general population, al- though smokers are constantly exposed to some Ingestion is the main route of exposure to arsenic arsenic due to the natural arsenic content of to- for the general population. Arsenic can have both bacco leaf and the effect of arsenate insecticide acute and chronic toxic effects on humans. It af- treatment used by tobacco plantations.' There are fects many organ systems including the respira- some indications that smoking may exacerbate tory, gastrointestinal, cardiovascular, nervous, the effects of exposure to airborne arsenic. About and hematopoietic systems. When ingested in 30% of inhaled arsenic is absorbed by the human dissolved form, both inorganic and organic body. Acute inhalation of inorganic arsenic com- soluble arsenic compounds are readily absorbed pounds can result in local damage to the respira- from the gastrointestinal tract; less soluble forms tory system, including perforation of the nasal have lower absorption rates. septum. Increased mortality from cardiovascu- Short-term acute poisoning cases involving the lar diseases and lung cancer was associated with daily ingestion of 1.3-3.6 mg arsenic by children exposure of smelter workers to high levels of air- in Japan resulted in acute renal damage, dis- borne arsenic. It is estimated that 1 g/mr arsenic turbed heart function, and death (WHO 1981). in the air can be associated with a 0.003 lifetime Chronic exposure leads to accumulation of ar- risk of developing cancer (WHO 1987). The car- senic in the bone, muscle, and skin and, to a cinogenic potential of inorganic arsenic is con- smaller degree, in the liver and the kidneys. Mild sidered the key criterion in assessing the hazard chronic poisoning causes fatigue and loss of en- from both environmental and occupational ex- ergy. More severe symptoms include peripheral posures. vascular disorders ("blackfoot disease"), gas- Ingested organic arsenic compounds have no trointestinal problems, kidney degeneration, liver proven health effects even at relatively high con- dysfunction, bone marrow injury, and severe neu- centrations. ralgic pain. Such symptoms have been reported in populations consuming water with 500-1,000 Ambient Standards and Guidelines mg/1 arsenic content. Chronic exposure also re- sults in dermatological disorders such as palm Ambient standards and guidelines for arsenic are and sole hyperkeratosis, allergic contact derma- aimed at protecting the population, livestock, and titis, and cancerous lesions (Bencko 1987). Long- other organisms from exposure to ambient ar- term consumption of drinking water with arsenic senic. Table 1 presents EU, USEPA, and WHO concentrations exceeding 200 mg/I has been con- reference standards and guidelines for ambient nected with the prevalence of skin cancer (Tseng levels of arsenic in water. To protect health, stan- Table 1. Reference Standards and Guidelines for Ambient Levels of Arsenic in Water (micrograms per liter) EU EU USEPA WHO Use limit values guide values standard guide values Drinking water 50 50 10 Surface water intended for drinking Before normal treatment 50 10 Before intensive treatment 100 50 Sources: Drinking water: CEC 1980 (EU); United States, CFR, vol.21, no. 52 (USEPA); WHO 1993. Surface water: CEC 1975 (EU). 210 PROJECT GUIDELINES: POLLUTANTS dards for acceptable arsenic concentrations in Note ambient water focus on water intended for drink- ing. Since various treatment methods achieve 1. According to certain estimates (WHO 1987), about different levels of purification, allowable concen- 6 mg of arsenic may be inhaled per pack of cigarettes trations before treatment may differ depending smoked, of which about 2 mg would be retained in on the impact of treatment on drinking water. No the lungs. reference ambient standards or guidelines have been set for atmospheric arsenic concentrations. References and Sources Conclusions Bencko, Vladimir. 1987. "Arsenic." In Lawrence Fishbein, Arthur Furst, and Myron A. MehIman, Considering differences in diets, habits, and the eds. Genotoxic and Carcinogenic Metals: Environ- pathways through which arsenic may affect hu- mental and Occupational Occurrence and Exposure. man health, as well as the complex biological Advances in Modern Environmental Toxicology, man fasei,rgltintruhamin tn vol. 11. Princeton, N.J.: Princeton Scientific Pub- cycle of arsenic, regulation through ambient stan- dards may not be the best tool for protecting lishing. populations from the adverse health effects of CEC (Commission of the European Communities). exposure to environmental arsenic. Policymakers 1975. Official Journal of the European Communities 195. should adopt a complex approach to the abate- Luxembourg. ment of arsenic exposure, emphasizing preven- . 1980. Official Journal of the European Commu- tive measures and considering location-specific nities 229. Luxembourg. factors and the effects of the global cycle of ar- Chilvers, D. C., and P. J. Peterson. 1987. "Global Cy- senic across environmental media. cling of Arsenic." In T. C. Hutchinson and K. M. Meema, eds., Lead, Mercury, Cadmium and Arsenic Recommendations in the Environment. Scientific Committee on Prob- lems of the Environment (SCOPE) 31. New York: Stationary sources that contribute to the increase John Wiley & Sons. of arsenic in the environment should not exceed Hutton, M. 1987. "Human Health Concerns of Lead, the arsenic emissions referred to in the relevant Mercury, Cadmium and Arsenic." In T. C. industry section of this Handbook. These emis- Hutchinson and K. M. Meema, eds., Lead, Mercury, sions are normally achievable through good in- Cadmium and Arsenic in the Environment. Scientific dustrial practices. Committee on Problems of the Environment In addition, the impacts of new sources on ambient concentrations of arsenic should be con- Roychowdhury, Mahendra. 1982. "Health Hazards of sidered. When the use of certain fuels or indus- Toxic Metals in Industry." American Society of Safety trial processes results in emissions that contribute Engineers (November). to a significant increase in ambient arsenic con- Tseng, W. P., et al. 1968. "Prevalence of Skin Cancer centrations, or in areas where the natural occur- in an Endemic Area of Chronic Arsenicism in Tai- rence of arsenic is very high, the environmental wan." Journal of the National Cancer Institute 40: assessment should ensure that arsenic emissions 453-63. are properly abated, taking into consideration United States. CFR (Code ofFederal Regulations). Wash- alternative fuels, technologies, and control mea- ington, D.C.: Government Printing Office. sures. Intermittent monitoring of the surround- USEPA (United States Environmental Protection ing water bodies, soil, and plants should ensure Agency). 1984. Health Assessment Documentfor Inor- that arsenic concentrations do not impose an in ganic Arsenic. Final Report: EPA/600-8-33-021F. creased health threat to the population in the vi- Washington, D.C.: Office of Health and Environ- cinity of the industrial plant. mental Assessment. Arsenic 211 WHO (World Health Organization). 1971. International . 1993. Guidelines for Drinking Water Quality. Standards for Drinking Water, vol. 3. Geneva. Vol. 1: Recommendations. 2d ed. Geneva. . 1981. "Arsenic." Environmental Health Crite- Wildavsky, Aaron, and D. Schleicher. 1995. "How Does ria, no. 18. Geneva. Science Matter?" In Aaron Wildavsky, ed., But Is It True? A Citizen's Guide to Environmental Health and 1987. Air Quality Guidelines for Europe. Safety Issues. Cambridge, Mass.: Harvard Univer- Copenhagen. sity Press. Cadmium Cadmium is a relatively rare soft metal that oc- from anthropogenic sources. Metal production curs in the natural environment typically in as- (drying of zinc concentrates and roasting, smelt- sociation with zinc ores and, to a lesser extent, ing, and refining of ores) is the largest source of with lead and copper ores. Some inorganic cad- anthropogenic atmospheric cadmium emissions, mium compounds are soluble in water, while followed by waste incineration and by other cadmium oxide and cadmium sulfide are almost sources, including the production of nickel-cad- insoluble. In the air, cadmium vapor is rapidly mium batteries, fossil fuel combustion, and gen- oxidized. Wet and dry deposition transfers cad- eration of dust by industrial processes such as mium from the ambient air to soil, where it is cement manufacturing (Kazantzis 1987). absorbed by plants and enters the food chain. The largest contributors to the contamination This process may be influenced by acidifica- of water are mines (mine water, concentrate pro- tion that increases the availability of cadmium cessing water, and leakages from mine tailings); in soil. process water from smelters; phosphate mining Atmospheric levels of cadmium range up to 5 and related fertilizer production; and electroplat- nanograms per cubic meter (ng/m3) in rural ar- ing wastes. eas, from 0.005 to 0.015 micrograms per cubic The largest sources of cadmium in landfills are meter (g/m3) in urban areas, and up to 0.06 gg/ smelters, iron and steel plants, electroplating m3 in industrial areas (WHO 1992). Concentra- wastes, and battery production. Mine tailings tions may reach 0.3 gg/m3 weekly mean values generated as the result of zinc mining also have near metal smelters (WHO 1987). Atmospheric the potential to transfer cadmium to the ambient cadmium is generally associated with particulate environment. matter of respirable size. Fresh water typically Cadmium is mainly used as an anticorrosion contain levels of cadmium below 1 microgram coating in electroplating, as an alloying metal in per liter (gg/l), but concentrations up to 10 gg/l solders, as a stabilizer in plastics (organic cad- may occur on rare occasions due to environmen- mium), as a pigment, and as a component of tal disturbances such as acid rain. Concentration nickel-cadmium batteries. Cadmium production in nonpolluted agricultural soils varies between may use by-products and wastes from the pri- 0.01 and 0.7 micrograms per gram (gg/g); see mary production of zinc. WHO 1975). Food contains cadmium as a result of uptake Health Impacts of Exposure from the soil by plants and bioaccumulation in terrestrial and aquatic animals. The highest con- Ingestion via food, especially plant-based food- centrations of cadmium are found in shellfish stuffs, is the major route by which cadmium en- (over 1 gg/g) and in the liver and kidneys of farm ters the human body from the environment. animals (0.1-1 gg/g); see Kazantzis (1987). Average human daily intake of cadmium from food has been estimated at around 10-50 Rig. This Sources and Uses may increase to several hundred micrograms per day in polluted areas. The intake of cadmium Cadmium is emitted into the atmosphere from through inhalation is generally less than half that natural sources, mainly volcanic activities, and via ingestion, while daily intake from drinking 212 Cadmium 213 water ranges from below 1 jig to over 10 gg 1987). Considering various sources of exposure (WHO 1987). The kidney, especially the renal and applying a safety factor, WHO (1987) esti- tract, is the critical organ of intoxication after ex- mated that 0.2 gg/in3 was a safe level of atmo- posure to cadmium. Excretion is slow, and renal spheric cadmium concentrations with regard to accumulation of cadmium may result in irrevers- renal effects through inhalation. ible impairment in the reabsorption capacity of Animal studies have yielded sufficient evi- renal tubules. dence of the carcinogenicity of cadmium in ani- Only a small proportion (5-10%) of ingested mals (IARC 1976). Limited evidence of human cadmium is absorbed by humans (FAO and carcinogenicity is also available in studies (re- WHO, 1972), and large variations exist among viewed in WHO 1992a, b) linking long-term oc- individuals. Severe renal dysfunction and dam- cupational exposure to cadmium to increased age to the bone structure, a syndrome termed itai- occurrence of prostate and lung cancer cases. itai disease, have been associated with long-term USEPA (1985) estimated the incremental cancer exposure to cadmium in food (mainly rice) and risk from continuous lifetime exposure to 1 g! water in Japan. WHO (1987) estimated that long- M3concentrations to be 0.0018. term daily ingestion of 200 gg of cadmium via food can be connected with 10% prevalence of Ambient Standards and Guidelines adverse health effects. Deficiencies of iron, zinc, and calcium in the human body generally facili- Ambient environmental standards and guide- tate cadmium absorption. Since most crops, with lines are meant to protect human health and natu- the exception of rice, contain zinc that inhibits ral resources by limiting exposure. Table 1 the uptake of cadmium by animals and humans, presents EU, USEPA, and WHO reference stan- there is no scientific proof that populations in dards and guidelines. The WHO ambient air general are at risk of cadmium exposure via the quality guidelines take into account the impact food chain (Chaney et al. 1995). of atmospheric cadmium on deposition and ac- Less than 50% of inhaled cadmium is absorbed cumulation in soil used for agricultural produc- from the lungs. Acute and chronic exposure to tion and set different acceptable levels in urban cadmium dust and fumes, occurring mainly un- and rural areas. Ambient water quality guidelines der working conditions, can result in cadmium focus on drinking water and other water re- poisoning. Acute respiratory effects can be ex- sources intended for drinking, to protect human pected at cadmium fume concentrations above 1 health. mg/M3. Chronic effects occur at exposures to 20 [tg/M3 cadmium concentrations after about 20 Conclusion years. Because of the cadmium content of to- bacco, heavy smokers have elevated absorption Because of the indirect route of exposure to cad- of airborne cadmium. Cigarettes containing 0.5- mium through the food chain, the accumulation 3 mg cadmium per gram of tobacco can result in of cadmium without natural degradation, and up to 3 mg daily cadmium absorption via the incomplete understanding of the relationship lungs, assuming a 25% absorption factor (WHO between emissions into the different media and Table 1. Reference Standards and Guidelines for Ambient Levels of Cadmium in Air and Water EU EU USEPA WHO Medium limit values guide values standard guide values Air (milligrams per cubic meter) Not to be exceeded in rural areas 0.001-0.005 Not to be exceeded in urban areas 0.01-0.02 Drinking water and surface water intended for drinking (milligrams per liter) 5 1 10 3 Sources: Air: WHO 1987. Water: CEO 1975,1980 (EU limit and EU guide); United States, CFR, vol.21, no.52 (USEPA); WHO 1993. 214 PROJECT GUIDELINES: POLLUTANTS long-term environmental and biological impacts, FAO (Food and Agriculture Organization of the United ambient environmental standards may not be the Nations) and WHO (World Health Organization). best tools for protecting human health from the 1972. Evaluation of Certain Food Additives and the Con- effects of exposure to environmental cadmium. taminants Mercury, Lead, and Cadmium. 16th report Targeted policy intervention should concentrate of the joint FAC/WHO Expert Committee on Food on areas where populations may be at high risk due to multiple sources of exposure and the up- Huppes, Gjalt. 1993. Macro-Environmental Policy: Prin- take of cadmium without the accompanying up- ciples and Design. Amsterdam: Elsevier. take of zinc, and due to nutritional deficiencies IARC (International Agency for Research on Cancer). in iron and zinc. 1987. "Cadmium and Cadmium Compounds." In Overall Evaluations of Carcinogenicity: An Updating Recom endaionsof 1ARC Monographs. Vols. 1-42. Lyon, France. Recommendations Kazantzis, G. 1987. "Cadmium." In Lawrence Fishbein, Arthur Furst, and Myron A. Mehlman, eds., Stationary sources that contribute to the increase Genotoxic and Carcinogenic Metals: Environmental and of cadmium in the environment should not ex- Occupational Occurrence and Exposure. Advances in ceed the cadmium emissions referred to in the Modern Environmental Toxicology, vol. 11. relevant industry section of this Handbook. These Princeton, N.J.: Princeton Scientific Publishing Co. emissions are normally achievable through good Krishna Murti, C. R., et al. 1987. "Group Report: Cad- industrial practices. mium." In T. C. Hutchinson and K. M. Meema, eds., In addition, the impacts of new sources on Lead, Mercury, Cadmium, and Arsenic in the Environ- ambient concentrations of cadmium should be ment. Scientific Committee on Problems of the En- considered. When the use of certain fuels results vironment (SCOPE) 31. New York: John Wiley & in emissions that contribute to a significant in- Sons. crease in ambient cadmium concentrations, or in United States. CFR (Code of Federal Regulations). Wash- areas where agricultural crops affected by such ington, D.C.: Government Printing Office. emissions are a main dietary source of the popu- USEPA (United States Environmental Protection lation, the environmental assessment should en- Agency). 1985. Updated Mutagenicity and Carcinoge- sure that cadmium emissions are properly nicity Assessment of Cadmium. Addendum to the Health abated, taking into consideration alternative fu- Assessment Document of Cadmium. May 1981. EPA- els, technologies, and control measures. Intermit- 600/8-83-025E Washington, D.C. tent monitoring of the surrounding soil and WHO (World Health Organization). 1971. International plants should ensure that cadmium concentra- Standards for Drinking Water, vol. 3. 3d ed. Geneva. tions do not pose an increased health threat to . 1975. "Environmental Hazards of Heavy the population in the vicinity of the industrial Metals: Summary Evaluation of Lead, Cadmium plant. and Mercury." Environmental Health Criteria 20. Geneva. References and Sources _ 1987. Air Quality Guidelines. Copenhagen: WHO Regional Office for Europe. CEC (Commission of the European Communities). . 1992a. "Cadmium." Environmental Health 1975. Official Journal of the European Communities 194. Criteria 134. Geneva. Luxembourg. . 1980. Official Journal of the European Commu- Environmenea. nities L229. Luxembourg. Chaney, L. Rufus, et al. 1995. "A New Paradigm for . 1993. Guidelines for Drinking Water Quality. Soil Cadmium Risk to Humans." Paper presented Vol. 1: Recommendations. 2d ed. Geneva. at the OECD Cadmium Workshop in Stockholm, Yamagata, N. 1970. Cadmium Pollution in Perspective. Sweden, October 15-22. Organisation for Economic Koshu Eiseiin Kenkyi Hokuku (Institute of Public Co-operation and Development, Paris. Health, Tokyo) 19(1):H1-27. Lead Lead is a gray-white, soft metal with a low melt- concentrations reaching over 100 gg/M3 have ing point, a high resistance to corrosion, and poor occasionally been reported in the vicinity of un- electrical conducting capabilities. It is highly controlled stationary sources, decreasing consid- toxic. In addition to its highly concentrated ores, erably with distance from the source due to the lead is naturally available in all environmental deposition of larger lead particles. media in small concentrations. From the atmo- As a result of the extensive use of alkyl-lead sphere, lead is transferred to soil, water, and veg- compounds as fuel additives, vehicular traffic etation by dry and wet deposition. A significant is the largest source of atmospheric lead in part of lead particles from emissions sources is many urban areas, accounting for as much as of submicron size and can be transported over 90% of all lead emissions into the atmosphere large distances. Larger lead particles settle more (Brunekreef 1986). High concentrations of lead rapidly and closer to the source. Lead in soil binds in urban air have been attributed to vehicular hard, with a half-life of several hundred years. emissions in various countries (Lovei and Levy New depositions, primarily atmospheric, there- 1997). Traffic-generated lead aerosols are fore contribute to increased concentrations. At- mostly of the submicron size; they can pen- mospheric deposition is the largest source of lead etrate deeply into the lungs after inhalation, in surface water, as well. Only limited amounts and they are transported and dispersed over are transported to water from soil. Terrestrial and large distances (Brunekreef 1986). With the phase- aquatic plants show a strong capability to out of leaded gasoline, the relative contribution bioaccumulate lead from water and soil in indus- of traffic to environmental lead concentrations is trially contaminated environments (WHO 1989). changing. Lead can also be taken up by grazing animals, Due to its special physical characteristics, lead thus entering the terrestrial food chain. has been used in a variety of products. Water dis- Natural atmospheric lead concentrations are tribution systems frequently contain lead pipes estimated to be in the range of 0.00005 micro- or lead solder, contaminating drinking water. grams per cubic meter (gg/M3). Urban concen- Lead carbonate ("white lead") was highly popu- trations are around 0.5 gg/m3, and annual lar as a base for oil paints before its use was average concentrations may reach 3 gg/m or banned in most countries in the first half of the more in cities with heavy traffic (WHO 1987). twentieth century. Lead-based paint and dust contaminated by such paint still represent sig- Sources and Uses nificant sources of human exposure in several countries. Lead-acid batteries contribute to the Mining, smelting, and processing of lead and contamination of all environmental media dur- lead-containing metal ores generate the greatest ing their production, disposal, and incinera- part of lead emissions from stationary sources. tion. Lead compounds may be also used as In addition, the combustion of lead-containing stabilizers in plastics. Other lead-based products wastes and fossil fuels in incinerators, power include food-can solder, ceramic glazes, crys- plants, industries, and households releases lead tal glassware, lead-jacketed cables, ammunition, into the atmosphere. Airborne ambient lead and cosmetics. 215 216 PROJECT GUIDELINES: POLLUTANTS Health Impacts of Exposure relatively low blood lead levels without a known lower threshold (Schwartz 1994). Many of these The main pathways of lead to humans are inges- symptoms can be captured by standardized in- tion and inhalation. Children up to about six telligence tests. Various studies have found a years of age constitute the population group at highly significant association between lead ex- the highest risk from lead exposure through in- posure and the measured intelligence quotient gestion: their developing nervous systems are (IQ) of school-age children (Needleman et al. susceptible to lead-induced disruptions; their 1979; Bellinger et al. 1992). Reviews of studies intake of food is relatively high for their body concluded that a 10 Rg/dl increase in blood lead weight; they are exposed to high intake from can be associated with a 2-2.5 point decrease in dust, dirt, soil, and lead-containing paint due to IQ (CDC 1991; WHO 1995). The negative impact their hand-to-mouth behavior; and their absorp- of lead exposure is generally stronger on verbal tion through the gut is very efficient. (According IQ than on performance IQ. (WHO 1995) to WHO 1987, the proportion of lead absorbed Prenatal exposure to lead was demonstrated from the gastrointestinal tract is four to five times to produce toxic effects in the human fetus, in- higher in children than in adults.) The main cluding reduced birth weight, disturbed mental sources of lead exposure of children are dust and development, spontaneous abortion, and prema- dirt; the role of dissolved lead in water supply ture birth. Such risks were significantly greater systems, lead-based paint, and other sources var- at blood lead levels of 15 gg/dl and more (WHO ies across locations. The contribution of drink- 1995). ing water to exposure is highest in infants under High lead concentrations, generally due to one year of age and children under five years of occupational exposure or accidents, result in en- age. Lack of essential trace elements such as iron, cephalopathy, a life-threatening condition at calcium, and zinc and poor nourishment may blood lead levels of 100 to 120 gg/dl in adults increase the absorption of lead by the human and 80 to 100 gg/dl in children (ATSDR 1990). body. An acute form of damage to the gastrointestinal Inhalation poses the highest risk of exposure tract known as "lead colic" is also associated with to environmental lead in adults. Inhaled airborne high lead levels. The heratological effects of lead lead represents a relatively small part of the body exposure are attributed to the interruption of bio- burden in children, but in adults it ranges from synthesis of heme by lead, severely inhibiting the 15 to 70%. About 30-50% of lead inhaled with metabolic pathway and resulting in reduced out- particles is retained in the respiratory system and put of hemoglobin. Reduced heme synthesis has absorbed into the body (WHO 1987). In addition been associated with blood levels over 20 gg/dl to environmental exposure, alcohol consumption in adults and starting from below 10 gg/dl in and tobacco smoking have been shown to con- children (WHO 1987). tribute to human exposure to lead. On the basis Several studies (Schwartz 1988, 1995; Pocock of a review of epidemiologic studies, Brunekreef et al. 1988, Hu et al. 1996; Kim et al. 1996) have (1986) concluded that a 0.1 gg/m3 change in the shown that increased blood pressure and hyper- ambient air concentration of lead was associated tension in adults are also related to elevated blood with a change in blood lead level-the best indi- lead levels, even at lower levels of exposure, in- cator of exposure-of 0.3 to 0.5 micrograms per creasing the risk of cardiovascular diseases decaliter (pg/dl). (Pirkle et al. 1985). Lead affects several organs of the human body, including the nervous system, the blood-form- Ambient Standards and Guidelines ing system, the kidneys, and the cardiovascular and reproductive systems. Of most concern are Ambient standards and guidelines are aimed at the adverse effects of lead on the nervous sys- protecting human health. Table 1 includes EU, tem of young children: reducing intelligence and USEPA, and WHO reference standards and causing attention deficit, hyperactivity, and be- guidelines for ambient levels of lead in air and havioral abnormalities. These effects occur at water. Lead 217 Table 1. Reference Standards and Guidelines cant increase in ambient lead concentrations, or for Mean Ambient Lead Concentrations in areas where significant background concen- in Air and Water trations exist, the environmental assessment WHO should ensure that lead emissions are properly EU limit USEPA guide abated, taking into consideration alternative tech- Medium values standard values nologies and control measures. Intermittent monitoring of ambient air, water, and soil should Air (micrograms per ensure that lead concentrations do not impose cubic meter) 2 1.5 0.5-1 .0b an increased health threat to the population in Drinking water and the vicinity of the industrial plant. surface water intended for drinking (micrograms per liter) 10 50 10 References and Sources a. Maximum arithmetic mean over a calendar quarter. ATSDR (Agency for Toxic Substances and Disease Reg- b. Annual mean. istry). 1990. Toxicological Profile for Lead. Washing- Sources: Air: CEC 1982 (EU), United States, 40 CFR, Part 532 ton, D.C.: United States Public Health Service in (USEPA); WHO 1987. Water: CEC 1980 (EU); USEPA 1987; collaboration with United States Environmental Protection Agency. Bellinger, D., et al. 1992. "Low-Level Lead Exposure, Conclusions Intelligence, and Academic Achievement: A Long Term Follow-up Study." Pediatrics. People are exposed to lead from a variety of Brunekreef, B. 1986. Childhood Exposure to Environmen- sources and in a variety of ways, and ambient tal Lead. MARC Report 34. London: Monitoring and guidelines and standards for individual media Assessment Research Centre, King's College, Uni- may not provide sufficient protection. A compre- versity of London. hensive approach and strategy is therefore nec- CDC (Centers for Disease Control). 1991. Strategic Plan essary to protect human health. Ambient for the Elimination of Childhood Lead Poisoning. Wash- environmental quality guidelines and standards ington, D.C.: U.S. Department of Health and Hu- should be only the starting point for such a strat- man Services. egy. Environmental monitoring of ambient con- CEC (Commission of the European Communities). centrations in soil, air, and drinking water should 1975. Official Journal of the European Communities help to identify highly polluted areas and high- 194(26). Luxembourg. risk population groups. This step should be fol- ______ 1980. Official Journal of the European Commu- lowed by targeted biological screening and policy nities 229(11). Luxembourg. intervention. Such an approach should be the core of a comprehensive policy intervention that deals -e 8. Luxembourg with lead exposure from all sources. nec- Hayes, Edward B., et al. 1994. "Long-Term Trends in Recommendations Blood Lead Levels among Children in Chicago: Relationship to Air Lead Levels." Pediatrics 93(2). Stationary sources that contribute to the increase Hu, H., et al. 1996. "The Relationship of Bone and Blood of lead in the environment should not exceed the Lead to Hypertension." Journal of the Amecan Medi- lead emissions referred to in the relevant indus- cal Association 27(15): 1171-76. try section of this Handbook. These emissions are Kim, R., et al. 1996. "A Longitudinal Study of Low- normally achievable through good industrial Level Lead Exposure and Impairment of Renal practices. Function." Journal of the American Medical Associa- In addition, the impacts of new stationary tion 275(15):1177-81. sources on ambient concentrations of lead should Lovei, Magda, and B. S. Levy 1997. "Lead Exposure be considered. When the use of certain processes and Health in Central and Easte Europe: Evidence results in emissions that contribute to a signifi- from Hungary, Poland and Bulgaria." In Magda 218 PROJECT GUIDELINES: POLLUTANTS Lovei, ed., Phasing Out Lead from Gasoline in Central Schwartz, Joel. 1988. "The Relationship between Blood and Eastern Europe: Health Issues, Feasibility, and Poli- Lead and Blood Pressure in the NHANES 11 Sur- cies. Washington, D.C.: World Bank. vey." Environmental Health Perspectives 78. National Research Council, Committee on Measuring 1994. "Low Level Lead Exposure and Lead in Critical Populations. 1993. Measuring Lead Children's IQ: A Meta Analysis and Search for a Exposure in Infants, Children, and Other Sensitive Threshold." Environmental Research 65(1): 42-55. Populations. Washington, D.C.: National Academy Press. cular Disease in Men." Archives of Environmental Needleman, H. L., et al. 1979. "Deficits in Psychologic Health 50(1): 31-37. and Classroom Performance in Children with El- evated Dentine Lead Levels." New England Journal United States. CFR (Code ofFederal Regulations). Wash- of Medicine 300: 584-695. ington, D.C.: Government Printing Office. Pirkle, J. L., et al. 1985. "The Relationship between USEPA (United States Environmental Protection Blood Lead Levels and Blood Pressure and U.S. Agency). 1986. Reducing Lead in Drinking Water: A Cardiovascular Risk Implications." American Jour- Benefits Analysis. EPA-230-09-86-019. Washington, nal of Epidemiology 121: 246-58. D.C.: Office of Policy, Planning and Evaluation. Pocock, S. J., et al. 1988. "The Relationship between . 1987. Quality Criteria for Water 1986. EPA Blood Lead, Blood Pressure, Stroke and Health At- 440/5-86-001. Washington, D.C.: Office of Water tacks in Middle-Aged British Men." Environmental Regulations and Standards. Health Perspectives 78. WHO (World Health Organization). 1987. Air Quality Schlag, R. D. 1987. "Lead." In Lawrence Fishbein, Guidelinesfor Europe. Copenhagen: WHO Regional Arthur Furst, and Myron A. Mehlman, eds., Office for Europe. Genotoxic and Carcinogenic Metals: Environmental and . 1993. Guidelines for Drinking Water Quality, Occupational Occurrence and Exposure. Advances in vol. 1, no. 15: Recommendations. 2d ed. Geneva. Modern Environmental Toxicology, vol. 11. Princeton, N.J.: Princeton Scientific Publishing 1995. Inorganic Lead. International Prog- Co. ramme on Chemical Safety. Geneva. Mercury Mercury is a toxic heavy metal that can be found mercury from all sources has been estimated at in cinnabar (red sulfide) and other ores contain- between 5 and 80 gg (Fan 1987). ing compounds of zinc, tin, and copper; in rocks such as limestone, sandstone, calcareous shales, Sources and Uses and basalt; and in fossil fuels such as coal. Mer- cury is present in trace amounts in all environ- The natural emissions of mercury, mainly a re- mental media. The bulk of global atmospheric sult of the degassing of the Earth's crust and mercury is elemental mercury in vapor form. evaporation from water bodies, are two to four From the atmosphere, mercury elements are re- times larger than those from anthropogenic moved through precipitation, resulting in depo- sources (Hutchinson and Meema 1987). About sition to water bodies, the soil, and vegetation. half of the atmospheric mercury generated by The ultimate depository of mercury is the sedi- anthropogenic sources can be attributed to fossil ment of oceans, seas, and lakes, where inorganic fuel combustion (EPRI 1991). Emissions from mercury is readily transformed into highly toxic fossil fuel combustion vary according to the mer- organic methylmercury through bacterial synthe- cury content of the fuel (Watson 1979).1 Mercury sis and other enzymic and nonenzymic processes. levels in coal tend to be one to four orders of mag- Organic mercury rapidly accumulates in the nitude greater than those in fuel oil and natural aquatic biota and biomagnifies upward through gas. Waste incineration and the mining and smelt- the aquatic food chain, attaining its highest con- ing of ores are also important contributors to an- centrations in fish, especially in large predatory thropogenic air pollution. Additional sources species, where it often exceeds 2.0 micrograms include mercury-cell chlor-alkali production and per gram (gg/g), and in such species as dolphins, coke ovens. The accumulation, processing, and reaching 10 gg/g. Average levels of 0.07-0.17 incineration of mercury-containing waste (for gg/g mercury are found in fish, largely (over example, batteries and various industrial wastes 70%) in the form of organic methylmercury such as scrubber sludge) contribute to mercury (OECD 1974). contamination of all environmental media. Atmospheric mercury concentrations range The main use of mercury has been as a cath- from a few nanograms per cubic meter (ng/m3) ode in the electrolysis of sodium chloride solu- to 0.05 micrograms per cubic meter (gg/M3), av- ton to produce caustic soda, which is used by eraging 0.002 pjg/m. Near stationary sources various industries. The mercury-cell chlor-alkali such as mines, however, concentrations may industry has been the largest anthropogenic dis- reach 0.6-1.5 jg/m (WHO 1987). Typical con- charger of mercury to water bodies. The use of centrations of mercury in water bodies range liquid metallic mercury in the extraction of gold from below 0.001 to 0.003 micrograms per liter also contributes to the contamination of rivers. (gg/l); see Fan (1987). Normal levels in soil range The use of mercury in caustic soda produc- from 0.05 to 0.08 gg/g. Mercury tends to bond tion is being gradually phased out and replaced strongly to particulate matter in fresh water, with membrane technology. The agricultural use largely in inorganic mercuric form. Mercury of organic mercury in pesticides and fungicides concentrations in soil normally do not exceed 0.1 has been banned in many countries to prevent jig/g. Total human daily intake of all forms of human exposure. Agricultural applications are 219 220 PROJECT GUIDELINES: POLLUTANTS of particular concern because of the extreme tox- population than exposure to more toxic organic icity of the mercury compounds used, the lim- mercury compounds through the diet. About 80% ited control over dispersed use and exposure, of inhaled vapor is retained and absorbed in the and the potential for misuse that could contrib- bloodstream. In addition to direct exposure, the ute to direct poisoning through the diet. Uses indirect impacts of atmospheric mercury on hu- of mercury in electric switches, batteries, ther- man health through deposition in lakes and rv- mal sensing instruments, cosmetics, pharma- ers are of concern. ceuticals and dental preparations have been similarly decreasing. Ambient Standards and Guidelines Health Impacts of Exposure Ambient standards and guidelines for mercury in the environment are aimed at protecting hu- The main human health hazard of mercury has man health and aquatic life. Ambient criteria for been associated with exposure to highly toxic or- waterbo e mercury concentrations attempt to ganic methylmercury through food, primarily take into account the complex effects of through the ingestion of aquatic organisms, bioaccumulation of mercury and average dietary mainly fish. Methylmercury in the human diet is habits, using calculations of mercury concentra- almost completely absorbed into the bloodstream tions in edible fish species. However, the possi- and distributed to all tissues, the main accumu- bility of deposition and accumulation makes it lation taking place in the brain, liver, and kidneys. difficult to establish guide values that allow for Methylmercury poisoning affects the central postdeposition impacts. Table 1 presents EU, nervous system and the areas associated with the USEPA, and WHO reference standards and sensory, visual, auditory, and coordinating func- guidelines for ambient levels of mercury tions. Increasing doses result in paresthesia, ataxia, visual changes, dysarthria, hearing de- Conclusion fects, loss of speech, coma, and death. The effects of methylmercury poisoning are, in most cases, Because of the indirect route of the primary hu- irreversible because of the destruction of neu- man exposure, the multiple and indirect sources ronal cells. Methylmercury shows significant and of exposure, varying dietary habits of exposed efficient transplacental transfer and contributes population groups, and inadequate understand- to severe disruptions in the development of the ing of the accumulation, transformation, and child's brain. Thus, prenatal life is more sensi- complex effects of bioaccumulation of mercury tive to methylmercury exposure than adult life. in the environment, ambient standards and Not enough evidence exists, however, to estab- guidelines for individual environmental media lish a no-observed-effect or a dose-response func- are only a starting point for a comprehensive tion. According to WHO (1990), daily intake of pollution management approach that considers 3-7 micrograms per kilogram (gg/kg) body the multiple sources of exposure, special dietary weight can be connected to an incidence of par- habits, and site-specific conditions. esthesia of about 5%. Human intake of mercury through drinking water is generally low, repre- Recommendations senting only a fraction of the amount of methyl- mercury intake through diet (WHO 1987). The stationary sources that contribute to the increase main form of mercury in drinking water is inor- of mercury in the environent should not exceed ganic mercuric mercury with low (7-10%) ab- the mercury emissions referred to in the relevant sorption rates (WHO 1991) and very low industry section of this Handbook. These emis- penetration rates to the brain and fetus. The le- sions are normally achievable through good in- thal oral dose of metallic and other inorganic dustrial practices. mercury compounds for humans is estimated at In addition, the impacts of new sources on 1-4 grams (USEPA 1980). ambient concentrations of mercury should be Atmospheric mercury, largely in vapor form, considered. When the use of certain fuels results poses a less significant health risk to the general in mercury emissions that contribute to a signifi- Mercury 221 Table 1. Reference Standards and Guidelines for Ambient Levels of Mercury EU EU USEPA WHO Medium limit values guide values standard guide values Water (micrograms per liter) Fresh water la 0.5a 0.19 Estuary coastal water 0.11 Marine water 0.14 Drinking water la 0.5a 2 1 Air (micrograms per cubic meter) a. Arithmetic mean of results obtained over a year. EU, 1992 Council Directive 76/464/EEC. b. Annual average indoor mercury concentration guideline of 1 mg/m3 was recommended. No ambient air quality guideline was established. Sources: Water: European Union (EU) 1992, Council Directive 76/464/EEC; USEPA 1980; WHO 1976, 1993. cant increase in ambient mercury concentrations, Lumb, A. J. 1995. Mercury (A Review with Special Em- or in areas where fish is the main dietary source phasis on Pollution Effects from Gold Mining). from waters affected by mercury emissions, the Keyworth, Nottingham: British Geological Sur- environmental assessment should ensure that vey. mercury emissions are properly abated, taking Marsh, D. 0. 1987. "Dose-Response Relationships in into consideration alternative technologies and Humans." In Christine U. Eccles and Zoltan Annau, control measures. Intermittent monitoring of the eds., The Toxicity ofMethyl Mercury. Baltimore, Md.: surrounding water bodies and fish should ensure The John Hopkins University Press. that mercury concentrations do not impose an OECD (Organisation for Economic Co-operation and increased health threat. Development). 1974. Mercury in the Environment. Paris. Notes Piotrowski, J. K. 1980. Health Effects ofMethylmercury. MARC Report 24. London: Monitoring and Assess- 1. Mercury emission coefficients have been esti- ment Research Centre, Chelsea College. mated at 1,760 kilograms (kg) per 1015 British thermal USEPA (United States Environmental Protection unit (Btu) for oil and 7,560 kg per 1015 Btu for high- Agency). 1980. Ambient Water Quality Criteria for mercury utility and industrial coal.. The average emis- Mercury. EPA 440/5-80-058. Washington, D.C.: Of- sion coefficient for coal was estimated to be 3,000 kg fice of Water Regulations and Standards. per 1016 Btu. per 115 Bt. _ .1984. Health Effects Assessment for Mercury. References and Sources EPA-540/1-86-042. Washington, D.C.: Office of Emergency and Remedial Response. European Community. 1992. European Community . 1993. Locating and Estimating Air Emissions Deskbook. Washington, D.C.: Environmental Law from Sources of Mercury and Mercury Compounds. Institute. EPA-454/R-93-023. Research Triangle Park, N.C.: EPRI (Electric Power Research Institute). 1991. "Mer- Office of Air Quality Planning and Standards. cury in the Environment." EPRIJournal (December). Watson, W. D. Jr. 1979. "Economic Considerations in Fan, Anna M. 1987. "Mercury." In Lawrence Fishbein, Controlling Mercury Pollution." In J. 0. Nriagu, ed., FA, u us,adMro .Mhmn d. The Biochemistry of Mercury in the Environment. Arthur Furst, and Myron A. Mehman, eds.,Elsevier. Genotoxic and Carcinogenic Metals: Environmental and Occupational Occurrence and Exposure. Advances in WHO (World Health Organization). 1972. Evaluation Modern Environmental Toxicology, vol. 11. of Certain Food Additives and the Contaminants Mer- Princeton, N.J.: Princeton Scientific Publishing. cury, Lead and Cadmium. 16th Report of the Joint Hutchinson, T. C., and K. M. Meema. 1987. Lead, Mer- FAO/WHO Expert Committee on Food Additives. cury, Cadmium, and Arsenic in the Environment. Sci- Technical Report Series 505. Geneva. entific Committee on Problems of the Environment . 1976. "Mercury." Environmental Health Cri- (SCOPE) 31. New York: John Wiley & Sons. teria 1. Geneva. 222 PROJECT GUIDELINES: POLLUTANTS -- . 1987. Air Quality Guidelines for Europe. . 1991. "Inorganic Mercury." Environmental Copenhagen: WHO Regional Office for Europe. Health Criteria 118. Geneva. . 1989. "Mercury: Environmental Aspects.". . 1993. Guidelinesfor Drinking-Water Quality. Environmental Health Criteria 86. Geneva. Vol. 1: Recommendations. 2d ed. Geneva. ---. 1990. "Methylmercury." Environmental Health Criteria 101. Geneva. Nitrogen Oxides Nitrogen oxides (NOx) in the ambient air consist 1994). The United States generates about 20 mi- primarily of nitric oxide (NO) and nitrogen di- lion metric tons of nitrogen oxides per year, about oxide (NO2). These two forms of gaseous nitro- 40% of which is emitted from mobile sources. Of gen oxides are significant pollutants of the lower the 11 million to 12 million metric tons of nitro- atmosphere. Another form, nitrous oxide (N20), gen oxides that originate from stationary sources, is a greenhouse gas. At the point of discharge about 30% is the result of fuel combustion in large from man-made sources, nitric oxide, a colorless, industrial furnaces and 70% is from electric util- tasteless gas, is the predominant form of nitro- ity furnaces (Cooper and Alley 1986). gen oxide. Nitric oxide is readily converted to the much more harmful nitrogen dioxide by Occurrence in Air and Routes of Exposure chemical reaction with ozone present in the at- mosphere. Nitrogen dioxide is a yellowish-or- Annual mean concentrations of nitrogen dioxide ange to reddish-brown gas with a pungent, in urban areas throughout the world are in the irritating odor, and it is a strong oxidant. A por- range of 20-90 micrograms per cubic meter (iig/ tion of nitrogen dioxide in the atmosphere is con- in3). Maximum half-hour values and maximum verted to nitric acid (HNO3) and ammonium 24-hour values of nitrogen dioxide can approach salts. Nitrate aerosol (acid aerosol) is removed 850 vig/m3 and 400 pg/M3, respectively. Hourly from the atmosphere through wet or dry deposi- averages near very busy roads often exceed 1,000 tion processes similar to those that remove sul- gg/M3. Urban outdoor levels of nitrogen diox- fate aerosol. ide vary according to time of day, season, and meteorological conditions. Typically, urban con- Major Sources centrations peak during the morning and after- noon rush hours. Levels are also higher in winter Only about 10% of all NOx emissions come from in cold regions of the world than in other sea- anthropogenic sources (Godish 1991). The rest is sons because of the increased use of heating fu- produced naturally by anaerobic biological pro- els. Finally, since the conversion of nitrogen cesses in soil and water, by lightning and volca- dioxide from nitric oxide depends on solar in- nic activity, and by photochemical destruction of tensity, concentrations are often greater on warm, nitrogen compounds in the upper atmosphere. sunny days. Nitrogen oxides decay rapidly as About 50% of emissions from anthropogenic polluted air moves away from the source. Con- sources comes from fossil-fuel-fired heat and elec- centrations of nitrogen oxides in rural areas with- tricity generating plants and slightly less from out major sources are typically close to motor vehicles. Other sources include industrial background levels. However, nitrogen oxides can boilers, incinerators, the manufacture of nitric travel long distances in the upper atmosphere, acid and other nitrogenous chemicals, electric arc contributing to elevated ozone levels and acidic welding processes, the use of explosives in min- depositions far from sources of emissions. ing, and farm silos. Concentrations of nitrogen dioxide in homes Worldwide annual emissions of anthropogenic may considerably exceed outdoor levels and may nitrogen oxides are estimated at approximately therefore be more important for human health. 50 million metric tons (World Resources Institute Large sources of indoor nitrogen dioxide include 223 224 PROJECT GUIDELINES: POLLUTANTS cigarette smoke, gas-fired appliances, and space veolar tissue disruption, obstruction of the res- heaters. Nitrogen dioxide concentrations in kitch- piratory bronchioles, and increased susceptibil- ens with unvented gas appliances can exceed 200 ity to bacterial infection of the lungs (WHO 1987). vig/m over a period of several days. Maximum Rats and rabbits exposed to higher levels experi- 1-hour concentrations during cooking may reach ence more severe tissue damage, resembling 500-1,900 pg/m, and 1,000-2,000 pg/m'where emphysema. a gas-fired water heater is also in use. Smoke from The available data suggest that the physiologi- one cigarette may contain 150,000-225,000 pg/ cal effects of nitrogen dioxide on humans and n3 of nitric oxide and somewhat less nitrogen animals are due more to peak concentrations than dioxide. to duration or to total dose. Health and Environmental Impacts Materials Health Nitrogen dioxide in reaction to textile dyes can cause fading or yellowing of fabrics. Exposure Epidemniologic studies have rarely detected ef- to nitrogen dioxide can also weaken fabrics or fects on children or adults from exposure to out- reduce their affinity for certain dyes. Industry has door nitrogen dioxide. One study of nurses in Los devoted considerable resources to developing Angeles found an association between exposure textiles and dyes resistant to nitrogen oxide ex- to nitrogen dioxide and increased phlegm pro- posure (Canada 1987). duction (Schwartz and Zegler 1990). Studies have indicated that the use of gas appliances for cook- Effects on Ecosystems ing may have a very small effect on the human respiratory system, especially for small children, Nitrogen oxides are precursors of both acid pre- but that the effect (if it exists) disappears as the cipitation and ozone, each of which is blamed for children grow older (WHO 1987). injury to plants. While nitric acid is responsible Available data from animal toxicological ex- for only a smaller part of hydrogen ion (H+) con- periments rarely indicate effects of acute expo- centration in wet and dry acid depositions, the sure to nitrogen dioxide concentrations of less contribution of nitrogen oxide emissions to acid than 1,880 g/rt (WHO 1987). Asthmatics are deposition could be more significant. It is nitro- likely to be the group most sensitive to exposure gen oxide that absorbs sunlight, initiating the to nitrogen oxides. Two laboratories have re- photochemical processes that produce nitric acid. ported reversible effects on pulmonary function Approximately 90-95% of the nitrogen oxides of asthmatics exercising intermittently after 30 emitted from power plants is nitric oxide; this minutes of exposure to nitrogen dioxide concen- slowly converts to nitrogen dioxide in the pres- trations as low as 560 pg/ol (WHO 1987). How- ence of ozone. ever, the health impact of the change in The extent and severity of the damage attrib- pulmonary function is unclear; the change of utable to acid depositions is difficult to estimate, about 10% is within the range of physiological since impacts vary according to soil type, plant variation and is not necessarily adverse. At 1ev- species, atmospheric conditions, insect popula- els above 3,760 ig/3, normal subjects have tions, and other factors that are not well un- demonstrated substantial changes in pulmonary derstood. Nitrates in precipitation may actually function (WHO 1987). increase forest growth in areas with nitrogen-de- Studies with animals have found that several ficient soils. However, the fertilizing effect of ni- weeks to months of exposure to nitrogen diox- trates (and sulfates) may be counterbalanced by ide concentrations less than 1,880 pg/ 3 causes the leaching of potassium, magnesium, calcium, both reversible and irreversible lung effects and and other nutrients from forest soils. There is little biochemical changes. Animals exposed to nitro- evidence that agricultural crops are being injured gen dioxide levels as low as 940 gg/m3 for six by exposures to nitrates in precipitation. The months may experience destruction of cilia, al- amount of nitrates in rainwater is almost always Nitrogen Oxides 225 well below the levels applied as fertilizer (NAPAP longer wavelengths of light are visible to the eye, 1990). nitrogen dioxide appears yellowish to reddish- The most evident damage from acid deposi- brown in color. Nitrogen oxides can also com- tions is to freshwater lake and stream ecosystems. bine with photochemical oxidants to form smog. Acid depositions can lower the pH of the water, with potentially serious consequences for fish, Ambient Standards and Guidelines other animal, and plant life. Lakes in areas with soils containing only small amounts of calcium The main goal of almost all the major national or magnesium carbonates that could help neu- and international air quality standards and tralize acidified rain are especially at risk. Few guidelines produced over the last two decades fish species can survive the sudden shifts in pH has been to protect human health. Some coun- (and the effects of soluble substances) resulting tries have also produced guidelines and stan- from atmospheric depositions and runoff of con- dards for nitrogen oxides to protect vegetation taminated waters; affected lakes may become and sensitive ecosystems, such as wetlands. Table completely devoid of fish life. Acidification also 1 presents EU, USEPA, and WHO reference stan- decreases the species variety and abundance of dards and guidelines for ambient levels of nitro- other animal and plant life. "Acid pulses" have gen dioxide. been associated with the fish kills observed in sensitive watersheds during the spring meltdown Conclusions of the snowpack. The atmospheric deposition of nitrogen oxides is a substantial source of nutri- The evidence suggests that exposure to short- ents that damage estuaries by causing algal term peak concentrations of nitrogen dioxide blooms and anoxic conditions. may damage health, especially of sensitive indi- Emissions of nitrogen oxides are a precursor viduals such as asthmatics. For many individu- of ground-level ozone (03), which is potentially als, the most significant sources of repetitive a more serious problem. Plant scientists blame exposure to peak levels of nitrogen oxides come tropospheric ozone for 90% of the injury to veg- from residing in homes with gas cooking or heat- etation in North America. Ozone can travel long ing appliances or from cigarette smoking. distances from the source and can contribute to Long-term exposures to high levels of nitrogen elevated ozone concentrations even in rural dioxide (well above the highest ambient levels areas. Since the meteorological and climatic con- reported in urban areas in the United States) ditions that favor the production of ozone-abun- has been shown to lead to development of dant sunshine-are also good for agriculture, chronic lung injury and disease in animals. ozone has the potential to cause large economic However, there is still considerable uncertainty losses from reductions in crop yields. regarding chronic health effects for humans Nitrogen dioxide affects visibility by absorb- from exposure to ambient nitrogen oxides ing short-wavelength blue light. Since only the (NAPAP 1991). Table 1. Reference Standards and Guidelines for Ambient Levels of Nitrogen Dioxide (milligrams per cubic meter) Standard or guideline Annual average 24-hour average 1-hour average EU limit values (1985) 200a USEPA standards (1992) q s b WHO guidelines (1977) 190320c WHO guidelines for Europe (1987) 150 400 a. 98th percentile calculated from the mean values per hour or per period of less than an hour taken throughout the year. b. Arithmetic mean. c. Not to be exceeded more than once a month. Only a short-term exposure limit has been suggested. Sources: European Community 1985 (EU); United States 1992, 40 CFR, Part 60; WHO 1977, 1987. 226 PROJECT GUIDELINES: POLLUTANTS Recommendations more of the emergency trigger values (deter- mined for short-term concentrations of sulfur In the long term, countries should seek to ensure dioxide, nitrogen oxides, particulates, and that ambient exposure to nitrogen dioxide does ozone). The recommended emergency trigger not exceed the WHO recommended guidelines. value for nitrogen oxides is 150 gg/M3 for the In the interim, countries should set ambient stan- 24-hour average concentrations. dards for nitrogen dioxide that take into account the benefits to human health and to sensitive eco- References and Sources systems of reducing exposure to nitrogen diox- ide; the concentration levels achievable by Canada, Federal-Provincial Advisory Committee on pollution prevention and control measures; and Air Quality. 1987. Review of National Ambient Air the costs involved in meeting the standards. In Quality Objectives for Nitrogen Dioxide. Ottawa: En- adopting new ambient air quality standards, vironment Canada. countries should set appropriate phase-in peri- Cooper, C. David, and F. C. Alley. 1986. Air Pollution ods during which districts or municipalities that Control: A Design Approach. Prospect Heights, Ill.: do not meet the new standards are expected and Waveland Press. will be assisted to attain these standards. Where there are large differences between the costs and re1r benefits of meeting air quality standards, it may be appropriate to establish area-specific ambient Godish, Thad. 1991. Air Quality. Chelsea, Mich.: Lewis standards case by case. Publishers. Prior to carrying out an environmental assess- NAPAP (National Acid Precipitation Assessment Pro- ment (EA), a trigger value for the annual aver- gram). Various years, 1987-91. Washington, D.C.: age concentrations of nitrogen oxides should be Government Printing Office. agreed on by the country and the World Bank Ostro, Bart. 1994. "Estimating the Health Effects of Air Group. Countries may wish to adopt EU, USEPA, Pollutants: A Method with an Application to or WHO guidelines or standards as their trigger Jakarta." Policy Research Working Paper 1301. values. The trigger value should be equal to or World Bank, Policy Research Department, Washing- lower than the country's ambient standard. The ton, D.C. trigger value is not an ambient air quality stan- dard but simply a threshold. If, as a result of the Ar ol, and S. Z egr assiv Smokin project, the trigger value is predicted to be ex- a Diary Study of Student Nurses." American Review ceeded in the area affected by the project, the EA of Respiratory Disease 141: 62-67. should seek mitigation alternatives on a regional or sectoral basis. The World Bank Group will clas- Untd S .CFR (oder a regulaios. sify airsheds as moderately degraded if concen- tration levels are above 100 gg/m3 annual USEPA (United States Environmental Protection average or if the 98th percentile of 24-hour mean Agency). 1990. National Air Quality and Emission values over a period of one year is estimated to Trends Report, 1990. EPA-450/4-91-023. Research exceed 150 pg/m3 of nitrogen oxides. Airsheds Triangle Park, N.C. will be classified as having poor air quality with WHO (World Health Organization). 1977. "Oxides respect to nitrogen dioxide if the 95th percentile of Nitrogen." Environmental Health Criteria 4. of 24-hour mean values of nitrogen dioxide for Geneva. the airshed over a period of one year is estimated . 1987. Air Quality Guidelines for Europe. to exceed 150 gg/M3. WHO Regional Publications, European Series Good practice in airshed management should 23. Copenhagen: WHO Regional Office for Eu- encompass the establishment of an emergency rope. response plan during industrial plant operation. World Resources Institute. 1994. World Resources It is recommended that this plan be put into ef- 1994-95: A Guide to the Global Environment. New fect when levels of air pollution exceed one or York: Oxford University Press. Ground-Level Ozone Ozone (03) is a colorless, reactive oxidant gas that occurring naturally due to emissions from trees is a major constituent of atmospheric smog. and plants may account for as much as two thirds Ground-level ozone is formed in the air by the of ambient VOCs in some locations (USEPA 1986). photochemical reaction of sunlight and nitrogen Anaerobic biological processes, lightning, and oxides (NOx), facilitated by a variety of volatile volcanic activity are the main natural contribu- organic compounds (VOCs), which are photo- tors to atmospheric NO., occasionally account- chemically reactive hydrocarbons. The relative im- ing for as much as 90% of all NO, emissions portance of the various VOCs in the oxidation (Godish 1991). process depends on their chemical structure and Motor vehicles are the main anthropogenic reactivity. Ozone may be formed by the reaction of sources of ground-level ozone precursors. Other NO,, and VOCs under the influence of sunlight hun- anthropogenic sources of VOCs include emis- dreds of kilometers from the source of emissions. sions from the chemical and petroleum industries Ozone concentrations are influenced by the and from organic solvents in small stationary intensity of solar radiation, the absolute concen- sources such as dry cleaners. Significant amounts trations of NO, and VOCs, and the ratio of NO, of NO, originate from the combustion of fossil and VOCs. Diurnal and seasonal variations oc- fuels in power plants, industrial processes, and cur in response to changes in sunlight. In addi- home heaters. tion, ground-level ozone accumulation occurs when sea breezes cause circulation of air over an Health Impacts of Exposure area or when temperature-induced air inversions trap the compounds that produce smog (Chilton The main health concern of exposure to ambient and Sholtz 1989). Peak ground-level ozone con- ground-level ozone is its effect on the respiratory centrations are measured in the afternoon. Mean system, especially on lung function. Several fac- concentrations are generally highest during the tors influence these health impacts, including the summer. Peak concentrations of ground-level concentrations of ground-level ozone in the at- ozone rarely last longer than two to three hours mosphere, the duration of exposure, average vol- (WHO 1979). ume of air breathed per minute (ventilation rate), Registered average natural background con- and the length of intervals between short-term centrations of ground-level ozone are around 30- exposures. 100 micrograms per cubic meter ([tg/m3). Most of the evidence on the health impacts of Short-term (one-hour) mean ambient concentra- ground-level ozone comes from animal studies tions in urban areas may exceed 300-800 gg/ml and controlled clinical studies of humans focus- (WHO 1979). ing on short-term acute exposure. Clinical stud- ies have documented an association between Main Sources short-term exposure to ground-level ozone at concentrations of 200-500 gig/m3 and mild tem- Both natural and anthropogenic sources contrib- porary eye and respiratory irritation as indicated ute to the emission of ground-level ozone pre- by symptoms such as cough, throat dryness, eye cursors, and the composition of emissions sources and chest discomfort, thoracic pain, and head- may show large variations across locations. VOCs ache (WHO 1979, 1987). Temporary decrements 227 228 PROJECT GUIDELINES: POLLUTANTS in pulmonary function have been found in chil- and the number of episodes in a season may be dren at hourly average ground-level ozone con- important factors in the nature and magnitude centrations of 160-300 pjg/m3. Similar impacts of health impacts, since prolonged acute expo- were observed after 2.5-hour exposure of heavily sure to ground level ozone concentrations of 240- exercising adults and children to concentrations 360 jig/M3 resulted in progressively larger of 240 gg/m3 (WHO 1987). Lung function losses, changes in respiratory function. However, a however, have been reversible and relatively mild cross-sectional analysis based on large samples even at concentrations of 360 gg/M3, with a great from multiple locations in the United States variety of personal responses (Chilton and Sholtz (Schwartz 1989) found no correlation between 1989). Full recovery of respiratory functions nor- chronic ground-level ozone pollution and re- mally occurs within 24 to 48 hours after expo- duced lung function except for the highest 20% sure (WHO 1987). of ground-level ozone exposures, suggesting the Animal studies have also demonstrated an possibility of a lower threshold for effects of inflammatory response of the respiratory tract chronic ground-level ozone exposure. No evi- following exposure to ground-level ozone at dence has been found of an association between 1,000 gg/m3 for four hours (WHO 1987). Al- peak oxidant concentrations and daily mortality though biochemical and morphological alter- rates of the general population (WHO 1979). ations in the red blood cells were found in several animal species after exposure to ground-level Other Impacts ozone concentrations of 400 jig/m3 for four hours (WHO 1987), no consistent changes have been Elevated ground-level ozone exposures affect demonstrated in humans, even at concentrations agricultural crops and trees, especially slow- as high as 1,200 gg/m3 (USEPA 1986), and ex- growing crops and long-lived trees. Ozone dam- trapolation of such impacts to humans has not ages the leaves and needles of sensitive plants, been supported. causing visible alterations such as defoliation and Exposure to elevated concentrations of change of leaf color. In North America, tropo- ground-level ozone has been shown to reduce spheric ozone is blamed for about 90% of the physical performance, since the increased venti- damage to plants. Agricultural crops show re- lation rate during physical exercise increases the duced plant growth and decreased yield. Accord- effects of exposure to ground-level ozone. There ing to the U.S. Office of Technology Assessment is no evidence that smokers, children, older (OTA 1988), a 120 gg/ml seasonal average of people, asthmatics, or individuals with chronic seven-hour mean ground-level ozone concentra- obstructive lung disease are more responsive to tions is likely to lead to reductions in crop yields ground-level ozone exposure than others. in the range of 16-35% for cotton, 0.9-51% for Ground-level ozone may, however, make the res- wheat, 5.3-24% for soybeans, and 0.3-5.1% for piratory airways more responsive to other in- corn. In addition to physiological damage, haled toxic substances and bacteria. In addition, ground-level ozone may cause reduced resis- a synergistic effect of ground-level ozone and tance to fungi, bacteria, viruses, and insects, sulfur dioxide has been found, indicating that reducing growth and inhibiting yield and re- sulfur dioxide potentiates the effects of ground production. These impacts on sensitive species level ozone (WHO 1979). may result in declines in agricultural crop qual- Besides short-term impacts, the potential for ity and the reduction of biodiversity in natural irreversible damage to the lungs from repeated ecosystems. exposure over a longer period of time has been a The impact of the exposure of plants to health concern. Some studies have found an as- ground-level ozone depends not only on the du- sociation between accelerated loss of lung func- ration and concentration of exposure but also on tion over a longer period of time (five years) and its frequency, the interval between exposures, the high oxidant levels in the atmosphere (Detels et time of day and the season, site-specific condi- al. 1987). WHO (1987) pointed out that the length tions, and the developmental stage of plants. of the recovery period between successive epi- Furthermore, ground-evel ozone is part of a com- sodes of high ground-level ozone concentrations plex relationship among several air pollutants Ground-Level Ozone 229 and other factors such as climatic and meteoro- variety of sources and factors contributing to the logical conditions and nutrient balances. Accord- formation of ground-level ozone, differences in ing to some studies, for example, the presence the sensitivity and response of affected receptors, of sulfur dioxide may increase the sensitivity and variations in the costs and benefits of achiev- of plants to leaf injury by ground-level ozone ing certain air quality requirements for ground- (WHO 1987). Reinert and Heck (1982) point out level ozone may call for area-specific guide that the presence of ground-level ozone may values. increase the growth-suppressing effects of nitro- Since ground-level ozone is formed by the gen dioxide. photochemical reaction of nitrogen oxides and certain hydrocarbons, abatement strategies Ambient Standards and Guidelines should focus not only on reduction of emissions of these substances but also on their ratio and Ambient standards and guidelines for ground- balance. In areas where NO. concentrations are level ozone are aimed at protecting human health, high relative to VOCs, the abatement of VOC sensitive ecosystems, and agricultural plants emissions can reduce the formation of ground- from the harmful effects of ground-level ozone. level ozone, while reduction in nitrogen oxides Table 1 presents USEPA, California, and WHO may actually increase it. In areas where the rela- reference standards and guidelines for ambient tive concentration of VOCs is high compared ground-level ozone concentrations. Due to un- with nitrogen oxides, ground-level ozone forma- certainty about chronic effects and the lack of ton is "NOx-limited," and NOx reductions work established dose-response function data, these better than VOC abatement (OTA 1989). standards and guidelines focus on short-term ground-level ozone concentrations. Recommendations Conclusions In the long term, countries should seek to ensure that ambient exposure to ground-level ozone Evidence suggests that exposure to short-term does not exceed the guidelines recommended by peak concentrations of ground-level ozone dam- WHO (see Table 1). In the interim, countries ages human health but that these impacts are rela- should set ambient standards for ground-level tively mild and reversible at ground-level ozone ozone that take into account the benefits to hu- levels exceeding current U.S. and WHO stan- man health and to sensitive ecosystems of reduc- dards and guidelines. Although repeated expo- ing exposure to ground-level ozone; the sure to peak concentrations may result in concentrationlevels achievable by pollutionpre- cumulative impacts on lung function, inhibit- vention and control measures; and the costs in- ing recovery, no clear evidence for such chronic volved in meeting the standards. In adopting new effects of ground-level ozone exists. The large ambient air quality standards, countries should set appropriate phase-in periods during which Table 1. Reference Standards and Guidelines for districts or municipalities that do not meet the Ambient Atmospheric Ozone Concentrations new standards are expected and will be assisted (milligrams per cubic meter) to attain these standards. Where there are large Short-term Medium-term differences in either the costs or the benefits of (1 hour) (6 hour) meeting air quality standards, it may be appro- Standard or guideline average average priate to establish area-specific ambient stan- dards case by case. USEPA 2,35a Prior to carrying out an environmental assess- State of California 1 ,80a ment (EA), a trigger value for annual average WHO (1979) 100-200 concentrations of ground-level ozone should be WHO ig"ui-imte,"andNOnrduciosorr roudlev on 1 i agreed on by the country and the World Bank. Eidee987)_ 150_200_ 100_120 Countries may wish to adopt EU, USEPA, or a. Value not to be exceeded more than once a year. WHO guidelines or standards as their trigger Sources: USEPA 1986; WHO 1979, 1987. values. The trigger value should be equal to or 230 PROJECT GUIDELINES: POLLUTANTS lower than the country's ambient standard. The Godish, Thad. 1991. Air Quality. Chelsea, Mich.: Lewis trigger value is not an ambient air quality stan- Publishers. dard but simply a threshold. If, as a result of the Krupnik, A. J., et al. 1989. Ambient Ozone and Acute project, the trigger value is predicted to be ex- Health Effects: Evidencefrom Daily Data. Washington, ceeded in the area affected by the project, the EA D.C.: Resources for the Future. should seek mitigation alternatives on a regional OTA (U.S. Congress, Office of Technology Assessment). or sectoral basis. 1988. Urban Ozone and the Clean Air Act: Problems In addition, good practice in airshed manage- and Proposalsfor Change. Washington, D.C.: Govern- ment should encompass the establishment of ment Printing Office. an emergency response plan during industrial . 1989. Catching Our Breath: Next Stepsfor Re- plant operation. It is recommended that this ducing Urban Ozone. OTA-0-412. Washington, D.C.: plan be put into effect when levels of air pollu- Government Printing Office. tion exceed one or more of the emergency Reinert, R. A., and W. W. Heck. 1982. "Effects of Nitro- trigger values determined for short-term concen- gen Dioxide in Combination with Sulfur Dioxide trations of sulfur dioxide, nitrogen oxides, par- and Ozone on Selected Crops." In T. Schneider and ticulates, and ground-level ozone. The L. Grant, eds., Air Pollution by Nitrogen Oxides. recommended emergency trigger value for Amsterdam: Elsevier Scientific. ground-level ozone is 150 .tg/m3 for one-hour Schwartz, Joel. 1989. "Lung Function and Chronic Ex- average concentrations. posure to Air Pollution: A Cross-Sectional Analysis of NHANES II." Environmental Research 50:309-21. References and Sources USEPA (United States Environmental Protection Agency). 1986. Air Quality Criteria for Ozone and Chilton, K., and A. Sholtz. 1989. Battling Smog: A Plan Other Photochemical Oxidants. Washington, D.C. for Action. St. Louis, Mo.: Washington University, WHO (World Health Organization). 1979. "Photo- Center for the Study of American Business. chemical Oxidants." Environmental Health Criteria 7. Detels, R., et al. 1987. "The UCLA Population Studies Geneva. of Chronic Obstructive Respiratory Disease." Chest --- . 1987. Air Quality Guidelines for Europe. 92 (October): 594-603. Copenhagen: WHO Regional Office for Europe. Sulfur Oxides Sulfur oxides (SOx) are compounds of sulfur and ture, humidity, and topography, sulfur dioxide oxygen molecules. Sulfur dioxide (SO,) is the can concentrate close to ground level. During the predominant form found in the lower atmo- London fog of 1952, levels reached 3,500 gg/i3 sphere. It is a colorless gas that can be detected (averaged over 48 hours) in the center of the city by taste and smell in the range of 1,000 to 3,000 and remained high for a period of 5 days. High micrograms per cubic meter (Ag/m3). At concen- levels have been recorded during temperature trations of 10,000 gg/M3, it has a pungent, un- inversions in Central and Eastern Europe, in pleasant odor. Sulfur dioxide dissolves readily China, and in other localities. in water present in the atmosphere to form sul- furous acid (H2S03). About 30% of the sulfur di- Health oxide in the atmosphere is converted to sulfate aerosol (acid aerosol), which is removed through Exposure to sulfur dioxide in the ambient air has wet or dry deposition processes. Sulfur trioxide been associated with reduced lung function, in- (SO), another oxide of sulfur, is either emitted creased incidence of respiratory symptoms and directly into the atmosphere or produced from diseases, irritation of the eyes, nose, and throat, sulfur dioxide and is rapidly converted to sulfu- and premature mortality. Children, the elderly, ric acid (H2S04). and those already suffering from respiratory ail- ments, such as asthmatics, are especially at risk. Major Sources Health impacts appear to be linked especially to brief exposures to ambient concentrations above Most sulfur dioxide is produced by burning fu- 1,000 gg/i3 (acute exposures measured over 10 els containing sulfur or by roasting metal sulfide minutes). Some epidemiologic studies, however, ores, although there are natural sources of sulfur have shown an association between relatively dioxide (accounting for 35--65% of total sulfur low annual mean levels and excess mortality It dioxide emissions) such as volcanoes. Thermal is not clear whether long-term effects are related power plants burning high-sulfur coal or heat- simply to annual mean values or to repeated ex- ing oil are generally the main sources of anthro- posures to peak values. pogenic sulfur dioxide emissions worldwide, Health effects attributed to sulfur oxides are followed by industrial boilers and nonferrous due to exposure to sulfur dioxide, sulfate aero- metal smelters. Emissions from domestic coal sols, and sulfur dioxide adsorbed onto particu- burning and from vehicles can also contribute to late matter. Alone, sulfur dioxide will dissolve high local ambient concentrations of sulfur di- in the watery fluids of the upper respiratory sys- oxide. tem and be absorbed into the bloodstream. Sul- fur dioxide reacts with other substances in the Health and Environmental Impacts atmosphere to form sulfate aerosols. Since most sulfate aerosols are part Of PM.5 (fine particulate Periodic episodes of very high concentrations of matter, with an aerodynamic diameter of less sulfur dioxide are believed to cause most of the than 2.5 microns), they may have an important health and vegetation damage attributable to role in the health impacts associated with fine sulfur emissions. Depending on wind, tempera- particulates. However, sulfate aerosols can be 231 232 PROJECT GUIDELINES: POLLUTANTS transported long distances through the atmo- Acid depositions can damage freshwater lake sphere before deposition occurs. Average sulfate and stream ecosystems by lowering the pH of the aerosol concentrations are about 40% of average water. Lakes with low buffering capacity, which fine particulate levels in regions where fuels with could help neutralize acid rain, are especially at high sulfur content are commonly used. Sulfur risk. Few fish species can survive large shifts in dioxide adsorbed on particles can be carried deep pH, and affected lakes could become completely into the pulmonary system. Therefore, reducing devoid of fish life. Acidification also decreases concentrations of particulate matter may also re- the species variety and abundance of other ani- duce the health impacts of sulfur dioxide. Acid mal and plant life. aerosols affect respiratory and sensory functions. Sulfate aerosols, converted from sulfur diox- ide in the atmosphere, can reduce visibility by Environment scattering light. In combination with warm tem- peratures, abundant sunlight, high humidity, and Sulfur oxide emissions cause adverse impacts to reduced vertical mixing, such aerosols can con- vegetation, including forests and agricultural tribute to haziness extending over large areas. crops. Studies in the United States and elsewhere have shown that plants exposed to high ambient Materials concentrations of sulfur dioxide may lose their foliage, become less productive, or die prema- Sulfur dioxide emissions may affect building turely. Some species are much more sensitive to stone and ferrous and nonferrous metals. Sulfu- exposure than others. Plants in the immediate rous acid, formed from the reaction of sulfur di- vicinity of emissions sources are more vulnerable. oxide with moisture, accelerates the corrosion of Studies have shown that the most sensitive spe- iron, steel, and zinc. Sulfur oxides react with cop- cies of plants begin to demonstrate visible signs per to produce the green patina of copper sulfate of injury at concentrations of about 1,850 gg/M3 on the surface of the copper. Acids in the form of for 1 hour, 500 jig/m3for 8 hours, and 40 jig/m3for gases, aerosols, or precipitation may chemically the growing season (Smith 1981, cited in NAPAP erode building materials such as marble, lime- 1990). In studies carried out in Canada, chronic ef- stone, and dolomite. Of particular concern is the fects on pine forest growth were prominent where chemical erosion of historical monuments and concentrations of sulfur dioxide in air averaged 44 works of art. Sulfurous and sulfuric acids formed gg/m3, the arithmetic mean for the total 10 year from sulfur dioxide and sulfur trioxide when they measurement period; the chronic effects were slight react with moisture may also damage paper and where annual concentrations of sulfur dioxide av- leather. eraged 21 gg/m3 (Canada 1987). Trees and other plants exposed to wet and dry Ambient Standards and Guidelines acid depositions at some distance from the source of emissions may also be injured. Impacts on for- The main goal of almost all the major national est ecosystems vary greatly according to soil type, and international standards and guidelines pro- plant species, atmospheric conditions, insect duced over the last two decades has been to pro- populations, and other factors that are not well tect human health. Early research appeared to understood. indicate a threshold or "no-effects" level below Agricultural crops may also be injured by ex- which health impacts were negligible for even posure to depositions. Alfalfa and rye grass are the most vulnerable groups, such as asthmatics especially sensitive. It appears that leaf damage and smokers. Standards were then set below this must be extensive before exposure affects the level to provide a margin of safety. The EU stan- yields of most crops. It is possible that over the dards recognize the possibility that exposure to long-term, sulfur input to soils will affect yields both sulfur dioxide and particulate matter may (OECD 1981; NAPAP 1990). However, sulfur di- have an additive or synergistic effect on health. oxide may not be the primary cause of plant in- (This is also recognized by WHO.) The EU limit jury, and other pollutants such as ozone may have value for ambient sulfur dioxide therefore varies a greater impact. depending on the concentration of particulate Sulfur Oxides 233 Table 1. Reference Standards and Guidelines for Ambient Sulfur Dioxide Concentrations (milligrams per cubic meter) Annual average Winter 24-hour Associated Associated Associated 1-hour, Standard Sulfur particulate Sulfur particulate Sulfur particulate sulfur or guideline dioxide levels dioxide levels dioxide levels dioxide EU limit values 80a > 40b 130c > 60b 250d > 150b 120a <40b 180c <60b 350d < 150b 80a > 150e 130c > 200e 250d > 350& 120a < 150e 180c <200e 350d <350e USEPA standards 80' 365g WHO guidelines 40-60 100-150d WHO guidelines for Europe 50' 125d 350 ECE critical value 10/20/30 20/30 a. Median of daily values taken throughout the year. b. Black smoke method c. Median of daily values taken throughout the winter. d. 98th percentile of all daily values taken throughout the year; should not be exceeded more than 7 days a year. e. Gravimetric method. f. Arithmetic mean. g. Not to be exceeded more than once a year. Sources: European Community Directive 80/779 (July 5, 1980) and amending Directive 89/427 (July 14, 1989); USEPA 1990; WHO 1979, 1987. matter in the ambient air. Table 1 summarizes key Countries may wish to adopt EU, USEPA, or reference standards and guidelines for ambient WHO guidelines or standards as their trigger SO2 concentrations. values. The trigger value should be equal to or lower than the country's ambient standard. The Recommendations trigger value is not an ambient air quality stan- dard but simply a threshold. If, as a result of the In the long term, countries should seek to ensure project, the trigger value is predicted to be ex- that ambient exposure to sulfur dioxide does not ceeded in the area affected by the project, the EA exceed the guidelines recommended by WHO. should seek mitigation alternatives on a regional In the interim, countries should set ambient stan- or sectoral basis. In the absence of an agreed value, dards for sulfur dioxide that take into account the World Bank Group will classify airsheds as the benefits to human health and sensitive eco- moderately degraded if concentration levels are systems of reducing exposure to sulfur dioxide; above 80 gg/mn annual average or if the 98th the concentration levels achievable by pollution percentile of 24-hour mean values over a period prevention and control measures; and the costs of one year is estimated to exceed 150 gg/M3. involved in meeting the standards. In adopting Airsheds will be classified as having poor air qual- new ambient air quality standards or guide- ity with respect to sulfur dioxide if either the an- lines, countries should set appropriate phase- nual mean value of sulfur dioxide is greater than in periods. Where large differences exist between 100 jig/in3 or the 95th percentile of 24-hour mean the costs and the benefits of meeting air quality value for sulfur dioxide for the airshed over a pe- standards and guidelines, it may be appropriate nod of one year is estimated to exceed 150 jg/rn. to establish area-specific ambient standards case In addition, good practice in airshed manage- by case. ment should encompass the establishment of an Prior to carrying out an environmental assess- emergency response plan during industrial plant ment (EA), a trigger value for the annual aver- operation. It is recommended that this plan be age concentrations of sulfur dioxide should be put into effect when levels of air pollution ex- agreed on by the country and the World Bank. ceed one or more of the emergency trigger val- 234 PROJECT GUIDELINES: POLLUTANTS ues (determined for short-term concentrations of World Bank, Policy Research Department, Washing- sulfur dioxide, nitrogen oxides, particulates, and ton, D.C. ozone). The recommended emergency trigger USEPA (United States Environmental Protection value for sulfur dioxide is 150 gg/m3 for the 24- Agency). 1982. Air Quality Criteria for Particulate hour average concentrations. Matterand Sulfur Oxides. EPA-600/8-82-029. Decem- ber. Research Triangle Park, N.C. References and Sources . 1986. Second Addendum to Air Quality Crite- ria for Particulate Matter and Sulfur Oxides (1982). Canada, Federal-Provincial Advisory Committee on EPA-600/8-86/020E December. Research Triangle Air Quality. 1987. Review of National Ambient Air Park, N.C. Quality Objectives for Sulphur Dioxide: Desirable and Acceptable Levels. Ottawa: Environment Canada. 1990. Review of the National Ambient Air Qual- ity Standard for Particulate Matter: Assessment of Sci- CEC (Commission of the European Communities). entiic and Technical Information. Research Triangle 1992. European Community Environment Legislation. Park, N.C. Brussels. 1991. National Air Quality and Emission Trends Dockery, Douglas W., C. A. Pope, X. Xiping, J. Spengler, Report, 1990. EPA-450/4-91-023. November. Re- J. Ware, M. Fay, B. Ferris, and F. Speizer. 1993. "An search Triangle Park, N.C. Association between Air Pollution and Mortality in Six U.S. Cities." New England Journal of Medicine UN (United Nations) and ECE (Economic Commission 329(24): 1753-59. for Europe). 1992. "Critical Levels of Air Pollutants for Europe." Background paper prepared for the Godish, Thad. 1991. Air Quality. Chelsea, Mich.: Lewis UN/ECE workshop on critical levels. Egham, U.K., Publishers. March 23-26, 1992. Air Quality Division, Depart- NAPAP (National Acid Precipitation Assessment ment of Environment. Program). 1990. Effects of Pollution on Vegetation. WHO (World Health Organization). 1979. "Sulfur Ox- Report 18. Washington, D.C.: Government Print- ides and Suspended Particulate Matter." Environ- ing Office. mental Health Criteria 8. Geneva. . Various years,1987-91. Washington, D.C.: . 1987. Air Quality Guidelines for Europe. Government Printing Office. WHO Regional Publications, European Series OECD (Organisation for Economic Co-operation and 23. Copenhagen: WHO Regional Office for Eu- Development ). 1981. The Costs and Benefits of Sul- rope. phur Oxide Control. Paris. WHO (World Health Organization) and UNEP (United Ostro, Bart. 1994. "Estimating the Health Effects of Air Nations Environment Program) 1992. Urban Air Pollutants: A Method with an Application to Pollution in the Megacities of the'World. Oxford: Jakarta." Policy Research Working Paper 1301. Blackwell Reference. Airborne Particulate Matter: Pollution Prevention and Control Airborne particulate matter (PM) emissions can Fuel Cleaning be minimized by pollution prevention and emis- sion control measures. Prevention, which is fre- Reduction of ash by fuel cleaning reduces the quently more cost-effective than control, should generation of PM emissions. Physical cleaning of be emphasized. Special attention should be given coal through washing and beneficiation can re- to pollution abatement measures in areas where duce its ash and sulfur content, provided that care toxics associated with particulate emissions may is taken in handling the large quantities of solid pose a significant environmental risk. and liquid wastes that are generated by the clean- ing process. An alternative to coal cleaning is the Approaches to Pollution Prevention co-firing of coal with higher and lower ash con- tent. In addition to reduced particulate en-issions, Management low-ash coal also contributes to better boiler performance and reduced boiler maintenance Measures such as improved process design, op- costs and downtime, thereby recovering some eration, maintenance, housekeeping, and other of the coal cleaning costs. For example, for a management practices can reduce emissions. By project in East Asia, investment in coal clean- improving combustion efficiency, the amount of ing had an internal rate of return of 26% (World products of incomplete combustion (PICs), a Bank 1991). component of particulate matter, can be signifi- cantly reduced. Proper fuel-firing practices and Choice of Technology and Processes combustion zone configuration, along with an adequate amount of excess air, can achieve lower The use of more efficient technologies or process PICs. changes can reduce PIC emissions. Advanced coal combustion technologies such as coal gas- Choice of Fuel ification and fluidized-bed combustion are ex- amples of cleaner processes that may lower PICs Atmospheric particulate emissions can be re- by approximately 10%. Enclosed coal crushers duced by choosing cleaner fuels. Natural gas and grinders emit lower PM. used as fuel emits negligible amounts of particu- late matter. Oil-based processes also emit signifi- Approaches to Emission Control cantly fewer particulates than coal-fired combustion processes. Low-ash fossil fuels con- A variety of particulate removal technologies, tain less noncombustible, ash-forming mineral with different physical and economic character- matter and thus generate lower levels of particu- istics, are available. late emissions. Lighter distillate oil-based com- Inertial or impingement separators rely on the bustion results in lower levels of particulate inertial properties of the particles to separate emissions than heavier residual oils. However, them from the carrier gas stream. Inertial sepa- the choice of fuel is usually influenced by eco- rators are primarily used for the collection of nomic as well as environmental considerations. medium-size and coarse particles. They include 235 236 PROJECT GUIDELINES: POLLUTANT CONTROL TECHNOLOGIES settling chambers and centrifugal cyclones Their efficiency in removing toxic metals such as (straight-through, or the more frequently used arsenic, cadmium, chromium, lead, and nickel is reverse-flow cyclones). Cyclones are low-cost, greater than 99% (Moore 1994).1 They also have low-maintenance centrifugal collectors that are the potential to enhance the capture of sulfur di- typically used to remove particulates in the size oxide (SO2) in installations downstream of sor- range of 10-100 microns (mm); see Henderson- bent injection and dry-scrubbing systems (Stultz Sellers (1984). The fine-dust-removal efficiency and Kitto 1992). They typically add 1-2% to the of cyclones is typically below 70%, whereas elec- capital cost of new power plants. trostatic precipitators (ESPs) and baghouses can Wet scrubbers rely on a liquid spray to remove have removal efficiencies of 99.9% or more. Cy- dust particles from a gas stream. They are pri- clones are therefore often used as a primary stage marly used to remove gaseous emissions, with before other PM removal mechanisms. They typi- particulate control a secondary function. The cally cost about US$35 per cubic meter/minute major types are venturi scrubbers, jet (fume) flow rate (m3/min), or US$1 per cubic foot/ scrubbers, and spray towers or chambers. Ven- minute (cu. ft/mn); see Cooper and Alley (1986). turi scrubbers consume large quantities of scrub- Electrostatic precipitators (ESPs) remove par- bing liquid (such as water) and electric power ticles by using an electrostatic field to attract the and incur high pressure drops. jet or fume scrub- particles onto the electrodes. Collection efficien- bers rely on the kinetic energy of the liquid cies for well-designed, well-operated, and well- stream. The typical removal efficiency of a jet or maintained systems are typically in the order of fume scrubber (for particles 10 mm or less) is 99.9% or more of the inlet dust loading. ESPs are lower than that of a venturi scrubber. Spray tow- especially efficient in collecting fine particulates ers can handle larger gas flows with minimal and can also capture trace emissions of some toxic pressure drop and are therefore often used as metals with an efficiency of 99% (Moore 1994). precoolers. Because wet scrubbers may contrib- They are less sensitive to maximum temperatures ute to corrosion, removal of water from the ef- than are fabric filters, and they operate with a fluent gas of the scrubbers may be necessary. very low pressure drop. Their consumption of Another consideration is that wet scrubbing re- electricity is similar to that of fabric filters (see sults in a liquid effluent. Wet-scrubbing technol- Table 1). ESP performance is affected by fly-ash ogy is used where the contaminant cannot be loading, the resistance of fly ash, and the sulfur removed easily in a dry form, soluble gases and content of the fuel. Lower sulfur concentrations wettable particles are present, and the contami- in the flue gas can lead to a decrease in collection nant will undergo some subsequent wet process efficiency (Stultz and Kitto 1992). ESPs have been (such as recovery, wet separation or settling, or used for the recovery of process materials such neutralization). Gas flow rates range from 20 to as cement, as well as for pollution control. They 3,000M3/min. Gas flow rates of approximately typically add 1-2% to the capital cost. of a new 2,000 m3/min. may have a corresponding pres- industrial plant. sure drop of 25 cm water column (Bounicore and Filters and dust collectors (baghouses) collect dust Davis 1992). by passing flue gases through a fabric that acts as a filter. The most commonly used is the bag Equipment Selection filter, or baghouse. The various types of filter media include woven fabric, needled felt, plas- The selection of PM emissions control equipment tic, ceramic, and metal (Croom 1993). The oper- is influenced by environmental, economic, and ating temperature of the baghouse gas influences engineering factors: the choice of fabric. Accumulated particles are Environmental factors include (a) the impact of removed by mechanical shaking, reversal of the control technology on ambient air quality; (b) the gas flow, or a stream of high-pressure air. Fab- contribution of the pollution control system to ric filters are efficient (99.9% removal) for both the volume and characteristics of wastewater and high and low concentrations of particles but are solid waste generation; and (c) maximum allow- suitable only for dry and free-flowing particles, able emissions requirements. Airborne Particulate Matter: Pollution Prevention and Control 237 Economic factors include (a) the capital cost of For gases containing soluble toxics and where the control technology; (b) the operating and the gas flow rate is less than 3,000M3/Min, wet maintenance costs of the technology; and (c) the scrubbers may be used. Cyclones and mechani- expected lifetime and salvage value of the equip- cal separators should be used only as precleaning ment. devices upstream of a baghouse or an ESP. Engineering factors include (a) contaminant characteristics such as physical and chemical Key Issues for Pollution Prevention properties-concentration, particulate shape, size and Control Planning distribution, chemical reactivity, corrosivity, abrasiveness, and toxicity; (b) gas stream charac- The principal methods for controlling the release teristics such as volume flow rate, dust loading, of particulate matter are summarized here. temperature, pressure, humidity, composition, * Identif measures for improvin operatin viscosity, density, reactivity, combustibility, y g pc corrosivity, and toxicity; and (c) design and per- and aaemnaties. formance characteristics of the control system onsdalt such as pressure drop, reliability, dependability, Consider fuel-cleaning options such as coal compliance with utility and maintenance require- ments, and temperature limitations, as well as w i w ntt size, weight, and fractional efficiency curves for particulates and mass transfer or contaminant co ie alter a poucion pross destruction capability for gases or vapors., hoogesuch as fuied cos- Table 1 presents the principal advantages and t tht rtin reduce Pemissions disadvantages of the particulate control technolo- sect oPal patiuerd gies discussed here. ESPs can handle very large volumetric flow rates at low pressure drops and can achieve very high efficiencies (99.9%). They are roughly equivalent in costs to fabric filters and are relatively inflexible to changes in pro- 1. her co lmi sin f an y he cess operating conditions. Wet scrubbers can also pe achieve high efficiencies and have the major ad- largely unsolved problem. vantage that some gaseous pollutants can be re- moved simultaneously with the particulates. References and Sources However, they can only handle smaller gas flows (up to 3,000 m3/min), can be very costly to oper- Bounicore, Anthony J., and Wayne T Davis, eds. 1992. ate (owing to a high pressure drop), and produce Air Pollution Engineering Manual. New York: Van a wet sludge that can present disposal problems Nostrand Reinhold. (Cooper and Alley 1986). For a higher flue gas Cooper, C. David, and F. C. Alley 1986. Air Pollution flow rate and greater than 99% removal of PM, Control: A Design Approach. Prospect Heights, Ill.: ESPs and fabric filters are the equipment of Waveland Press. choice, with very little difference in costs. ch oi e, w th ery itt e difere ce n co ts.Croom , M iles L. 1993. "Effective Selection of Filter Recommendations Dust." Chemical Engineering (July). Hanly, J., and Petchonka, J. 1993. "Equipment Selec- For effective PM,o control in industrial applica- tion for Solid Gas Separation." Chemical Engineer- tion, the use of ESPs or baghouses is recom- ing (July). mended. They should be operated at their design Henderson-Sellers, B. 1984. Pollution of Our Atmosphere. efficiencies. In the absence of a specific emissions Bristol: Adam Hilger. requirement, a maximum level of 50 milligrams Jechoutek, Karl G., S. Chattopadhya, R. Khan, F. Hill, per normal cubic meter (mg/Nm3) should be and C. Wardell. 1992. "Steam Coal for Power and achieved. Industry." Industry and Energy Department Work- 238 PROJECT GUIDELINES: POLLUTANT CONTROL TECHNOLOGIES Table 1. Advantages and Disadvantages of Particulate Control Technologies Advantages Disadvantages Inertial or impingement (cyclone) separators * Low capital cost (approximately US$1/cu ft/min flow rate) a Relatively low overall particulate collection efficiencies, * Relative simplicity and few maintenance problems especially for particulate sizes below 10 mm * Relatively low operating pressure drop (for the degree of * Inability to handle sticky materials particulate removal obtained) in the range of approxi- mately 5-15 cm (2-6 inches) water column * Temperature and pressure limitations imposed only by the materials of construction used * Dry collection and disposal * Relatively small space requirements Wet scrubbers * No secondary dust sources . Potential water disposal/effluent treatment problem * Relatively small space requirement 0 Corrosion problems (more severe than with dry systems) * Ability to collect gases, as well as particulates (especially 0 Potentially objectionable steam plume opacity or droplet "sticky" ones) entrainment * Ability to handle high-temperature, high-humidity gas streams * Potentially high pressure drop-approximately 25 centi- * Low capital cost (if wastewater treatment system is not required) meters (10 inches) water column and horsepower require- * Insignificant pressure-drop concerns for processes where ments the gas stream is already at high pressure * Potential problem of solid buildup at the wet-dry inter- * High collection efficiency of fine particulates (albeit at face the expense of pressure drop) * Relatively high maintenance costs Electrostatic precipitators * Collection efficiencies of 99.9% or greater for coarse and * High capital cost-approximately US$160/square meter fine particulates at relatively low energy consumption ($15/square foot) of plate area * Dry collection and disposal of dust * High sensitivity to fluctuations in gas stream conditions * Low pressure drop-typically less than 1-2 cm (0.5 inch) (flow rates, temperature, particulate and gas composi- water column tion, and particulate loadings) * Continuous operation with minimum maintenance * Difficulties with the collection of particles with extremely * Relatively low operation costs high or low resistivity * Operation capability at high temperatures (up to 7000C, * Relatively large space requirement for installation or (1,300oF) and high pressure (up to 10 atmospheres. * Explosion hazard when dealing with combustible gases or 150 pounds per square inch, psi) or under vacuum or particulates * Capability to handle relatively large gas-flow rates (on 0 Special precautionary requirements for safeguarding per- the order of 50,000 m3/min sonnel from high voltage during ESP maintenance by de- energizing equipment before work commencement .Production of ozone by the negatively charged electrodes during gas ionization Fabric filter systems (baghouses) * Highly trained maintenance personnel required * Very high collection efficiency (99.9%) for both coarse * Requirement of costly refractory mineral or metallic fab- and fine particulates ric at temperatures in excess of 290oC (550oF) * Relative insensitivity to gas stream fluctuations and large * Need for fabric treatment to remove collected dust and changes in inlet dust loadings (for continuously cleaned reduce seepage of certain dusts filters) 0 Relatively high maintenance requirements * Recirculation of filter outlet air * Explosion and fire hazard of certain dusts at concentra- * Dry recovery of collected material for subsequent pro- tion (-50 g/m3) in the presence of accidental spark or cessing and disposal flame, and fabric fire hazard in case of readily oxidizable * No corrosion problems dust collection * Simple maintenance, flammable dust collection in the ab- * Shortened fabric life at elevated temperatures and in the sence of high voltage presence of acid or alkaline particulate or gas constitu- * High collection efficiency of submicron smoke and gas- ents -Potential crusty caking or plugging of the fabric, or eous contaminants through the use of selected fibrous need for special additives due to hygroscopic materials, or granular filter aids moisture condensation, or tarry adhesive components * Various configurations and dimensions of filter collectors * Respiratory protection requirement for fabric replacement * Relatively simple operation Medium pressure-drop requirements-typically in the range of 10-25 centimeters (4-10 inches) in water column Source: Adapted from Bounicore and Davis 1992. Airborne Particulate Matter: Pollution Prevention and Control 239 ing Paper. Energy Series Paper No. 58. World Bank, Vatavuk, W. M. 1990. Estimating Costs of Air Pollution Washington, D.C. Control. Chelsea, Mich.: Lewis Publishers. Moore, T. 1994. "Hazardous Air Pollutants: Measur- World Bank. 1991. "China: Efficiency and Environmen- ing in Micrograms." EPRI Journal 19(1). tal Impact of Coal Use." Report No. 8915-CHA. Stultz, S. C., and John B. Kitto, eds. 1992. Steam: Its China Department, Industry and Energy Division, Generation and Use. 40th ed. Barberton, Ohio: The Washington, D.C. Babcock & Wilcox Co. Removal of Lead from Gasoline: Technical Considerations The Effects of Lead in Gasoline ment. Thus, the marginal cost of octane from lead addition increases as the lead level increases. Refiners add tetraethyl lead (TEL) and tetra- me- In addition to its octane benefit, TEL also pro- thyl lead (TML) to gasoline to increase octane. In vides engine lubrication benefits. Lead in gaso- most situations, adding lead is the least expen- line prevents the wear of engine parts (valve seat sive means of providing incremental octane to recession) under severe driving conditions such meet gasoline specifications. At sufficiently high as prolonged high speed, towing, and hilly ter- levels, addition of lead can increase octane as rain for vehicles-typically older models-manu- much as 10 to 15 control octane numbers factured with soft valve seats. Consequently, a (Figure 1). Lead susceptibility (the gasoline's pro- mandate for lead removal is often accompanied pensity to increase in octane with lead addition) by requirements for gasoline additives designed is a function of the gasoline's composition and to prevent valve seat recession. Sodium-based blending properties. In general, the higher a base additives, for example, can be blended into gaso- gasoline's clear octane (before lead addition), the line for this purpose.' lower is its lead susceptibility. Lead addition is subject to decreasing returns to scale: each incre- Gasoline Octane Number ment of lead added to a gasoline blend provides a smaller octane boost than the previous incre- Octane number is a measure of a gasoline's pro- pensity to knock (ignite prematurely, before the piston reaches the top of the stroke) in standard Figure 1. Octane Improvement from Addition test engines. The higher a gasoline's octane is, the of Lead: 92, 87, and 82 Octane (CON) Gasolines better is its antiknock performance. Gasolines 20-- have two octane ratings. The research octane num- 20ber (RON) measures antiknock performance at low engine speeds; the motor octane number 15d (MON) measures antiknock performance at high -vd engine speeds. For any gasoline, RON is higher 0 than MON, usually by 8 to 12 numbers. The differ- 10_ ence between the two is called octane sensitivity. Most countries set specifications (minimum levels) for both RON and MON by gasoline grade. The aUnited States, however, sets specifications for the control octane number (CON), the arithmetic aver- age of RON and MON. 0 Oil-Refining Processes 0.00 0.20 0.40 0.60 0.80 Oil refineries transform crude oils into numer- Grams of lead/liter ous coproducts. Refined coproducts fall into four -92 octane -h87 octane av82 octane broad categories in the order of increasing spe- 240 Removal of Lead from Gasoline: Technical Considerations 241 cific gravity and decreasing volatility: liquefied refiner can vary the octane level of reformate over petroleum gas (LPG) and refinery gases; gasoline; a wide range (90-102 RON clear) by controlling distillate (kerosene, jet fuel, diesel fuel, and heat- the "severity" of the reformer, primarily by drop- ing oil); and residual oil (fuel oil, bunker oil, and ping pressure or increasing temperature, or both. asphalt). In virtually all situations, light prod- No other refining process allows the refiner com- ucts-gasoline and distillate-are the most valu- parable control of blendstock octane. The combi- able, and heavy products (residual oil) are the nation of high-octane blendstock and operating least valuable. The following main oil refining flexibility usually makes reforming the process processes play key roles in gasoline production. of choice for controlling octane level and produc- 1. Crude distillation splits crude oil into discrete ing incremental octane-barrels in response to lead fractions suitable for further processing. It is the phase-out. However, reformate is high in aromat- indispensable process in any refinery, the precur- ics and benzene: the higher the reformer sever- sor for all others. Of the many crude fractions ity, the higher the aromatics and benzene content. produced in the crude distillation unit, two, light (For example, increasing reformer severity from naphtha and medium to heavy naphtha, are espe- 90 to 100 RON increases the aromatics content of cially important in gasoline blending. Both are in reformate by roughly 15 percentage points.) the gasoline boiling range, and both have low Isomerization upgrades light naphtha (70-78 octane, making them unattractive as gasoline RON) to isomerate, a high-quality, moderate-oc- blendstocks. tane blendstock (85-90 RON). Light naphtha (boiling range, 15o-70oC) has Alkylation combines light olefins (propylene, three alternative dispositions: (a) direct blending n-butenes, and isobutene), which are produced to gasoline in small proportions; (b) direct blend- mainly by the FCC unit and isobutane, coming ing in larger proportions (as present in the crude from hydrocracking, FCC, reforming or straight- oil mix), with attendant addition of lead to the run, and NG processing, to form alkylate, a high- gasoline pool; or (c) upgrading by isomerization quality, high-octane blendstock (92-97 RON). followed by blending. Alkylation can be employed only in refineries Medium and heavy naphtha (boiling range, with an FCC unit. 160o-375oF) is the primary feed to catalytic re- Polymerization converts light olefins (propy- forming, the workhorse of the upgrading process. lene and butenes) to form polygasoline, an ole- 2. Conversion processes convert heavy feeds into finic, high-octane blendstock (97 RON). This lighter materials for further processing or direct rocess relies on the same olefin feeds as alkyla- blending. Fluid catalytic cracking (FCC) is the most important conversion process. The FCC unit is the tn and cn Plyedaon inrefes wi heart of a conversion refinery, the most impor- content of gasoline; tant single determinant of the refinery's profit margin. The FCC unit converts heavy refinery Etherification processes produce oxygenate streams, in the residual oil range, into a spectrum blendstocks such as methylterbutylether of lighter, more valuable refinery streams, includ- (MTBE), ETBE, TAME and DIPE. Of these ing (a) a moderate-quality, high-octane gasoline blendstocks, MTBE is the most widely used. It blendstock (91-93 RON clear) called FCC gasoline; has exceptionally high octane (115 RON) and and (b) refinery gases, which may be sold or used other desirable blending properties as well. In as feed to alkylation and oxygenate production. the refinery, MTBE is produced using pur- 3. Upgrading processes improve the octane of chased methanol and isobutene produced crude fractions already in the gasoline boiling mainly by the FCC unit. As with alkylation, range. refinery-based etherification can be employed Catalytic reforming is the most important and only in refineries with an FCC unit. most universal upgrading process for gasoline Blending mixes blendstocks and additives to manufacture. In most refineries, reforming is the produce finished products that meet specifi- primary source of additional octane. Reforming cations. Merchant MTBE, for example, can be upgrades heavy naphtha (35-55 RON clear) to a purchased on world oil markets. Because of prime gasoline blendstock, called reformate. The its high octane, blending merchant MTBE is a 242 PROJECT GUIDELINES: POLLUTANT CONTROL TECHNOLOGIES common method of adding octane to gasoline Technical Options for Replacing Lead without capital investment. Certain gasoline in Gasoline additives such as MMT and DurAlt are also known to increase gasoline octane. Various technical options are available for replac- ing lead when it is removed from a gasoline pool: Refinery Categories Increasing the octane of reformate by increas- ing reformer severity (within the limits of sus- Refineries can be categorized into two main taiable operations). In some instances, groups (see Table 1). achieving the necessary increase in reformer * Skimming refineries are relatively simple, com- prising crude distillation, treating, upgrading izing the reformer. prtyics eomigiihdokimg rfn Increasing refinery production of high-octane (catalytic reforming in hydroskimming refin-reformate, eries only), and blending. Skimming refiner- isomerate, alkylate, polygasoline, and ethers ies produce refined products in proportions (MTBE)-by increasing the utilization of ex- determined mainly by the proportions of boil- isting process units and, if necessary, expand- ing-range fractions in the crude oil mix. For ing or revamping existing process units or example, a skimming refinery's gasoline out- put can be no greater than the aggregate vol- addngne unt s ne aboe aly ume of the crude oil fractions in the gasoline pongaso n eters ca r ed o boiling range (about 60o-400oF). duction from existing units calls for increas- * Conversion refineries are relatively complex, ing the output of the refinery's FCC unit; comprising crude distillation, treating, upgrad- Reducing the volume of light naphtha in the ing (at least catalytic reforming and usually gasoline pool, by (a) increasing the volume of other processes as well), conversion (at least one conversion process and often more than leig tha upgrae o isomahte; sl t one), and blending. Conversion refineries pro- creasingothemvolume o lih naphtha odt duce more light products and less heavy prod- the ptoheicl se; r o reor ig t ucts than is indicated by the distribution of (th igeig boiling range fractions in the crude oil mix. nh h am. Some deep conversion refineries produce an Bending high-octane enstcnu as all-light product slate containing no residual tives, such as MMT-into the gasoline pool. oil products. Conversion refineries shift the product slate toward light products by crack- Blndig a onal into the golie ing (converting) heavy crude oil fractions into poo (hsoevo gasoline blendstocks, distillate blendstocks, and refinery gases. Conversion refineries of- These technical options may be applied in any fer more options for lead removal than skim- combination that is technically feasible in a given ming refineries, refinery. Each refinery has its own capital stock Table 1. Refinery Categories and Processes Skimming Conversion Process Topping Hydroskimming Coking Catalic cracking Deep conversion Crude distillationo ost Treating *** Blending te ecsa Upgradings r w c fo Conversion *a . Oxygenate productionIo Removal of Lead from Gasoline: Technical Considerations 243 and cost structure and faces a unique set of costs additives; (b) cumulative refining costs; (c) invest- and technical requirements when it seeks to re- ment requirements; (d) changes in gasoline move lead from its gasoline pool. Determining composition; and (e) the potential costs and in- the optimal combination of technical options, vestment requirements of other constraints on therefore, calls for detailed refinery analysis. refinery operations, such as limits on certain gaso- line properties (e.g., aromatics content, benzene The Cost of Lead Phase-Out content, and volatility). Refinery analysis gener- ally consists of the following steps: The cost of lead phase-out depends on a number Development of technical data on the refinery. Ac- of factors, including: the initial lead concentra- tual process capacities and yields (and the po- tion in gasoline, the processing capabilities of the tential for upgrading), crude oil slate, product refinery, planned refinery modernization or slate, lead use, gasoline grade splits, prices for modification to meet evolving product demands, crude oil and refined products, and product and limits on other gasoline properties (e.g., vola- specifications for the time period of interest are tility, aromatics, and benzene). The cost of lead removal is generally in the elished. range of US$0.02-$0.03/liter of gasoline with ini- enopment reoilasy If notialady tial lead levels of 0.6 g/liter or more and about crpor the refinerod, tlltio US$ 0.01-$0.02/liter for initial lead levels of about cur fre crud 0.15 g/liter. Complex refineries with conversion finery ar cstct capacity tend to have lower lead removal costs redusnt o cata os an require re than do technically less-advanced refineries with return.nThe nco oe proc e aaiy limited process options. Refinery modernization, therefore, generally facilitates the phase-out of model, along with the rate of return used to lead. annualize capital costs, to reflect the economic conditions faced by the refinery of interest. Analysis of Lead Phase-Out Calibration of the refinery model. The refinery model is configured so as to yield reasonable Analyzing lead phase-out alternatives can be car- values for key measures of refinery operations: ried out by a combination of detailed engineer- marginal refining costs at observed product ing analysis and refinery modeling. This volumes, marginal costs of meeting product approach exploits detailed information that en- specifications, gasoline blend recipes, lead use, gineers can develop regarding the refinery of in- and capacity utilization of various refining pro- terest and makes it possible to assess numerous cesses. The calibration case serves as the base alternatives for lead removal and their effects on for comparing the results of subsequent "lead refinery economics and gasoline quality. Refiners reduction" cases. A well-calibrated refinery customarily rely on refinery models (linear pro- model increases confidence in the results of gramming models configured to represent their subsequent model runs. operations) to optimize refining and blending Evaluation of various lead reduction cases for the operations and as planning tools to assess the projected product slate. Once the refinery model necessary changes in operations, the required pro- is calibrated to represent baseline operations, cess additions, and the blendstock or additive further model runs are made to assess the fea- purchases needed to phase lead out of gasoline. sibility and cost of progressively lower lead Modeling provides a quick and relatively in- limits for gasoline. These model runs are de- expensive method of assessing the economic signed to evaluate the effects of various ap- and technical aspects of lead reduction, such proaches for reducing lead use on refinery as: (a) alternative technical approaches for lead operations, such as changes in operating se- phase-out, including process upgrading, process verity, the addition of new process capacity additions, changes in operating procedures, and (reforming, pen-hex isomerization, and so on), the use of purchased high-octane blendstocks or and the use of additives. 244 PROJECT GUIDELINES: POLLUTANT CONTROL TECHNOLOGIES Note pared for the Office of Policy, Planning, and Evalu- ation, U.S. Environmental Protection Agency, Wash- 1. One such additive is Lubrizol's Powershield 8164. ington, D.C. At the recommended concentration of 0.7 grams per Chem Systems. 1994. "Study to Assess the Capability liter (g/1), bulk blending of Lubrizol's additive in gaso- of the Bulgarian Refining Industry to Produce Un- line costs about US$0.003 per liter. leaded Gasoline." Report prepared for the U.K. Sources Know How Fund on Behalf of the World Bank, Washington, D.C. ABT Associates, Inc. 1996. "Costs and Benefits of Re- Lefler, W. 1985. Petroleum Refining for the Non-Technical moving Lead from Gasoline in Russia." Report pre- Person. Tulsa, Okla.: PennWell Publishing Co. Nitrogen Oxides: Pollution Prevention and Control The first priority in designing a strategy to con- heavy oil (fuel NO); and (b) high-temperature trol nitrogen oxides is to protect human health. oxidation of the molecular nitrogen in the air used Human health impacts appear to be related to for combustion (thermal NOx). Formation of fuel peak exposures to nitrogen oxides (NOx). In ad- NOx depends on combustion conditions, such as dition to potentially damaging human health, oxygen concentration and mixing patterns, and nitrogen oxides are precursors to ozone (03) for- on the nitrogen content of the fuel. Formation of mation, which can harm human health and veg- thermal NOx depends on combustion tempera- etation. Finally, nitrogen oxides contribute to acid ture. Above 1,538C (2,800F), NOx formation rises deposition, which damages vegetation and exponentially with increasing temperature (Stultz aquatic ecosystems. and Kitto 1992). The relative contributions of fuel The extent to which NOx emissions harm hu- NOx and thermal NO, to emissions from a par- man health depends on ground-level concentra- ticular plant depend on the combustion condi- tions and the number of people exposed. Source tions, the type of burer, and the type of fuel. location can affect these parameters. Gases emit- Approaches for controlling NOx from station- ted in areas with meteorological, climatological, ary sources can address fuel NOx, thermal NO, and topographical features that favor dispersion or both. One way of controlling NOx emissions will be less likely to concentrate near the ground. is to use low-nitrogen fuels. Another is to modify However, some meteorological conditions, such combustion conditions to generate less NO.. Flue as inversion, may result in significantly higher gas treatment techniques, such as selective cata- ambient levels. Sources away from population lytic reduction (SCR) processes, can remove NOx. centers will expose fewer people to harmful pol- lution. Plant siting is a critical feature in any air Choice of Fuel pollution management strategy. However, due to the dispersion of nitrogen oxides that may con- Coals and residual fuel oils containing organi- tribute to ozone formation and acid deposition cally bound nitrogen contribute to over 50% of far from the source, relying on plant siting alone total emissions of NO, according to some esti- is not a recommended strategy. The long-term mates. The nitrogen content of U.S. coal ranges objective must be to reduce total emissions. between 0.5% and 2% and that of residual fuel Effective control of NO, emissions will require oil between 0.1% and 0.5%. In many circum- controls on both stationary sources and mobile stances, the most cost-effective means of reduc- transport sources. Each requires different strate- ing NOx emissions will be to use low-nitrogen gies. This guideline focuses on control strategies fuels such as natural gas. Natural gas used as fuel for stationary sources (primarily fossil-fuel-fired can emit 60% less NOx than coal and virtually no electricity-generating plants). particulate matter or sulfur oxides. Limiting Emissions from Stationary Sources Combustion Control Nitrogen oxides are produced in the combustion Combustion control may involve any of three process by two different mechanisms: (a) burn- strategies: (a) reducing peak temperatures in the ing the nitrogen in the fuel, primarily coal or combustion zone; (b) reducing the gas residence 245 246 PROJECT GUIDELINES: POLLUTANT CONTROL TECHNOLOGIES time in the high-temperature zone; and (c) reduc- trogen the nitrogen oxides that are formed. The ing oxygen concentrations in the combustion combustion process is then completed by add- zone. These changes in the combustion process ing the balance of the combustion air through can be achieved either through process modifi- overfire air ports in a final burnout zone at the cations or by modifying operating conditions on top of the furnace. existing furnaces. Process modifications include Staged combustion (off-stoichiometric combustion) using specially designed low-NO, burners, burs the fuel in two or more steps. Staged com- reburning, combustion staging, gas recirculation, bustion can be accomplished by firing some of reduced air preheat and firing rates, water or the burners fuel-rich and the rest fuel-lean, by steam injection, and low excess air (LEA) firing. taking some of the burners out of service and al- These modifications are capable of reducing NO, lowing them only to admit air to the furnace, or emissions by 50 to 80%. The method of combus- by firing all the burners fuel-rich in the primary tion control used depends on the type of boiler combustion zone and admitting the remaining and the method of firing fuel. air over the top of the flame zone (OFA); see Cooper and Alley 1986). Staged combustion tech- Process Modifications niques can reduce NO, emissions by 20-50%. Conventional OFA alone can reduce emissions of New low-NO, burners are effective in reducing NO, by 30%, and advanced OFA has the poten- NO, emissions from both new power plants and tial of reducing them still further, although po- existing plants that are being retrofitted. Low- tential for corrosion and slagging exists. Capital NOx burners limit the formation of nitrogen ox- costs for conventional and advanced OFA range ides by controlling the mixing of fuel and air, in between US$5 and $10 per kilowatt (Bounicore effect automating low-excess-air firing or staged and Davis 1992). combustion. Compared with older conventional Flue gas recirculation (FGR) is the rerouting of burners, low-NOx burners reduce emissions of some of the flue gases back to the furnace. By NOx by 40-60%. Because low-NOx burners are using the flue gas from the economizer outlet, relatively inexpensive, power utilities have been both the furnace air temperature and the furnace quick to accept them; in fact, low-NOx burners oxygen concentration can be reduced. However, are now a standard part of new designs. Capital in retrofits FGR can be very expensive. Flue gas costs for low-NO, burners with overfire air (OFA) recirculation is typically applied to oil- and gas- range between US$20 and US$25 per kilowatt fired boilers and reduces NO, emissions by 20- (Bounicore and Davis 1992; Kataoka, personal 50%. Modifications to the boiler in the form of communication, 1994). ducting and an energy efficiency loss due to the Unfortunately, low-NO, burners are not suit- power requirements of the recirculation fans can able for reducing NO, emissions from cyclone- make the cost of this option higher than for some fired boilers, which emit large quantities of NO,, of the in-furace NO, control methods. due to their high operating temperatures. Be- Reduced air preheat and reducedfiring rates lower cause combustion takes place outside the main peak temperatures in the combustion zone, thus furnace, the use of low-NO, burners is not suit- reducing thermal NO,. This strategy, however, able for these applications (Bounicore and Davis carries a substantial energy penalty. Emissions 1992). However, reburning technology can reduce of smoke and carbon monoxide need to be con- NO, emissions. trolled, which reduces operational flexibility Reburning is a technology used to reduce NOx Water or steam injection reduces flame tempera- emissions from cyclone furnaces and other se- tures and thus thermal NO,. Water injection is lected applications. In reburning, 75-80% of the especially effective for gas turbines, reducing NO, furnace fuel input is burned in the furnace with emissions by about 80% at a water injection rate minimum excess air. The remaining fuel (gas, oil, of 2%. For a gas turbine, the energy penalty is or coal) is added to the furnace above the pri- about 1%, but for a utility boiler it can be as high mary combustion zone. This secondary combus- as 10%. For diesel-fired units, 25-35% reductions tion zone is operated substoichiometrically to in NO, emissions can be achieved using water- generate hydrocarbon radicals that reduce to ni- fuel mixtures. Nitrogen Oxides: Pollution Prevention and Control 247 Modifications in Operating Conditions concerns associated with anhydrous ammonia storage. Low-excess-air firing (LEA) is a simple, yet effec- Selective noncatalytic reduction (SNCR) using tive technique. Excess air is the amount of air in ammonia- or urea-based compounds is still in the excess of what is theoretically needed to achieve developmental stage. Early results indicate that 100% combustion. Before fuel prices rose, it was SNCR systems can reduce NOx emissions by 30- not uncommon to see furnaces operating with 50- 70%. Capital costs for SNCR are expected to be 100% excess air. Currently, it is possible to achieve much lower than for SCR processes, ranging be- full combustion for coal-fired units with less than tween US$10 and US$20 per kilowatt (Bounicore 15-30% excess air. Studies have shown that re- and Davis 1992; Kataoka, 1992). Several dry ad- ducing excess air from an average of 20% to an sorption techniques are available for simultaneous average of 14% can reduce emissions of NOx by control of NOx and sulfur oxides (SOx). One type an average of 19% (Cooper and Alley 1986). of system uses activated carbon with ammonia Techniques involving low-excess-air firing, (NH3) injection to simultaneously reduce the NOx staged-combustion, and flue gas recirculation to nitrogen (N,) and oxidize the SO, to sulfuric are effective in controlling both fuel NOx and acid (H,S04). If there is no sulfur in the fuel, the thermal NOx. The techniques of reduced air carbon acts as a catalyst for NO, reduction only. preheat and reduced firing rates (from normal Another adsorption system uses a copper oxide operation) and water or steam injection are ef- catalyst that adsorbs sulfur dioxide to form cop- fective only in controlling thermal NOx. These will per sulfate. Both copper oxide and copper sul- therefore not be as effective for coal-fired units, fate are reasonably good catalysts for the selective since about 80% of the NO, emitted from these reduction of NO, with NH,. This process, which units is fuel NOx. has been installed on a 40-megawatt oil-fired boiler in Japan, can remove about 70% of NO,, Flue Gas Treatment and 90% of SO, from flue gases (Cooper and Alley 1986). Flue gas treatment (FGT) is more effective in re- ducing NOx emissions than are combustion con- Applications of NOx Control Systems trols, although at higher cost. FGT is also useful where combustion controls are not applicable. For coal-fired boilers (which accounted for a major Pollution prevention measures, such as using a portion of all utility NOx emissions), the most high-pressure process in nitric acid plants, is more widely applied control technologies involve com- cost-effective in controlling NOx emissions. FGT bustion modifications, including low-excess-air technologies have been primarily developed and firing, staged combustion, and use of low-NOx are most widely used in Japan and other OECD burners. For oil-fired boilers, the most widely ap- countries. The techniques can be classified as se- plied techniques include flue gas recirculation, lective catalytic reduction, selective noncatalytic in addition to the techniques used for coal-fired reduction, and adsorption. units. For gas-fired units, which in any case emit Selective catalytic reduction (SCR) is currently 60% less NO, than coal-fired units, the primary the most developed and widely applied FGT control technologies include flue gas recircula- technology. In the SCR process, ammonia is used tion and combustion modifications. Finally, for as a reducing agent to convert NO, to nitrogen diesel plants, the common technologies are water- in the presence of a catalyst in a converter up- steam injection, and SCR technology. stream of the air heater. The catalyst is usually a Table 1 summarizes the NO, reduction rates mixture of titanium dioxide, vanadium pentox- that are normally achieved through combustion ide, and tungsten trioxide (Bounicore and Davis modifications and flue gas treatment systems. 1992). SCR can remove 60-90% of NOx from flue gases. Unfortunately, the process is very expen- Recommendations sive (US$40-$80/kilowatt), and the associated ammonia injection results in an ammonia slip- The most cost-effective methods of reducing stream in the exhaust. In addition, there are some emissions of NOx are the use of low-NO, burners 248 PROJECT GUIDELINES: POLLUTANT CONTROL TECHNOLOGIES Table 1. NO, Removal Efficiencies for Combustion Modifications and Flue Gas Treatment (percentage reduction in NO,) NO, reduction technique Coal Oil Gas Combustion modification Low-excess-air firing 10-30 10-30 10--30 Staged combustion 20-50 20-50 20-50 Flue gas recirculation n.a. 20-50 20-50 Water/steam injection n.a. 10-50 n.a. Low-NO, burners 30-40 30-40 30-40 Flue gas treatment Selective catalytic reduction 60-90 60-90 60-90 Selective noncatalytic reduction n.a. 30-70 30-70 n.a. Not applicable. and the use of low nitrogen fuels such as natural ing Paper. Energy Series Paper 58. World Bank, gas. Natural gas has the added advantage of Washington, D.C. emitting almost no particulate matter or sulfur Kataoka, S. 1992. "Coal Burning Plant and Emission dioxide when used as fuel. Other cost-effective Control Technologies." Technical Note. World Bank, approaches to emissions control include combus- China Country Department, Washington, D.C. tion modifications. These can reduce NO,, emis- . 1994. Personal communication. sions by up to 50% at reasonable cost. Flue gas OECD (Organisation for Economic Co-operation treatment systems can achieve greater emissions and Development). 1983. Control Technologyfor reductions, but at a much higher cost. Nitrogen Oxide Emissionsfrom Stationary Sources. Table 2 shows applications of NO, abatement Paris. technologies. Stern, C., R. Boubel, D. Turner, and D. Fox. 1984. Fun- damentals of Air Pollution. Orlando, Fla.: Academic References and Sources Press. Stultz, S. C., and John B. Kitto, eds. 1992. Steam: Its Bounicore, Anthony J., and Wayne T. Davis, eds. 1992. Generation and Use. 40th ed. Barberton, Ohio: The Air Pollution Engineering Manual. New York: Van Babcock & Wilcox Co. Nostrand Reinhold. USEPA (United States Environmental Protection Cooper, C. David, and F. C. Alley 1986. Air Pollution Agency). 1992. Evaluation and Costing of NO, Con- Control: A Design Approach. Prospect Heights, Ill.: trolsfor Existing Utility Boilers in the NESCAUM Re- Waveland Press. gion. Washington, D.C. Godish, Thad. 1991. Air Quality. Chelsea, Mich.: Lewis . 1986. "Compilation of Air Pollution Emis- Publishers. sion Factors. AP42. (October1992 version)." Wash- Jechoutek, Karl G., S. Chattopadhya, R. Khan, F. Hill, ington, D.C. and C. Wardell. 1992. "Steam Coal for Power and Vatavuk, W M. 1990. Estimating Costs of Air Pollution Industry." Industry and Energy Department Work- Control. Chelsea, Mich.: Lewis Publishers. Table 2. Applicability of NO. Abatement Technologies, by Type of Facility and by Technique Petro- Cement Waste Nitric Internal Boiler Metal leum Sinter- calci- Glass inciner- acid combus- Large/ heating heating ing nation melting Coke ation manu- tion Gas Technique medium Small furnace furnace furnace furnace furnace oven furnace facture engine turbine Diesel Low excess air * U * M Two-stage combustion (including off-stoichio- metric combustion) M Flue gas recirculation * M M U M M M Water/steam injection (including emulsion fuel) M U U M M M M Low-NO, burners * M * U Selective catalytic reduction M U M U U U M M U U M Nonselective catalytic reduction U U M M Noncatalytic reduction M U U Wet-chemical scrubbing M U U U U M Other: change of temperature M * (Use pre- * (Use high- profile; nonsuspension heaters pressure preheater kin and pre- process) calciners) Notes: * indicates high reliability; M, some points must be taken into account in the case of actual application; U, under study in a test plant. Source: Adapted from OECD 1983 (verified as current). Ozone-Depleting Substances: Alternatives Surrounding the earth at a height of about 25 international environmental agreement, and its kilometers is the stratosphere, rich in ozone, signing by so many nations represented a major which prevents the sun's harmful ultraviolet accomplishment, and a major shift in the ap- (UV-B) rays from reaching the earth. UV-B rays proach to handling global environmental prob- have an adverse effect on all living organisms, lems. The Protocol called for a freeze on the including marine life, crops, animals and birds, production of halons and a requirement to reduce and humans. In humans, UV-B is known to af- the production of CFCs by 50% by 1999. How- fect the immune system; to cause skin cancer, eye ever, new scientific evidence surfaced after the damage, and cataracts; and to increase suscepti- entry into force of the Protocol, indicating that bility to infectious diseases such as malaria. ozone depletion was more serious than originally In 1974, it was hypothesized that chlorinated thought. Accordingly, in 1990 (London), 1992 compounds were able to persist in the atmo- (Copenhagen), and 1995 (Vienna), amendments sphere long enough to reach the stratosphere, were made to the Protocol to regulate the phase- where solar radiation would break up the mol- out of the original chemicals and the control and ecules and release chlorine atoms that would phase-out of additional chemicals. destroy the ozone. Mounting evidence and the discovery of the Antarctic ozone hole in 1985 led to the global program to control chlorofluorocar- Table 1. Ozone Depletion Potential (ODP) of the bons (CFCs) and other ozone-destroying chemi- Principal Ozone-Depleting Substances (ODSs) cals. In addition to Antarctica, ozone loss is now ODS ODP present over New Zealand, Australia, southern Argentina and Chile, North America, Europe, CFC-1 1 1.0 and Russia. CFC-12 1.0 The ozone-depleting chemicals or substances CFC-113 0.8 (ODSs) of concern are CFCs, halons, methyl chlo- CEO-i 15 0 roform (1,1,1,-trichloroethane; MCF), carbon tet- CE-ill, -112, -13, -211, -212, rachloride (CTC), hydrochlorofluorocarbons -213, -214, -215, -216, -217 1.0 (HCFCs), and methyl bromide. The ozone deple- Halon 1211 3.0 tion potential (ODP) for these chemicals is shown Halon 1301 10.0 in Table 1. CFC-11 was assigned an ODP of 1.0; Halon 2402 6.0 all other chemicals have an ODP relative to that Carbon tetrachloride (CTC) 1.1 of CFC-11. An ODP higher than 1.0 means that 1,1 chloroa 0.1 the chemical has a greater ability than CFC-11 to HCFC-22 0.05 destroy the ozone layer; an ODP lower than 1.0 HCFC-123 0.02 means that the chemical's ability to destroy the HCFC-124 0.02 ozone layer is less than that of CFC-11. HCFC141b 0.15 In September 1987, the Montreal Protocol on HCFC-142b 0.06 Substances That Deplete the Ozone Layer (the HCFC-225ca Protocol) was signed by 25 nations and the Eu- HCFC-225cb 0.7 ropean Community. The Protocol was the first Methyl bromidet 250 Ozone-Depleting Substances: Alternatives 251 The principal provisions of the Montreal Pro- preinvestment studies, training and work- tocol as it now stands are as follows: shops, demonstration projects, investment * Production of CFCs, halons, methyl chloro- project design, and country programs. form, and CTC ceased at the end of 1995 in The United Nations Industrial Development Or- industrial countries and will cease by 2010 inimplements small and me- idustroil countries. Dwle sen byo2010ins dium-scale projects, feasibility studies at the developing countries. Developing countries. are defined in the Protocol as those that use plant level, technical assistance and training, less than 0.3 kilograms (kg) of ODS per capita and country programs. per year. They are often called Article 5 coun- Uses of ODSs tries in reference to the defining article in the Montreal Protocol. * HCFCs, originally developed as a less harm- in alDarest ful class of CFC alternatives, will be phased out by 2020 in industrial countries, with some e As propellants in aerosols (CFCs and HCFCs) provisions for servicing equipment to 2030. e In refrigeration, air conditioning, chillers, and Developing countries are to freeze consump- other cooling equipment (CFCs and HCFCs) tion by 2016 (base year 2015) and phase out - To extinguish fires (halons) use by 2040. - In the manufacture of foams (CFCs and * Consumption and production of methyl bro- HCFCs) mide will end in 2005 in industrial countries - As solvents for cleaning printed circuit boards (subject to phase-out stages and exemptions) and precision parts and degreasing metal parts and in 2015 in developing countries. (CFCs, HCFCs, methyl chloroform, and CTC) It was early recognized that undue hardships o In a variety of other areas, such as inks and might be experienced by industry in developing coatings and medical applications (CFCs, countries as they implemented replacement tech- nologies. Therefore, a fund was established un- * As a fumigant (methyl bromide). der the Montreal Protocol to pay for incremental costs such as technical expertise and new technolo- alte ichli P gies, processes, and equipment associated with the phase-out. The Multilateral Fund of the Montreal The f Protocol is managed by an executive committee oiwowiniso ODs ahbriefeover consisting of delegates from seven developing veofe arivs to ODSs tht havenbe countries and seven industrial countries. The fol- doe n ause tis ntinended lowing international organizations have been toe anexaive stin ofel alternatives but made Implementing Agencies of the Multilateral itdsu arize ome rveltentend Fund for the purpose of helping governments gie aniction of futureadevelopme tre and industries in developing countries with their the c tion of ny alternative s ould programs to eliminate ODSs. (The roles outlined withe cie here are not intended to be exhaustive.) afc h ia hie hereare ot ntened o beexhustie.)Identification, development, and commercial- * The World Bank assists developing coun- ization of alternatives to ODSs are going on con- tries with investment projects, country stantly. For this reason it is important to seek programs, workshops, training, and institu- information on the latest alternatives from the tional strengthening. World Bank's Global Environment Coordination * The United Nations Environment Programme Division. Technological updates are provided by (UNEP) has a clearinghouse function that in- the World Bank's Ozone Operations Resource cludes information exchange, country pro- Group, which is made up of experts in halons, grams, training, and workshops. solvents, aerosols, refrigerants, mobile air con- * The United Nations Development Programme ditioning, foam blowing, and chemical produc- (UNDP) is responsible for feasibility and tion. For any alternative, consideration needs to 252 PROJECT GUIDELINES: POLLUTANT CONTROL TECHNOLOGIES be given to, for example, its compatibility with Rigid polyurethanefor other appliances. Alterna- existing equipment, its health and safety aspects, tives include HCFC-141b, HCFC-22, blends of its direct global-warming potential, whether it in- -22 and HCFC-142b, pentane, and carbon diox- creases or decreases energy consumption, and the ide/water blowing. In the long term, the alter- costs that may be incurred in eventual conversion natives include HFCs. to a non-ODS technology if an interim HCFC al- ternative is chosen. New ways of doing business Rigid polyurethane used for boardstock and flex- may also develop in the course of review and se- ible-faced laminations. Alternatives include HCFC- lection of alternatives. For example, many elec- 141b and pentane; in the long term, the use of tronics companies have now converted their HFCs should be developed. manufacturing plants to "no-clean" technology. The benefits include elimination of circuit board Sandwich panels of rigid polyurethane. HCFC- cleaning after soldering, savings in chemical costs 141b, HCFC-22, blends of HCFC-22 and -141b, and waste disposal costs, savings in maintenance pentane, and HFC-134a are now used as altera- and energy consumption, improved product qual- tives to CFCs in this application. In the long term, ity, and advances toward new technologies such HFCs and carbon dioxide/water will be the re- as fluxless soldering. The selection of any alterna- placement technologies. tive should not be made in isolation from the fac- tors listed above. Spray applications of rigid polyurethane. Altera- tives currently in use for spray applications in- Flexible and Rigid Foams dude carbon dioxide/water and HCFC-141b. Long-term alternatives will be HFCs. Zero-ODP alternatives are the substitutes of choice in many foam-manufacturing applica- Slabstock of rigid polyurethane. Alternatives in- tions. However, the use of HCFCs is sometimes dude HCFC-141b; long-term alternatives include necessary in order to meet some product specifi- HFCs and carbon dioxide/water. Pentane may cations. The viability of liquid hydrofluorocarbon also be used. (HFC) isomers in this industry remains to be proved, and hydrocarbon alternatives need to be Rigid polyurethane pipe construction. CFCs in this better qualified, as well. The issues in these evalu- application are being replaced by carbon dioxide/ ations are safety (toxicity and flammability), en- water, HCFC-22, blends of HCFC-22 and -142b, vironmental impact (generation of volatile HCFC-141b, and pentanes. Long-term alternatives organic compounds and global warming), prod- will include HFCs and carbon dioxide/water. For uct performance (insulating properties, confor- district central heating pipes, pentane and carbon mity to fire codes, and the like), cost and dioxide/water are the preferred technologies. availability, and regulatory requirements. The next sections summarize the alternatives Polyurethane flexible slab. Many alternatives for specific products of the foam manufacturing now exist for flexible slab construction, includ- sector. Because of the complexity of the industry ing extended range polyols, carbon dioxide/ and the variety of products, the alternatives have water, softening agents, methylene chloride, been listed briefly as short-term and long-term acetone, increased density, HCFC-141b, pentane, options, without an elaboration of the merits of and other alternative technologies such as accel- each. Additional information is available in the erated cooling and variable pressure. The long 1995 UNEP Technical Options Report for this term will probably see the use of injected carbon sector. dioxide and alternative technologies. Rigid polyurethanefoams used in refrigerators and Moldedflexible polyurethane. The standard now freezers. Alternatives include hydrocarbons (pen- is carbon dioxide/water blowing. tane) and HCFC-141b; long-term alternatives in- dRude HFCs (-134a, -245, -356, -365). Vacuum Integral-skin polyurethane products. The current panels may be used in the future. alternatives for these products include HCFC-22, Ozone-Depleting Substances: Alternatives 253 hydrocarbons, carbon dioxide/water, HFC-134a, factory. Neither HC-600a nor HFC-134a is con- pentanes, and HCFC-141b. The long-term alter- sidered an alternative for retrofitting domestic nate is expected to be carbon dioxide/water. refrigeration appliances, but preliminary data indicate that a combination of the two may be a Phenolic foams. Phenolic foams can now be retrofit, or "servicing," candidate. made using HCFC-141b, hydrocarbons, injected carbon dioxide, or HFC-152a instead of CFCs. In Commercial refrigeration. Alternatives to CFCs for the long term, HFCs may be the predominant new commercial refrigeration equipment include alternative. HCFCs (including HCFC mixtures) and HFCs and HFC mixtures. Retrofit of existing equipment is Extruded polystyrene sheet. Alternatives cur- possible by using both HCFCs and HFCs, in con- rently include HCFC-22, hydrocarbons, injected junction with reduced charges and more efficient carbon dioxide, and HFC-152a. In the long term, compressors. Hydrocarbons are, to a small extent, these same alternatives (except for HCFC-22) will applied in hermetically sealed systems. be used, along with possible use of atmospheric gases. Cold storage andfood processing. Although there has been a return to the use of ammonia for some Extruded polystyrene boardstock. HCFC-22 and cold storage facilities, there are safety issues, and -142b and injected carbon dioxide are the current some regulatory jurisdictions restrict its use. Other alternatives. Long-term alternatives will be HFCs alternatives to CFCs in cold storage and large and injected carbon dioxide. commercial food preservation facilities include HCFC-22 and HFC blends. Hydrocarbons and Polyolefins. Polyolefins are now manufactured HCFC-22 will continue to be the favored alter- using alternatives such as hydrocarbons, HCFC- natives until equipment using other alternatives 22 and -142b, injected carbon dioxide, and HFC- is developed; ammonia will be used in selected 152a. Hydrocarbons and injected carbon dioxide applications. will be long-term alternatives. Industrial refrigeration. New industrial refrigera- Refrigeration, Air Conditioning, and Heat Pumps tion systems that are used by the chemical, petro- chemical, pharmaceutical, oil and gas, and Refrigeration technology has also been rapidly metallurgical industries, as well for industrial ice evolving. Immediate replacements for many ap- making and for sports and leisure facilities, can plications include hydrocarbons, HFCs, and use ammonia and hydrocarbons as the refriger- HCFCs. Some of these will also be candidates for ant. Although the product base concerned is small, long-term replacement of the currently used existing CFC equipment can be retrofitted to use CFCs. This section briefly describes the alterna- HCFC-22, HFCs and HFC blends, and hydro- tives that are available for specific refrigeration, carbons. air conditioning, and heat pump applications. Air conditioning and heat pumps (air-cooled sys- Domestic refrigeration. Two refrigerant alterna- tems). Equipment manufactured in this category tives are predominant for the manufacture of new generally uses HCFC-22 as the refrigerant. Al- domestic refrigerators. HFC-134a has no ozone ternatives under investigation include HFCs depletion potential and is nonflammable, but it and HCs (propane). The most promising of these has a high global-warming potential (GWP). HC- are the nonflammable, nontoxic HFC com- 600a is flammable, has a zero ODP, and has a pounds, although there is more interest in pro- GWP approaching zero. Other alternatives for pane in various regions. HCFs have been some applications include HFC-152a and binary criticized for their global warming potential, but and ternary blends of HCFCs and HFCs. Retro- their total equivalent warming impact (TEWI), fitting alternatives may include HCFC/HFC a measure that combines GWP and energy effi- blends, after CFCs are no longer available. How- ciency. is equal to or lower than that of the other ever, the results obtained so far are still not satis- alternatives. 254 PROJECT GUIDELINES: POLLUTANT CONTROL TECHNOLOGIES Air conditioning (water chillers). HCFC-22 has Electronics cleaning. Experience has confirmed been used in small chillers, and CFC-11 and -12 that for most uses in the electronics industry, have been used in large chillers that employ cen- ozone-depleting solvents can be replaced easily trifugal compressors. HFC blends are now be- and, often, economically. A wide choice of alter- ginning to be introduced to replace HCFC-22 in natives exists. If technical specifications do not small chillers; HCFC-123 and HFC-134a are the require postsolder cleaning, no-clean is the pre- preferred replacements for large units. Chillers ferred technology. If cleaning is required, the use that have used CFC-114 can be converted to use of water-soluble chemistry has generally proved HCFC-124 or can be replaced by HFC-134a to be reliable. Water-soluble chemistry is not, units. however, suitable for all applications. Transport refrigeration. HCFC-22 and CFC-502 Precision cleaning. Precision cleaning applica- have been the refrigerants of choice for transport tions are defined as requiring a high level of clean- refrigeration units, although some applications are liness in order to maintain low-clearance or using ammonia as the refrigerant. The alternatives high-reliability components in working order. To include various HnC blends. meet exacting specifications, the alternatives that have been developed include solvent and Automotive air conditioning. The manufacturers nonsolvent applications. Solvent options include of new automobiles have chosen HFC-134a as the alcohols, aliphatic hydrocarbons, HCFCs and their fluid for air conditioning units, and retrofit kits blends, and aqueous and seliaqueous cleaners. are now available to allow older automobiles to Nonsolvent options include supercritical fluid convert to this alternative. cleaning (SCF), ultraviolet (UV)/ozone cleaning, pressurized gases, and plasma cleaning. feat pumps (heating-only and heat recovery). New heating-only heat pumps use HCFC-22, Metal cleaning. Oils and greases, particulate and this is expected to continue. HFC-134a is matter, and inorganic particles are removed from an alternative for retrofitting existing heat metal parts prior to subsequent processing steps pumps, and investigation into the use of am- such as further machining, electroplating, paint- monia for large-capacity heat pumps is continu- ing. Alternatives to ozone-depleting solvents that ing. Other alternatives being explored include have been developed include solvent blends, propane, other hydrocarbons, and hydrocarbon aqueous cleaners, emulsion cleaners, mechani- blends. cal cleaning, thermal vacuum deoiling, and no- clean alternatives. Solvents, Coatings, Inks, and Adhesives Dry cleaning. Several solvents exist to replace the There now exist alternatives or sufficient quanti- ozone-depleting solvents that have traditionally ties of controlled substances for almost all appli- been used by the dry cleaning industry. Perchlo- cations of ozone-depleting solvents. Exceptions roethylene has been used for over 30 years. Petro- have been noted for certain laboratory and ana- leum solvents, while flammable, can be safely used lytical uses and for manufacture of space shuttle when appropriate safety precautions are taken. rocket motors. HCFCs have not been adopted on They include white spirit, Stoddard solvent, hy- a large scale as alternatives to CFC solvents. In drocarbon solvents, isoparaffins, and n-paraffin. the near term, however, they may be needed as A number of HCFCs can also be used but should transitional substances in some limited and be considered only as transitional alternatives. unique applications. The UNEP Solvents Tech- nical Options Committee does not recommend Adhesives. Methyl chloroform has been used HCFC-141b as a replacement for methyl chloro- extensively by the adhesives manufacturing in- form (1,1,1-trichoroethane) because its ODP is dustry because of its characteristics-it is nonflam- three times higher. Alternatives for specific uses mable and quick drying, and it does not contribute of ozone-depleting solvents are described in this to local air pollution-and its performance. One section. alternative for some applications is water-based Ozone-Depleting Substances: Alternatives 255 adhesives. Other alternatives include hot melt Halons adhesives; radiation-cured adhesives; high-solids adhesives; one-part epoxies, urethanes, and natu- Halon hand-held extinguishers (containing 1211). ral resins in powder form; moisture-cured adhe- These can be replaced, in most applications, by sives; and reactive liquids. multipurpose dry chemical extinguishers. Coatings and inks. Improvements have been Halon 1301 totalflood systems. New and existing made to water-based coatings, and these can be a alternatives are available for most halon 1301 to- substitute for ODS-based applications. Water- tal flood systems. These alternatives include zero- based coatings have been used in the following ODP halocarbons, inert gas mixtures, and new industries and manufacturing sectors: furniture, water-based technologies (e.g., water mist). The automotive electronics, aluminum siding, hard- use of HCFCs and hydrobromofluorocarbons board, metal containers, appliances, structural (HBFCs) as alternatives is not encouraged, and steel, and heavy equipment. Water-based inks are perfluorocarbons (PFCs) should not be used in- used successfully for flexographic and rotogravure discriminately. laminates. High-solids coatings are now used for appliances, metal furniture, and a variety of con- Nonmedical Inhalants, Aerosols, Sterilants, struction equipment. Powder coatings are used for and Carbon Tetrachloride Not Used as a Solvent underground pipes, appliances, and automobiles. Ultraviolet light/electron beam (UV/EB) cured Nonmedical aerosol products. A variety of alterna- coatings and inks have been in limited use over tives to CFCs are used in nonmedical aerosol the past 20 years, but their use is increasing. They applications. Alternatives include hydrocarbons are now used in flexographic inks and coatings, (HCs); dimethyl ether (DME); compressed gases wood furniture and cabinets, and automotive such as carbon dioxide, nitrogen, and air; HCFC- applications. 142b and -22; HFC-134a -152a, and -227ea; and nonaerosol delivery means such as pump sprays, Aerosol solvent products. Methyl chloroform is solid sticks, roll-ons, brushes, and the like. Be- most often the solvent in aerosol applications, but cause hydrocarbons, DME, and HFC-152a are some CFC-113 has also been used. Most of these flammable, there may be products in which they applications can now be reformulated to avoid the cannot be used. In a manufacturing plant where use of ozone-depleting chemicals. With the excep- they are used for aerosol products, appropriate tion of water, methylene chloride, and some safety precautions will be required. HCFCs and non-ozone-depleting chlorinated sol- vents such as trichloroethylene and perchloroeth- Inhalant drug products. Some medical aerosol ylene, all of the alternatives to aerosol-applied products such as nasal preparations, local anes- solvents are more flammable than the solvents thetics, and antibiotics can be reformulated they replace. Alternative means of delivering the through the use of alternative propellants, me- solvent can be considered. chanical pumps, and soon. However, finding suit- able alternatives to the CFCs in metered dose Other solvent uses of CFC-113, methyl chloroform, inhalers (MDIs) used by asthma sufferers has been and carbon tetrachloride. Specialized applications of a challenge. Alternatives that have been developed ozone-depleting solvents include drying of com- and proven to date include dry powder inhalers ponents, film cleaning, fabric protection, manu- and HFC-134a and -227. facture of solid-fuel rockets, laboratory testing and analysis, process solvents, and semiconductor Sterilants. A gas mixture of 88% CFC-12 and 12% manufacture. Some of these applications have ethylene oxide (EO) has been used by the medical been granted an exemption under the Montreal community to sterilize equipment and parts. Re- Protocol, but it is the consensus of the experts on placement alternatives include steam sterilization; the UNEP Solvents Technical Options Committee 100% EO; blends of carbon dioxide (10%) and EO that alternatives will be developed for all these (90%); formaldehyde; HCFC-124 (91.4%) and EO specialized uses. (8.6%); and other means such as gas plasma, cilo- 256 PROJECT GUIDELINES: POLLUTANT CONTROL TECHNOLOGIES rine dioxide, ozone, and radiation. Ethylene ox- Structural. Chemical alternatives include sulfuryl ide is toxic, mutagenic, flammable, and explosive fluoride and phosphine, as well as contact insec- and is a suspected carcinogen. Its use must there- ticides and rodenticides. Nonchemical alterna- fore be carefully controlled. tives are the same as for commodity fumigation. Carbon tetrachloride (nonsolvent uses). Carbon Progress in Eliminating Ozone-Depleting tetrachloride (CTC) has been used as a feedstock Substances for the production of CFC-11 and -12. This appli- cation will cease with the closing of CFC produc- Significant progress has been made in eliminat- tion operations. CTC is also used as a feedstock ing ozone-depleting substances since the entry and processing agent for some pharmaceuticals into force of the Montreal Protocol in late 1987. and agricultural chemicals and in the production For example, in the aerosol industry, the use of of chlorinated rubber. The establishment of an al- ODSs has been reduced from 300,000 metric tons ternative for each application will be found only (t) globally in 1986 to 180,000 t in 1989 to, it is through product-specific research. estimated, less than 80,000 t in 1992. In the re- frigeration sector, use of CFC refrigerants in in- Methyl Bromide dustrial countries dropped from 862,000 tin 1986 to 302,000 t in 1993. Globally, CFC refrigerant use Methyl bromide is used primarily as a fumigant. decreased from 1,133,000 t in 1986 to 643,000 t in Only 3.2% of the global sale of more than 75,000 1992. To help in managing the phase-out of CDS tons in 1992 was for nonfumigant purposes, as a refrigerants, a service industry has been estab- feedstock for chemical synthesis. The greatest lished in most countries that captures and pun- part was used to treat soil, to fumigate durables fies ODSs during the servicing of equipment. The and perishables, and to fumigate structures and removed ODSs are then used to service the on- transport equipment. From a conservation per- going needs of ODS-containing refrigeration and spective, technology exists to control the release cooling equipment until it has reached the end of methyl bromide when treating soil and of its useful life. In the fire protection sector, the crops. Molecular sieves are shown to capture focus has been on establishing halon banks to the methyl bromide that otherwise would have recondition and store halon that has been re- been lost to the atmosphere after batch fumi- moved from service and to make it available for gation and to regenerate the methyl bromide maintaining other installations that require con- for use in subsequent batches. Alternatives to tinued use of halon until suitable replacements methyl bromide in each application area de- are developed. The foam plastics industry has scribed below. progressed from a global CFC use of 267,000 t in 1986 to 133,000 t in 1993-a reduction of 50%, in Soil. Chemical alternatives include 1,3- spite of a 45% increase in the size of the industry dichloropropene, dazomet, chloropicrin, metam during the same period. The phase-out of ozone- sodium, and selective contact insecticides and depleting solvents is well advanced in industrial herbicides. Nonchemical alternatives include countries, and users are drawing on stockpiled crop rotation, organic amendments, steam, solar solvents. In developing countries, CFC-113 use heating, biological control agents, cultural prac- has been largely halted, and production facilities tices, and plant breeding. are shutting down. The use of methyl chloroform is no longer increasing in these countries. Coun- Commodities. Chemical alternatives for crop tries such as Malaysia, Thailand, and Turkey have fumigation include phosphine and carbonyl sul- dramatically reduced solvent use. fide, as well as insecticides and rodenticides. It is important to note that the commercial sup- Nonchemical alternatives include irradiation, ply chain has had a role to play in the speed of controlled atmospheres utilizing nitrogen and phase-out of ODSs. In many instances, custom- carbon dioxide, and heat and cold. ers have asked their suppliers to implement a Ozone-Depleting Substances: Alternatives 257 phase-out program. These requests may originate to improve their environmental performance. because of labeling and tax legislation such as Manufacturers also understand that the dwin- that implemented by the United States or because dling supply of ODSs causes price increases that the customer has an environmental policy in will eventually make those products more expen- place that commits it to encourage its suppliers sive and less competitive. Sulfur Oxides: Pollution Prevention and Control Traditionally, measures designed to reduce local- removal of sulfur in the feed; use of appropriate ized ground-level concentrations of sulfur oxides combustion technologies; and emissions control (SO) used high-level dispersion. Although these technologies such as sorbent injection and flue measures reduced localized health impacts, it is gas desulfurization (FGD). now realized that sulfur compounds travel long distances in the upper atmosphere and can cause Choice of Fuel damage far from the original source. Therefore the objective must be to reduce total emissions. Since sulfur emissions are proportional to the The extent to which SOx emissions harm hu- sulfur content of the fuel, an effective means of man health depends primarily on ground-level reducing SOx emissions is to burn low-sulfur fuel ambient concentrations, the number of people such as natural gas, low-sulfur oil, or low-sulfur exposed, and the duration of exposure. Source coal. Natural gas has the added advantage of location can affect these parameters; thus, plant emitting no particulate matter when burned. siting is a critical factor in any SOx management strategy. Fuel Cleaning The human health impacts of concern are short-term exposure to sulfur dioxide (SO2) con- The most significant option for reducing the sul- centrations above 1,000 micrograms per cubic fur content of fuel is called beneficiation. Up to meter, measured as a 10-minute average. Prior- 70% of the sulfur in high-sulfur coal is in pyritic ity therefore must be given to limiting exposures or mineral sulfate form, not chemically bonded to peak concentrations. Industrial sources of sul- to the coal. Coal beneficiation can remove 50% fur oxides should have emergency management of pyritic sulfur and 20-30% of total sulfur. (It is plans that can be implemented when concentra- not effective in removing organic sulfur.) tions reach predetermined levels. Emergency Beneficiation also removes ash responsible for management plans may include actions such as particulate emissions. This approach may in some using alternative low-sulfur fuels. cases be cost-effective in controlling emissions of Traditionally, ground-level ambient concentra- sulfur oxides, but it may generate large quanti- tions of sulfur dioxide were reduced by emitting ties of solid waste and acid wastewaters that must gases through tall stacks. Since this method does be properly treated and disposed of. not address the problem of long-range transport Sulfur in oil can be removed through chemi- and deposition of sulfur and merely disperses the cal desulfurization processes, but this is not a pollutant, reliance on this strategy is no longer widely used commercial technology outside the recommended. Stack height should be designed in petroleum industry. accordance with good engineering practice (see, for example, United States, 40 CFR, Part 50, 100(i). Selection of Technology and Modifications Approaches for Limiting Emissions Processes using fluidized-bed combustion (FB reduce air emissions of sulfur oxides. A lime or The principal approaches to controlling SOr emis- dolomite bed in the combustion chamber absorbs sions include use of low-sulfur fuel; reduction or the sulfur oxides that are generated. 258 Sulfur Oxides: Pollution Prevention and Control 259 Emissions Control Technologies Table 1. Comparison of SO. Emissions Control Systems The two major emissions control methods are Percent SO, Capital cost sorbent injection and flue gas desulfurization: System reduction ($1kilowatt) * Sorbent injection involves adding an alkali com- Sorbent injection 30-70 50-100 pound to the coal combustion gases for reac- Dry flue gas desulfurization 70-90 80-170 tion with the sulfur dioxide. Typical calcium Wet flue gas sulfurization >90 80-150 sorbents include lime and variants of lime. Sodium-based compounds are also used. Sor- Source: Kataoka 1992. bent injection processes remove 30-60% of sulfur oxide emissions. surrogate monitoring. Continuous stack monitor- * Flue gas desulfurization may be carried out us- i ing either of two basic FGD systems: regener- mg (S)ines ophisatd eupmnth able and throwaway. Both methods may reiSptaed o s andfref b ain include wet or dry processes. Currently, more nas sampl in is pefred in g thanwe Surrogate monitoring uses operating parameters throwaway system process. such as fuel sulfur content. Throwaway systems use inexpensive scrub- bing mediums that are cheaper to replace than Recommendations to regenerate. Regenerable systems use expen- sive sorbents that are recovered by stripping sul- The traditional method of SQ dispersion through fur oxides from the scrubbing medium. These high stacks is not recommended, since it does not produce useful by-products, including sulfur, reduce total SO, loads in the environment. Natu- sulfuric acid, and gypsum. Regenerable FGDs ral gas is the preferred fuel in areas where it is generally have higher capital costs than throw- readily available and economical to use. Meth- away systems but lower waste disposal require- ods of reducing SO, generation, such as fuel ments and costs. cleaning systems and combustion modifications, In wet FGD processes, flue gases are scrubbed should be examined. Implementation of these in a liquid or liquid/solid slurry of lime or lime- methods may avoid the need for FGD systems. stone. Wet processes are highly efficient and can Where possible and commercially feasible, pref- achieve SO, removal of 90% or more. With dry erence should be given to dry S0, removal sys- scrubbing, solid sorbents capture the sulfur ox- tems over wet systems. ides. Dry systems have 70-90% sulfur oxide re- moval efficiencies and often have lower capital References and Sources and operating costs, lower energy and water re- quirements, and lower maintenance require- Cooper, C. David, and F. C. Alley 1986. Air Pollution ments, in addition to which there is no need to Control: A Design Approach. Prospect Heights, Ill.: handle sludge. However, the economics of the Waveland Press. wet and dry (including "semidry" spray ab- sorber) FGD processes vary considerably from GodishTd. site to site. Wet processes are available for pro- ducing gypsum as a by product. Kataoka, S. 1992. "Coal Burning Plant and Emission Table 1 compares removal efficiencies and Control Technologies." Technical Note. World Bank, capital costs of systems for controlling SO, emis- China Country Department, Washington, D.C. sions. Stern, C., R. Boubel, D. Turner, and D. Fox. 1984. Fun- damentals of Air Pollution. Orlando, Fla: Academic Monitoring Press. Stultz, S. C., and John B. Kitto, eds. 1992. Steam: Its The three types of SO, monitoring systems are Generation and Use. 40th ed. Barberton, Ohio: The continuous stack monitoring, spot sampling, and Babcock & Wilcox Co. 260 PROJECT GUIDELINES: POLLUTANT CONTROL TECHNOLOGIES United States. CFR (Code ofFederal Regulations). Wash- World Bank. 1992. "Steam Coal for Power and Indus- ington, D.C.: Government Printing Office. try, Issues and Scenarios." Energy Series Working Paper No. 58. Industry and Energy Department. Vatavuk, W. 1990. Estimating Costs ofAir Pollution Con- Washington, D.C. trol. Chelsea, Mich.: Lewis Publishers. Aluminum Manufacturing Industry Description and Practices tion, drying, and so on is designed to remove undesirable substances that affect both alumi- The production of aluminum begins with the num quality and air emissions. The prevailing mining and beneficiation of bauxite. At the mine process for secondary aluminum production is (usually of the surface type), bauxite ore is re- smelting in rotary kilns under a salt cover. Salt moved to a crusher. The crushed ore is then slag can be processed and reutilized. Other pro- screened and stockpiled, ready for delivery to an cesses (smelting in induction furnaces and hearth alumina plant. In some cases, ore is upgraded by furnaces) need no or substantially less salt and beneficiation (washing, size classification, and are associated with lower energy demand, but separation of liquids and solids) to remove un- they are only suitable for high-grade scrap. De- wanted materials such as clay and silica. pending on the desired application, additional At the alumina plant, the bauxite ore is fur- refining may be necessary. For deragging (re- ther crushed or ground to the correct particle size moval of magnesium from the melt), hazardous for efficient extraction of the alumina through di- substances such as chlorine and hexachloroet- gestion by hot sodium hydroxide liquor. After hane are often used, which may produce dioxins removal of "red mud" (the insoluble part of the and dibenzofurans. Other, less hazardous meth- bauxite) and fine solids from the process liquor, ods, such as adding chlorine salts, are available. aluminum trihydrate crystals are precipitated Because it is difficult to remove alloying elements and calcined in rotary kilns or fluidized bed such as copper and zinc from an aluminum melt, calciners to produce alumina (A1203). Some alu- separate collection and separate reutilization of mina processes include a liquor purification different grades of aluminum scrap are necessary. step. It should be noted that secondary aluminum pro- Primary aluminum is produced by the elec- duction uses substantially less energy than pri- trolytic reduction of the alumina. The alumina is mary production-less than 10-20 gigajoules per dissolved in a molten bath of fluoride compounds metric ton (Gj/t) of aluminum produced, com- (the electrolyte), and an electric current is passed pared with 164 Gj/t for primary production through the bath, causing the alumina to disso- (mine to aluminum metal). ciate to form liquid aluminum and oxygen. The oxygen reacts with carbon in the electrode to pro- Waste Characteristics duce carbon dioxide and carbon monoxide. Mol- ten aluminum collects in the bottom of the At the bauxite production facilities, dust is emit- individual cells or pots and is removed under ted to the atmosphere from dryers and materi- vacuum into tapping crucibles. There are two als-handling equipment, through vehicular prominent technologies for aluminum smelting: movement, and from blasting. Although the dust prebake and Soderberg. This document focuses is not hazardous, it can be a nuisance if contain- on the prebake technology, with its associated ment systems are not in place, especially on the reduced air emissions and energy efficiencies. dryers and handling equipment. Other air emis- Raw materials for secondary aluminum pro- sions could include nitrogen oxides (NO.), sul- duction are scrap, chips, and dross. Pretreatment fur dioxide (SO,), and other products of of scrap by shredding, sieving, magnetic separa- combustion from the bauxite dryers. 261 262 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Ore washing and beneficiation may yield pro- warming. Emissions numbers that have been re- cess wastewaters containing suspended solids. ported for uncontrolled gases from smelters are Runoff from precipitation may also contain sus- 20-80 kilograms per ton of product (kg/t) for pended solids. particulates, 6-12 kg/t for hydrogen fluoride, and At the alumina plant, air emissions can in- 6-10 kg/t for fluoride particulates. Correspond- clude bauxite dust from handling and process- ing concentrations are 200-800 milligrams per ing; limestone dust from limestone handling, cubic meter (Mg/3); 60-120 Mg/M3; and 60-100 burnt lime dust from conveyors and bins, alu- Mg/M3. These values are for a prebaked-technol- mina dust from materials handling, red mud ogy plant built in 1983. dust and sodium salts from red mud stacks (im- An aluminum smelter produces 40-60 kg of poundments), caustic aerosols from cooling tow- mixed solid wastes per ton of product, with spent ers, and products of combustion such as sulfur cathodes (spent pot and cell linings) being the dioxide and nitrogen oxides from boilers, major fraction. The linings consist of 50% refrac- calciners, mobile equipment, and kilns. The tory material and 50% carbon. Over the useful calciners may also emit alumina dust and the life of the linings, the carbon becomes impreg- kilns, burnt lime dust. nated with aluminum and silicon oxides (aver- Although alumina plants do not normally dis- aging 16% of the carbon lining), fluorides (34% charge effluents, heavy rainfalls can result in sur- of the lining), and cyanide compounds (about 400 face runoff that exceeds what the plant can use parts per million). Contaminant levels in the re- in the process. The excess may require treatment. fractories portion of linings that have failed are gen- The main solid waste from the alumina plant erally low. Other by-products for disposal include is red mud (as much as 2 tons of mud per ton of skim, dross, fluxing slags, and road sweepings. alumina produced), which contains oxides of alu- Atmospheric emissions from secondary alu- mina, silicon, iron, titanium, sodium, calcium, minum melting include hydrogen chloride and and other elements. The pH is 10-12. Disposal is fluorine compounds. Deragging may lead to to an impoundment. emissions of chlorine, hexachloroethane, chlori- Hazardous wastes from the alumina plant in- nated benzenes, and dioxins and furans. Chlori- clude spent sulfuric acid from descaling in tanks nated compounds may also result from the and pipes. Salt cake may be produced from li- melting of aluminum scrap that is coated with quor purification if this is practiced. plastic. Salt slag processing emits hydrogen and In the aluminum smelter, air emissions include methane. Solid wastes from the production of alumina dust from handling facilities; coke dust secondary aluminum include particulates, pot from coke handling; gaseous and particulate fluo- lining refractory material, and salt slag. Particu- rides; sulfur and carbon dioxides and various late emissions, possibly containing heavy met- dusts from the electrolytic reduction cells; gas- als, are also associated with secondary aluminum eous and particulate fluorides; sulfur dioxide; tar production. vapor and carbon particulates from the baking furnace; coke dust, tars, and polynuclear aro- Pollution Prevention and Control matic hydrocarbons (PAHs) from the green car- bon and anode-forming plant; carbon dust from Pollution prevention is always preferred to the the rodding room; and fluxing emissions and car- use of end-of-pipe pollution control facilities. bon oxides from smelting, anode production, Therefore every attempt should be made to in- casting, and finishing. The electrolytic reduction corporate cleaner production processes and fa- cells (pot line) are the major source of the air emis- cilities to limit, at source, the quantity of sions, with the gaseous and particulate fluorides pollutants generated. being of prime concern. The anode effect associ- In the bauxite mine, where beneficiation and ated with electrolysis also results in emissions of ore washing are practiced, a tailings slurry of 7- carbon tetrafluoride (CF4) and carbon hexafluo- 9% solids is produced for disposal. The preferred ride (C2F,), which are greenhouse gases, of con- technology is to concentrate these tailings and cern because of their potential for global dispose of them in the mined-out area. A con- Aluminum Manufacturing 263 centration of 25-30% can be achieved through greases, and the like from raw feed materials be- gravity settling in a tailings pond. The tailings fore they enter the melt process. can be further concentrated, using a thickener, to 30-50%, yielding a substantially volume- Target Pollution Loads reduced slurry. The alumina plant discharges red mud in a Experience in Europe has shown that red mud slurry of 25-30% solids, and this also presents an produced at the alumina plant can be reduced opportunity to reduce disposal volumes. Today's from 2 t/t alumina to about It /t alumina through technology, in the form of high-efficiency deep implementation of good industrial practices. thickeners, and large-diameter conventional thickeners, can produce a mud of 50-60% solids Treatment Technologies concentration. The lime used in the process forms insoluble solids that leave the plant along with At bauxite facilities, the major sources of dust the red mud. These lime-based solids can be mini- emissions are the dryers, and emissions are con- mized by recycling the lime used as a filtering trolled with electrostatic precipitators (ESPs) or aid to digestion to displace the fresh lime that is baghouse dust collectors. Removal efficiencies of normally added at this point. Finally, effluent 99% are achievable. Dust from conveyors and volume from the alumina plant can be minimized material transfer points is controlled by hoods or eliminated by good design and operating prac- and enclosures. Dust from truck movement can tices: reducing the water added to the process, be minimized by treating road surfaces and by segregating condensates and recycling to the pro- ensuring that vehicles do not drop material as cess, and using rainwater in the process. they travel. Dusting from stockpiled material can Using the prebake technology rather than the be minimized by the use of water sprays or by Soderberg technology for aluminum smelting is enclosure in a building. a significant pollution prevention measure. In the At the alumina plant, pollution control for the smelter, computer controls and point feeding of various production and service areas is imple- aluminum oxide to the centerline of the cell help mented as follows: reduce emissions, including emissions of organic * Bauxite and limestone handling and storage: dust fluorides such as CF4, which can be held at less than 0.1 kg/t aluminum. Energy consumption is emissions are controlled by typically 14 megawatt hours per ton (MWh/t)baghouse systems. Kiln fuels can be selected aluminum, with prebake technology. (Soderberg to reduce SO, emissions; however, this is not technology uses 17.5 MWh/t.) Gas collection ef- normally a problem, since most of the sulfur ficiencies for the prebake process is better than dioxide that is formed is absorbed in the kiln. for the Soderberg process: 98% vs. 90%. Dry * Calciners: alumina dust losses are controlled scrubber systems using aluminum oxide as the by ESPs; SO, and NO, emissions are reduced adsorbent for the cell gas permits the recycling to acceptable levels by contact with the alu- of fluorides. The use of low-sulfur tars for bak- ing anodes helps control SO2 emissions. Spent pot - mut linings are removed after they fail, typically be- cause of cracking or heaving of the lining. The ust be le ti er spcayprior to age of the pot linings can vary from 3 to 10 years. mud stack may be required to prevent fine By improving the life of the lining through bet- dust from being blown off the stack. Longer- ter construction and operating techniques, dis- charge of pollutants can be reduced. Note that matmn of the mud maincerca part of the pot lining carbon can be recycled when mith md n ti on cveing the pots are relined. Emissions of organic compounds from second- In the smelter, primary emissions from the ary aluminum production can be reduced by reduction cells are controlled by collection and thoroughly removing coatings, paint, oils, treatment using dry sorbent injection; fabric fil- 264 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES ters or electrostatic precipitators are used for annualized basis): hydrogen fluoride, 0.2-0.4 controlling particulate matter. Primary emis- kg/t; total fluoride, 0.3-0.6 kg/t; particulates, sions comprise 97.5% of total cell emissions; the 1 kg/t; sulfur dioxide, 1 kg/t; and nitrogen ox- balance consists of secondary emissions that ides, 0.5 kg/t. CF4emissions should be less than escape into the potroom and leave the build- 0.1 kg/t. ing through roof ventilators. Wet scrubbing of For secondary aluminum production, the the primary emissions can also be used, but principal treatment technology downstream of large volumes of toxic waste liquors will need the melting furnace is dry sorbent injection us- to be treated or disposed of. Secondary emis- ing lime, followed by fabric filters. Waste gases sions result from the periodic replacement of from salt slag processing should be filtered as anodes and other operations; the fumes escape well. Waste gases from aluminum scrap pretreat- when the cell hood panels have been tempo- ment that contain organic compounds of concern rarily removed. While wet scrubbing can be may be treated by postcombustion. used to control the release of secondary fumes, the high-volume, low-concentration gases of- Emissions Guidelines fer low scrubbing efficiencies, have high capi- tal and operating costs, and produce large Emissions levels for the design and operation of volumes of liquid effluents for treatment. Wet each roject must be established through the en- scrubbing is seldom used for secondary fumepg scrubin is eldm ued fr scondry ume vironmental assessment (EA) process on the ba- control in the prebake process. sis of country legislation and the Pollution Prevention When anodes are baked on site, the dry scrub- and Abatement Handbook, as applied to local con- bing system using aluminum oxide as the adsor- ditions. The emissions levels selected must be bent is used. It has the advantage of being free of justified in the EA and acceptable to the World waste products, and all enriched alumina and Bank Grou absorbed material are recycled directly to the re- The duction cells. Dry scrubbing may be combined levels normally acceptable to the World Bank with incineration for controlling emissions of tar Group in making decisions regarding provision and volatile organic compounds (VOCs) and to of World Bank Group assistance. Any deviations recover energy. Wet scrubbing can also be used from these levels must be described in the World but is not recommended, since a liquid effluent, high in fluorides and hydrocarbons, will require sions levels given here can be consistently treatment and disposal. achieved by well-designed, well-operated, and Dry scrubber systems applied to the pot fumes well-maintained pollution control systems. The and to the anode baking furnace result in the cap- guidelines are expressed as concentrations to fa- ture of 97% of all fluorides from the process. cilitate monitoring. Dilution of air emissions or ef- The aluminum smelter solid wastes, in the form of spent pot lining, are disposed of in engi- All of the maximum levels should be achieved neered landfills that feature clay or synthetic lin- for at least 95% of the time that the plant or unit ing of disposal pits, provision of soil layers for is o covering and sealing, and control and treatment perating o ul a r of any leachate. Treatment processes are avail- able to reduce hazards associated with spent pot lining prior to disposal of the lining in a landfill. Other solid wastes such as bath skimmings are sold for recycling, while spalled refractories and The air emissions levels presented in Table 1 other chemically stable materials are disposed of should be achieved. in landfill sites. Modern smelters using good industrial prac- Liquid Effluents tices are able to achieve the following in terms of pollutant loads (all values are expressed on an If there is a process effluent from the aluminum Aluminum Manufacturing 265 Table 1. Air Emissions from Aluminum Smelting Monitoring and Reporting (milligrams per normal cubic meter) Parameter Maximum value Frequent sampling may be required during start- up and upset conditions. Once a record of con- Particulate matter 30 sistent performance has been established, Hydrogen fluoride 1 sampling for the parameters listed in this docu- Total fluoride 2 ment should be as described below. VOCs 20 Air emissions should be monitored regularly for particulate matter and fluorides. Hydrocar- Table 2. Liquid Effluents from Aluminum bon emissions should be monitored annually on Smelting the anode plant and baking furnaces. (milligrams per liter, except pH and temperature) Liquid effluents should be monitored weekly ParaeterMaxium vluefor pH, total suspended solids, fluoride, and alu- Parameter Maximum valueminum and at least monthly for other para- pH 6-9 meters. TSS 50 Monitoring data should be analyzed and re- Fluoride 20 viewed at regular intervals and compared with Aluminum 0.2 the operating standards so that any necessary COD 150 corrective actions can be taken. Records of moni- Hydrocarbons 5 toring results should be kept in an acceptable Temperature increase <31C format. The results should be reported to the Note: Effluent requirements are for direct discharge to surface responsible authorities and relevant parties, as waters. required. a. The effluent should result in a temperature increase of no more than 31C at the edge of the zone where initial mixing and Keyssues dilution take place. Where the zone is not defined, use 100 meters from the point of discharge. The key production and control practices that will lead to compliance with emissions requirements smelter, the effluent emissions levels presented are summarized here. in Table 2 should be achieved. Bauxite Production Ambient Noise a Concentrate bauxite tailings prior to disposal. Nois abtemnt masues houd aciev eiher * Control dust emissions at the bauxite mine and Noise abatement measures should achieve either inteau na atbusn EPad the levels given below or a maximum increase n iy g background levels of 3 decibels (measured on the baghouses. A scale) [dB(A)]. Measurements are to be taken Alumina Plant at noise receptors located outside the project Thicken and concentrate red mud in the alu- property boundary. mina plant, using high-efficiency thickeners, Maximum allowable log and then dispose of it in engineered and man- equivalent (hourly aged stacks. measurements), in dB(A) Primary Aluminum Smelting Day Night Receptor (07:00-22:00) (22:00-07:00) - Give preference to the prebake process for Residential, smelting. institutional, * Use computers to control the bath and limit educational 55 45 anode effects. Industrial, * Incinerate baking furnace gases for energy re- commercial 70 70 covery. 266 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES * Use dry scrubber systems with aluminum ox- Sources ide absorbent for control of emissions from reduction cells and from anode bake ovens. Bounicore, Anthony J., and Wayne T. Davis, eds. 1992. * Maximize the reuse of spent pot linings. Air Pollution Engineering Manual. New York: Van * Dispose of nonreusable spent pot linings in Nostrand Reinhold. engineered landfills. Paris Commission. 1992. "Industrial Sectors: BestAvail- able Technology-Primary Aluminium Industry." Secondary Aluminum Production World Bank. 1995. "Industrial Pollution Prevention and Abatement: Aluminum Smelting." Draft Technical * Take advantage of processes for reusing salt Background Document. Environment Department, slag. Washington, D.C. Base Metal and Iron Ore Mining Industry Description and Practices mg/i; zinc levels up to 1,700 mg/i; and cadmium levels of several milligrams per liter, depending This document addresses the mining of ores of on the contents of the ore. Effluent from tailings base metals (copper, lead, nickel, and zinc) and ponds may contain concentrations of chromium of iron. The documents on Aluminum and on of several milligrams per liter. Base metal mining Coal Mining and Production also deal with min- tailings decant may contain high concentrations ing activities. of thiosalts. Chemicals used in flotation and other The major phases in mine development are (a) metal concentration processes could create toxic- exploration; (b) mine development; c) extraction ity problems when released in effluents. (underground and open pit) and mine operation; Surface runoffs may also pose significant en- (d) ore beneficiation; (e) storage and transport of vironmental problems through erosion and ore; and (f) mine closure and reclamation. This carryover of tailings and other mining residues. document focuses on the development, opera- Explosives such as ammonium nitrate may be tion, and closure phases. present in surface runoff. Transport of mined material and machinery maintenance and repair Waste Characteristics can lead to contamination of surface water. Significant levels of dust, above 3 kilograms The volume of solid waste generated, including per ton (kg/t) of ore mined, and ranging from tailings from processing, is one of the main pol- 0.003 to 27 kg/t, may be generated by extraction lution concerns in the mining industry. Removal activities, crushing, ore beneficiation, transport of overburden to access the ore can pose major and traffic, and wind-borne losses. Significant problems in storage and reclamation. The over- releases of dust containing metals, including burden (waste-to-ore) ratio for surface mining of mercury, may result from the drying of the ore metal ores generally ranges from 2:1 to 8:1, de- concentrate. Fires may result from the oxidation pending on local conditions. The ratio for solid of sulfide-bearing materials and can present a wastes from underground mining is typically significant hazard. 0.2:1. Where concentration or other processing of the ore is done on site, the tailings generated also Pollution Prevention and Control have to be managed. Ores with a low metal con- tent, say, less than 0.4%, generate significant The critical factors in good environmental per- quantities of tailings. formance in mining are adequate planning and In certain mines where ores have high sulfur effective management and implementation. Re- content, drainage from mine workings and waste sponsibilities for the implementation and moni- heaps can become highly acidic and can contain toring of environmental measures should be high concentrations of dissolved heavy metals. specifically assigned. Before mining begins, a This acid mine drainage (AMD) can have a pH of mining plan and a mine closure and reclamation 3 or lower; sulfate levels of 800-1,800 milligrams plan must be prepared and approved. These per liter (mg/1); copper levels up to 50 mg/l; iron plans should be updated regularly as mining levels up to 1,000 mg/l; lead levels up to 12 progresses. 267 268 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Development Plans Tailings Disposal Development plans define the sequence and na- Tailings must be managed to optimize human ture of extraction operations and detail the meth- safety and environmental protection. On-land ods to be used in closure and restoration. At a tailings impoundment systems must be designed minimum, the plans must address the following: and constructed in accordance with internation- * Removal, proper storage, and management of ally recognized engineering practices, local seis- topsoil mic conditions, and precipitation conditions (to * Early restoration of worked-out areas and of accommodate surface run-on). The designs spoil heaps to minimize the extent of open should address the structural integrity of the tail- areas ings dams or deposits even post-closure. On-land * Identification of potential areas for AMD gen- disposal systems should be designed to isolate eration, followed by planning for successive acid leachate-generating material from oxidation remediation of pyrites to reduce AMD genera- and percolating water. Marine and riverine dis- tion charges are normally not acceptable and should * A water management plan focusing on the ef- be considered only when on-land disposal would fective use of mine water for operations (with pose an environmental risk and it can be demon- recirculation of process water) and for strated that such discharges will not have a sig- postclosure nificant adverse effect on downstream coastal or * Extraction methods in relation to subsidence riverne resources Riverine discharges are ac- and to surface use ceptable only when justified on the basis of an * Development of restoration and vegetation environmental analysis of the alternatives and the methods that are appropriate to the specific effects on aquatic resources and downstream us- site conditions ers of riverine resources. * Blasting methods that minimize noise and vi- The design of the tailings management system brations. must address postclosure issues such as the long- term geotechnical stability of the impoundment, The development plan normally contains spe- the chemical stability of the tailings, long-term cific sections dealing with erosion and sediment surface and groundwater management (includ- control, tailings disposal, mine closure and site ing provisions for long-term spillway capacity restoration, and operating measures. These are requirements), and restoration. discussed next. Mine Closure and Restoration Plan Erosion and Sediment Control An erosion and sediment control plan should be The closure and restoration plan should cover prepared. It should include measures or meth- reclamation of tailings deposits, waste rock de- ods, appropriate to the situation, for intercept- posits, any open pit areas, sedimentation basins, ing, diverting, or otherwise reducing stormwater and abandoned mine, mill, and camp sites. runoff from exposed soil surfaces, tailings dams, Mine reclamation plans should incorporate the and waste rock dumps. Both vegetative and following. nonvegetative soil stabilization measures should - Return of the land to conditions capable of be an integral part of the erosion control plan. supporting prior land use, equivalent uses, or Sediment control structures (for example, deten- other acceptable uses tion and retention basins) should be provided to 9 Elimination of significant adverse effects on intercept and treat surface runoff prior to dis- adjacent water resources charge. All erosion control and sediment contain- 9 Use of waste rock for backfill and of topsoil ment facilities must receive proper maintenance (or other acceptable materials) for reclamation during the life of the project. to the extent feasible Base Metal and Iron Ore Mining 269 * Contouring of slopes to minimize erosion and the concentration process to minimize con- runoff taminated discharges to the extent feasible * Planting of native species of vegetation and of Collection of leachates from tailings ponds and other species that are environmentally accept- treatment before discharge, with sufficient resi- able, to prevent erosion and to encourage self- dence time in the tailings pond to ensure sustaining development of a productive thiosalt oxidation; provision of buffer capac- ecosystem on the reclaimed land ity for the rainy season * Postclosure management of AMD and tailings; Use of ditches to divert surface runoff from reduction of AMD formation by sealing off tailing ponds pyrite-containing waste from oxidation and Use of dust suppression measures (wetting percolating water work areas, roads, and storage piles; install- * Budget and schedule for pre- and postclosure ing equipment covers; minimizing drop dis- reclamation activities. tances by using adjustable height conveyors; * Sealing or securing of all shaft openings and and using dust hoods and shields) mine adits on closure of the mine. * Collection and recycling of waste oils and Money should be reserved over the life of the lubricants mine to cover the costs associated with mine clo- * Prevention of spills of chemicals (including sure. The amount of money and the type of fi- ton nancing required will depend on a number of Pion or factors such as the projected life of the mine, the chemis and fuels nature of the operations, the complexity of envi- chAvoidan ftes ronmental issues, the financial and environmen- tal management capacity of the borrower or agents project sponsor, and the jurisdiction in which the Control of noise through the use of berms and mine is located. The mine reclamation and clo- mufflers; control of noise and vibrations by sure plan, the timing of its submission, and fi- means of sequenced blasting. nancing of activities under the plan should be Treatment Technologies discussed and agreed on with the borrower or sponsor as early as possible. Filters for crushers, grinding mills, and dryers Operatingare used to control dust emissions. OpertingMeasresAMD and wastewaters are typically dealt with by using physical-chemical treatment techniques Other recommended pollution prevention mea- such as neutralization, precipitation, flocculation, sures include: sure incude:coagulation, settling, and filtration. In some cases, * Progressive backfilling to minimize land dis- cyanide oxidation and ion exchange may also turbances have to be performed. Chrome reduction may be * Use of dust control equipment on dryers and needed for floatation water. of pressure-air dryers instead of fuel-based drum dryers to dry concentrations. Emissions Guidelines * Use of covers or control devices for crushing and milling to avoid the generation of dust Emissions levels for the design and operation of * Minimization of AMD generation by reducing each project must be established through the en- disturbed areas and isolating drainage systems vironmental assessment (EA) process on the ba- * Diversion of leachates from waste heaps to sis of country legislation and the Pollution Prevention avoid contact with and contamination of sur- and Abatement Handbook, as applied to local con- face water and groundwater ditions. The emissions levels selected must be * Minimization of freshwater intake; recycling justified in the EA and acceptable to the World of tailings decant water and wastewater from Bank Group. 270 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES The guidelines given below present emis- background levels of 3 decibels (measured on the sions levels normally acceptable to the World A scale) [dB(A)J. Measurements are to be taken Bank Group in making decisions regarding at noise receptors located outside the project provision of World Bank Group assistance. Any property boundary. deviations from these levels must be described in the World Bank Group project documenta- Maximum allowable log tion. The emissions levels given here can be equivalent (hourly consistently achieved by well-designed, well- measurements), in dB(A) operated, and well-maintained pollution con- Day Night trol systems. Receptor (07:00-22:00) (22:00-07:00) The guidelines are expressed as concentra- Residential, tions, to facilitate monitoring. Dilution of air institutional, emissions or effluents to achieve these guidelines educational 55 45 is unacceptable. Industrial, All of the maximum levels should be achieved commercial 70 70 for at least 95% of the time that the plant or unit is operating, to be calculated as a proportion of Monitoring and Reporting annual operating hours. Liquid effluents, including tailings dam outflows, Liquid Effluents should be monitored daily for pH and suspended solids. Metals and, when appropriate, thiosalts Table 1 gives the effluent levels to be achieved and floatation chemicals should be monitored on during operation and after mine closure. a monthly basis. If treatment is required to con- trol soluble metals, metals and other parameters Ambient Noise such as turbidity should be monitored more fre- quently. Frequent sampling may be required dur- Noise abatement measures should achieve either ing start-up and upset conditions. the levels given below or a maximum increase in Monitoring data should be analyzed and re- viewed at regular intervals and compared with Tablethe operating standards so that any necessary cor- Ore Mining rective actions can be taken. Records of monitor- (milligrams per liter, except for pH)kept an acceptable format. (miligrms er iter exepttorpH)The results should be reported to the responsible Parameter Maximum value authorities and relevant parties, as required. pH 6-9 TSS 50 Key Issues Oil and grease 10 Cyanide 1.0 The key production and control practices that will Free 0.1 lead to compliance with emissions requirements Weak acid dissociable (WAD) 0.5 can be summarized as follows: COD 150 Arsenic 0.1 Develop a comprehensive environmental and Cadmium 0.1 mine management plan to include: Chromium (hexavalent) 0.1 Copper 0.5 9 Restoration and rehabilitation of disturbed Iron 3.5 areas Lead 0.2 9 Identification and management of AMD Mercury 0.01 sources Nickel 0.5 e Water management for operations and Zinc 2 postclosure conditions * Management and sealing of tailings Base Metal and Iron Ore Mining 271 Develop and implement a post-closure plan to Metals (Cu, Ni, Pb, Zn, Au) Ore Mining." Technical include: Report Series 5. Paris. * Restoration of disturbed areas 1993. "Environmental Management of * Long-term geotechnical and chemical stabil- Nickel Production." Technical Report 15. Paris: ity of tailings Warhurst, Alyson. 1994. Environmental Degradationfrom * Adequate spillway capacity for the tailings Mining and Mineral Processing in Developing Coun- pond overflow tries: Corporate Responses and National Policies. Paris: * Management of AMD, water drainage, and Organisation for Economic Co-operation and De- surface runoff velopment. Sources World Bank. 1996. "Pollution Prevention and Abate- ment: Base Metal and Iron Ore Mining. "Draft Tech- nical Background Document. Environment UNEP (United Nations Environment Programme). Department, Washington, D.C. 1991. "Environment Aspects of Selected Nonferrous Breweries Industry Description and Practices pended solids in the range 10-60 milligrams per liter (mg/i), biochemical oxygen demand (BOD) Beer is a fermented beverage with low alcohol in the range 1,000-1,500 mg/l, chemical oxygen content made from various types of grain. Bar- demand (COD) in the range 1,800-3,000 mg/i, ley predominates, but wheat, maize, and other and nitrogen in the range 30-100 mg/i. Phospho- grains can be used. The production steps include: rus can also be present at concentrations of the * Malt production and handling: grain delivery order of 10-30 mg/i. and cleaning; steeping of the grain in water Effluents from individual process steps are to start germination; growth of rootlets and variable. For example, bottle washing produces developmenta large volume of effluent that, however, contains develiopmntoe) e nnzye (whic convertn only a minor part of the total organics discharged starch into maltose); kilng a osh from the brewery. Effluents from fermentation of the malt to remove rootlets; storage of the and filtering are high in organics and BOD but cleaned malt low in volume, accounting for about 3% of total * Wort production: grinding the malt to grist; wataervlmbu97ofBDEfuntp mixing grist with water to produce a mash in the mash tun; heating of the mash to activate averages about 7 for the combined effluent but enzyes;sepaatin ofgrit reidus inthe can fluctuate from 3 to 12 depending on the use enzymes; separation of grist residues in the lauter tun to leave a liquid wort; boiling of the of acid and alkaline cleaning agents. Effluent tem- wort with hops; separation of the wort from peratures average about 30'C. the trub/hot break (precipitated residues), with the liquid part of the trub being returned Table 1. Water Consumption Reported to the lauter tub and the spent hops going to a for the German Brewing Industry collection vessel; and cooling of the wort (M3of sold beer; numbers in parentheses are ranges) * Beer production: addition of yeast to cooled wort; fermentation; separation of spent yeast by filtration, centrifugation or settling; bottling Gyle (unfermented wort) to whirlpool 2.0(1.8- 2.2) or kegging. Wort cooling 0.0(0.0- 2.4) Water consumption for breweries generally erment 0.6 (50 ranges 4-8 cubic meter per cubic meter (m3/m3) Feand resset 0.3(0.1- 0.5) of beer produced. Water consumption for indi- Storage cellar 0.5(0.3- 0.6) vidual process stages, as reported for the Ger- Bottling (70% of beer produced) 1.1(0.9- 2.1) man brewing industry, is shown in Table 1. Barrel filling (30% of beer produced) 0.1 (0.1- 0.2) Wastewater from cleaning of Waste Characteristics vehicles, sanitary use, etc. 1.5(1.0- 3.0) Steam boiler 0.2 (0.1- 0.3) Air compressor 0.3 (0.1- 0.5) Breweries can achieve an effluent discharge of Total 6.6 (4.9-12.6) 3-5 m3/m3 of sold beer (exclusive of cooling wa- ters). Untreated effluents typically contain sus- Note: Numbers have been rounded. 272 Breweries 273 Solid wastes for disposal include grit, weed Treatment Technologies seed, and grain of less than 2.2 millimeters in di- ameter, removed when grain is cleaned; spent If the brewery does not discharge to a municipal grain and yeast; spent hops; broken bottles or sewer, primary and secondary treatment of the bottles that cannot be recycled to the process; and effluent is required. Primary treatment facilities cardboard and other solid wastes associated with may include pH adjustment, roughing screens, the process, such as kieselguhr (diatomaceous grit-settling chambers, and a clarifier. Choices of earth used for clarifying). processes for removing BOD in a secondary treat- Breweries do not discharge air pollutants, ment stage include anaerobic treatment fol- other than some odors. lowed by aerobic treatment and activated sludge systems. Pollution Prevention and Control Sludges from the clarifier are dewatered and disposed of through incineration or to an ap- Pollution prevention and control are best prac- proved landfill. ticed through effective management, mainte- Where the brewery is permitted to discharge nance, and housekeeping in a process that to a municipal sewer, pretreatment may be re- incorporates water conservation and recycling, quired to meet municipal by-laws and to lessen energy conservation, and disposal of solid wastes the load on the municipal treatment plant. In as by-products. Some options that may be con- some cases, sewer discharge fees imposed by the sidered include: municipality on effluent volume and on the sus- * Clean-in-place (CIP) methods for decontami- pended and BOD loads may encourage the brew- nating equipment ery to install its own treatment facility. ning Modern plants using good industrial practices ment cleaning are able to achieve the following performance in "mectrculeatng ytsoooli nwaeciuts terms of pollutant loads. Water conservation and * Recirculating systems on cooling water circuits rccigwl lo ae osmto ob * Use of grit, weed seed, and discarded grain as keptoainim al nw ber shou tar- chicken feed * Use of spent grain as animal feed, either 80% get on achieving an effluent range of 3-5 m3/m3 wet,beer produced. Provision for recycling liquors SDisposal of wet hops by adding them to thewash waters will help reduce the spent grain total volume of liquid effluent. A new brewery "spnt o gra n t o iurb iigwt should set as a target the achievement of a treated * Disposalon effluent that has less than 0.3 kilograms (kg) of spent grain BDm erpoue n . go upne * Use for livestock feed of spent yeast that is not sOD/in3beer produced assumig dis eto reused reciving3waers). * Disposal of trub by adding it to spent grain Odor est * Recovery of spilled beer, adding it to spent vaor emconen beoreithe ar eeast grain that is being dried through evaporation theoatmospheredorsif vaprseareesentetoethesboile * Filtration of bottom sediments from final fer- a burned. mentation tanks for use as animal feed * Reduction of energy consumption through re- Emissions Guidelines use of wort-cooling water as the process wa- ter for the next mash Emissions levels for the design and operation of * Collection of broken glass, bottles that cannot each project must be established through the en- be used, and waste cardboard for recycling. vironmental assessment (BA) process on the ba- Consideration should be given to the use of sis of country legislation and the Pollution Prevention non-phosphate-containing cleaning agents. and Abatement Handbook, as applied to local con- Breweries have a favorable steam-to-electric- ditions. The emissions levels selected must be ity ratio. Planning for cogeneration of electricity justified in the EA and acceptable to the World may be advantageous. Bank Group. 274 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES The guidelines given below present emis- Maximum allowable log sions levels normally acceptable to the World equivalent (hourly Bank Group in making decisions regarding measurements), in dB(A) provision of World Bank Group assistance. Any Day Night deviations from these levels must be described Receptor (07:00-22.00) (22:00-07:00) in the World Bank Group project documenta- Residential, tion. The emissions levels given here can be institutional consistently achieved by well-designed, well- educational 55 45 operated, and well-maintained pollution con- Industrial, trol systems. commercial 70 70 The guidelines are expressed as concentrations to facilitate monitoring. Dilution of air emissions Monitoring and Reporting or effluents to achieve these guidelines is un- acceptable. All of the maximum levels should be achieved Monitrin thin efuent for te param- for at least 95% of the time that the plant or unit is operating, to be calculated as a proportion of out at least once per month, or more frequently annual operating hours. if the flows vary significantly Monitoring data should be analyzed and re- Liquid Effluents viewed at regular intervals and compared with the operating standards so that any necessary The effluent levels presented in Table 2 should corrective actions can be taken. Records of moni- be achieved. toring results should be kept in an acceptable format. The results should be reported to the Ambient Noise responsible authorities and relevant parties, as required. Noise abatement measures should achieve either the levels given below or a maximum increase in background levels of 3 decibels (measured on the A scale) [dB(A)]. Measurements are to be taken The key production and control practices that will at noise receptors located outside the project lead to compliance with emissions requirements property boundary. can be summarized as follows: *Implement sound maintenance and house- Table 2. Effluents from Breweries keeping procedures. (milligrams per liter, except for pH and temperature) e Minimize water consumption and effluent Parameter Maximum value generation through recycling and reuse of process streams. pH 6-9 * Dispose of process solid wastes as by-prod- BOD 50 ucts for animal feed. COD 250 * Send broken and rejected bottles and waste TSS 50 cardboard to recycling plants. Oil and grease 10 * Maintain effluent treatment facilities to op- Ammonia nitrogen (NH4-N) 10 erating design specifications. Phosphorus 5 Temperature increase <30 Ca Note: Effluent requirements are for direct discharge to surface waters. World Bank, 1997. "Industrial Pollution Prevention and a. The effluent should result in a temperature increase of no Abatement: Breweries." Draft Technical Back- more than 30C at the edge of the zone where initial mixing and dilution take place. Where the zone is not defined, use 100 ground Document. Environment Department, meters from the point of discharge. Washington, D.C. Cement Manufacturing Industry Description and Practices rials-handling operations, such as conveyors, re- sult in fugitive emissions. The preparation of cement involves mining; Ambient particulate levels (especially at sizes crushing, and grinding of raw materials (princi- less than 10 microns) have been clearly demon- pally limestone and clay); calcining the materi- strated to be related to health impacts. Gases such als in a rotary kiln; cooling the resulting clinker; as nitrogen oxides (NO.) and sulfur oxides (SO.) mixing the clinker with gypsum; and milling, are formed from the combustion of the fuel (oil storing, and bagging the finished cement. The and coal) and oxidation of sulfur present in the process generates a variety of wastes, including raw materials, but the highly alkaline conditions dust, which is captured and recycled to the pro- in the kiln can absorb up to 90% of the sulfur cess. The process is very energy-intensive, and oxides. Heavy metals may also be present in the there are strong incentives for energy conserva- raw materials and fuel used and are released in tion. Gases from clinker cooler are used as sec- kiln gases. The principal aim of pollution control ondary combustion air. The dry process, using in this industry is to avoid increasing ambient preheaters and precalciners, is both economically levels of particulates by minimizing the loads and environmentally preferable to the wet pro- emitted. cess because the energy consumption-200 joules Cement kilns, with their high flame tempera- per kilogram (J/kg)-is approximately half that tures, are sometimes used to burn waste oils, sol- for the wet process. vents, and other organic wastes. These practices Certain solid waste products from other indus- can result in the release of toxic metals and or- tries, such as pulverized fly ash (PFA) from power ganics. Cement plants are not normally designed stations, slag, roasted pyrite residues, and to bur wastes, but if such burning is contem- foundry sand, can be used as additives in cement plated, technical and environmental acceptabil- production. ity needs to be demonstrated. To avoid the formation of toxic chlorinated organics from the Waste Characteristics burning of organic wastes, air pollution control devices for such plants should not be operated The generation of fine particulates is inherent in in the temperature range of 230-400'C. (For fur- the process, but most are recovered and recycled. ther details, see United States1991.) Approximately 10-20% of the kiln feed can be suspended in the kiln exhaust gases, captured, Pollution Prevention and Control and returned to the feed. Other sources of dust emissions include the clinker cooler, crushers, The priority in the cement industry is to mini- grinders, and materials-handling equipment. mize the increases in ambient particulate levels When the raw materials have high alkali or chlo- by reducing the mass load emitted from the ride content, a portion of the collected dust must stacks, from fugitive emissions, and from other be disposed of as solid waste, to avoid alkali sources. Collection and recycling of dust in kiln buildup. Leaching of the dust to remove the al- gases is required to improve the efficiency of the kali is rarely practiced. Grinding mill operations operation and to reduce atmospheric emissions. also result in particulate emissions. Other mate- Units that are well designed, well operated, and 275 276 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES well maintained can normally achieve generation are sensitive to gas characteristics, such as tem- of less than 0.2 kilograms of dust per metric ton perature, and to variation in voltage; baghouses (kg/t) of clinker, using dust recovery systems. are generally regarded as more reliable. The over- NOx emissions should be controlled by using all costs of the two systems are similar. The choice proper kiln design, low-NOx burners, and an of system will depend on flue gas characteristics optimum level of excess air. NOx emissions from and local considerations. a dry kiln with preheater and precalciner are typi- Both ESPs and baghouses can achieve high lev- cally 1.5 kg/t of clinker, as against 4.5 kg/t for els of particulate removal from the kiln gas the wet process. The nitrogen oxide emissions can stream, but good operation and maintenance are be reduced further, to 0.5 kg/t of clinker, by after- essential for achieving design specifications. Two burning in a reducing atmosphere, and the en- significant types of control problem can occur: ergy of the gases can be recovered in a preheater/ (a) complete failure (or automatic shutoff) of sys- precalciner. tems related to plant shutdown and start-up, For control of fugitive particulate emissions, power failures, and the like, leading to the emis- ventilation systems should be used in conjunc- sion of very high levels of particulates for short tion with hoods and enclosures covering trans- periods of time; and (b) a gradual decrease in the fer points and conveyors. Drop distances should removal efficiency of the system over time be- be minimized by the use of adjustable convey- cause of poor maintenance or improper opera- ors. Dusty areas such as roads should be wetted tion. The lime content of raw materials can be down to reduce dust generation. Appropriate used to control sulfur oxides. stormwater and runoff control systems should be provided to minimize the quantities of sus- Emissions Guidelines pended material carried off site. SOx emissions are best controlled by using low- Emissions levels for the design and operation of sulfur fuels and raw materials. The absorption each project must be established through the en- capacity of the cement must be assessed to de- vironmental assessment (EA) process on the ba- termine the quantity of sulfur dioxide emitted, sis of country legislation and the Pollution Prevention which may be up to about half the sulfur load on and Abatement Handbook, as applied to local con- the kiln. Precalcining with low-NOx secondary ditions. The emissions levels selected must be firing can reduce nitrogen oxide emissions. justified in the EA and acceptable to the World Alkaline dust removed from the kiln gases is Bank Group. normally disposed of as solid waste. When solid The guidelines given below present emissions wastes such as pulverized fly ash are used with levels normally acceptable to the World Bank feedstock, appropriate steps must be taken to Group in making decisions regarding provision avoid environmental problems from contami- of World Bank Group assistance. Any deviations nants or trace elements. from these levels must be described in the World Stormwater systems and storage areas should Bank Group project documentation. The emis- be designed to minimize washoff of solids. sions levels given here can be consistently achieved by well-designed, well-operated, and Treatment Technologies well-maintained pollution control systems. The guidelines are expressed as concentrations Mechanical systems such as cyclones trap the to facilitate monitoring. Dilution of air emissions larger particulates in kiln gases and act as or effluents to achieve these guidelines is un- preconditioners for downstream collection de- acceptable. vices. Electrostatic precipitators (ESPs) and fab- All of the maximum levels should be achieved ric filter systems (baghouses) are the principal for at least 95% of the time that the plant or unit options for collection and control (achieving over is operating, to be calculated as a proportion of 99% removal efficiency) of fine particulates. ESPs annual operating hours. Cement Manufacturing 277 Air Emissions Maximum allowable log equivalent (hourly A maximum emissions level of 50 milligrams measurements), in dB(A) per normal cubic meter (mg/Nm3), equivalent Day Night to a maximum of 0.2 kg/t of clinker, for particu- Receptor (07:00-22:00) (22:00-07:00) lates in stack gases under full-load conditions is to be achieved. This emissions level is based on intial, values that are routinely achieved in well-run educational 55 45 plants. Maximum emissions levels for sulfur ox- Industrial, ides are 400 mg/Nm; for nitrogen oxides, 600 commercial 70 70 mg/Nml. Management's capacity to maintain the nec- Monitoring and Reporting essary operational and maintenance standards should be carefully evaluated. If necessary, train- Frequent sampling may be required during start- ing for plant personnel should be provided un- up and upset conditions. Once a record of con- der the project. The EA and the prefeasibility or sistent performance has been established, feasibility study should examine the effects of sampling for the parameters listed in this docu- fugitive and stack emissions (including dust, sul- ment should be as described below. fur oxides, and nitrogen oxides) on ambient air Equipment for continuous monitoring of opac- quality and implement measures to maintain ac- ity levels (or particulates in the stack exhaust, ceptable ambient air quality levels. whichever is cost-effective) should be installed. Measurement of the sulfur content of raw mate- Liquid Effluents rials and fuel, and direct measurement of particu- late, SO,,, and NOx levels at the plant boundary Normally, effluents requiring treatment originate levels, should be carried out at least annually. from cooling operations or as stormwater. Treated When operational upsets occur, the opacity of kiln effluent discharges should have a pH in the range and clinker cooler exhaust gases should be mea- of 6-9. Cooling water should preferably be re- sured directly and corrective actions taken to cycled. If this is not economical, the effluent maintain the opacity level of the stack gases be- should not increase the temperature of the receiv- low 10% (or an equivalent measurement). ing waters at the edge of the mixing zone (or 100 The pH and temperature of the wastewater meters, where the mixing zone is not defined) by effluent should be monitored on a continuous more than 30 Celsius. If quantities of suspended basis. Suspended solids should be measured solids in the effluent are high in relation to re- monthly if treatment is provided. ceiving waters, treatment may be required to re- Monitoring data should be analyzed and re- duce levels in the effluent to a maximum of 50 viewed at regular intervals and compared with milligrams per liter (mg/1). Note that the efflu- the operating standards so that any necessary ent requirements are for direct discharge to sur- corrective actions can be taken. face waters. Records of monitoring results should be kept in an acceptable format. The results should be Ambient Noise reported to the responsible authorities and rel- evant parties, as required. Noise abatement measures should achieve either the levels given below or a maximum increase in Key Issues background levels of 3 decibels (measured on the A scale) [dB(A)]. Measurements are to be taken The key production and control practices that will at noise receptors located outside the project lead to compliance with emissions guidelines can property boundaryM be summarized as follows: 278 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Give preference to the dry process with preheat- European Community. 1989. "Technical Note on Best ers and precalciners. Available Technologies Not Entailing Excessive Cost for the Manufacture of Cement." December 7. Pa- Adopt the following pollution prevention mea- per presented to BAT Exchange of Information sures to minimize air emissions: * Install equipment covers and filters for crush- Fog, Mogens H., and Kishore L. Nadkarni. 1983. En- ergy Efficiency and Fuel Substitution in the Cement ing, grinding, and milling operations. Industry with Emphasis on Developing Countries. * Use enclosed adjustable conveyors to mini- World Bank Technical Paper 17. Washington, D.C. mize drop distances. miWe don dinedaeansiihe.rdc Sittig, Marshall. 1975. Pollution Control in the Asbestos, st*og ie Cement, Glass, and Allied Mineral Industries. Park storage piles. Rde .. oe aaCroain * Use low-NO,, burners with the optimum level of excess air. United States. 1991. Federal Register, vol. 56, no. 35, * Use low sulfur fuels in the kiln. February 21. Washington, D.C.: Government Print- * Operate control systems to achieve the re- ing Office. quired emissions levels. World Bank. 1996. "Pollution Prevention and Abate- Develop a strong unit or division to undertake BaCo n DocuentEinment Detnt, Eukropend ommnt19.EnvrTenalpNotenet environmental management responsibilities. Washington, D.C. References and Sources Bounicore, Anthony J., and Wayne T. Davis, eds. 1992. Air Pollution Engineering Manual. New York: Van Nostrand Reinhold. Chlor-Alkali Plants Industry Description and Practices Major sources of fugitive air emissions of chlo- rine and hydrogen are vents, seals, and transfer There are three basic processes for the manu- operations. Acid and caustic wastewaters are facture of chlorine and caustic soda from brine: generated in both the process and the materials the mercury cell, the diaphragm cell, and the recovery stages. membrane cell. The membrane cell is the most modern and has economic and environmen- Pollution Prevention and Control tal advantages. The other two processes gen- erate hazardous wastes containing mercury or The following pollution prevention measures asbestos. should be considered: In the membrane process, the chlorine (at the - Use metal rather than graphite anodes to re- anode) and the hydrogen (at the cathode) are kept duce lead and chlorinated organics. apart by a selective polymer membrane that al- * Resaturate brine in closed vessels to reduce the lows the sodium ions to pass into the cathodic compartment and react with the hydroxyl ions genonoftalt sprays to form caustic soda. The depleted brine is amount of process wastewater. dechlorinated and recycled to the input stage. - Scrub chlorine tail gases to reduce chlorine The membrane cell process is the preferred pro- discharges and to produce hypochlorite. cess for new plants. Diaphragm processes may - Recycle condensates and waste process water be acceptable, in some circumstances, if to the brine system, if possible. nonasbestos diaphragms are used. The energy e Recycle brine wastes, if possible. consumption in a membrane cell process is of the order of 2,200-2,500 kilowatt-hours per metric For the chlor-alkai industry, an emergency ton (kWh/t), as against 2,400-2,700 kWh/t of preparedness and response plan is required for chlorine for a diaphragm cell process. The World potential uncontrolled chlorine and other re- Bank does not finance mercury cell technology. leases. Carbon tetrachloride is sometimes used to scrub nitrogen trichloride (formed in the pro- Waste Characteristics cess) and to maintain its levels below 4% to avoid explosion. Substitutes for carbon tetrachloride The major waste stream from the process con- may have to be used, as the use of carbon tetra- sists of brine muds-the sludges from the brine chloride may be banned in the near future. purification step-which may contain magne- sium, calcium, iron, and other metal hydroxides, Target Pollution Loads depending on the source and purity of the brines. The muds are normally filtered or settled, the Implementation of cleaner production pro- supernatant is recycled, and the mud is dried and cesses and pollution prevention measures can landfilled. yield both economic and environmental ben- Chlorine is a highly toxic gas, and strict pre- efits. The production-related targets presented cautions are necessary to minimize risk to work- in Table 1 can be achieved by measures such as ers and possible releases during its handling, those described above. The numbers relate to 279 280 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Table 1.Target Levels per Unit of Production, achieved by well-designed, well-operated, and Chlor-Alkali Industry well-maintained pollution control systems. (maximum load/ion chlorine) The guidelines are expressed as concentrations Diaphragm Membrane to facilitate monitoring. Dilution of air emissions Parameter process process or effluents to achieve these guidelines is un- acceptable. Lead (kg) 0.04 - All of the maximum levels should be achieved Wastewater for at least 95% of the time that the plant or unit (cubic meters) 1.6 0.1 is operating, to be calculated as a proportion of - Not applicable, annual operating hours. Air Emissions the production processes before the addition of pollution control measures. Chlorine concentration should be less than 3 mil- ligrams per normal cubic meter (mg/NM3) for Treatment Technologies process areas, including chlorine liquefaction. Caustic scrubber systems should be installed to Liquid Effluents control chlorine emissions from condensers and at storage and transfer points for liquid chlorine. For membrane cell effluents, pH levels should Sulfuric acid used for drying chlorine should be be in the range 6-9. neutralized before discharge. For nonasbestos diaphragm plants, the efflu- Brine muds should be discharged to lined set- ents levels presented in Table 2 should be tling ponds (or the equivalent) to prevent con- achieved. In some cases, bioassay testing of ef- tamination of soil and groundwater. Effluents fluents may be desirable to ensure that effluent should be controlled for pH by neutralization. toxicity is at acceptable levels, say, toxicity to fish Settling and filtration are performed to control at a dilution factor of 2. total suspended solids. Dechlorination of waste- waters is performed using sulfur dioxide or Ambient Noise bisulfite. Noise abatement measures should achieve either Emissions Guidelines the levels given below or a maximum increase in background levels of 3 decibels (measured on the Emissions levels for the design and operation of each project must be established through the en- vironmental assessment (EA) process, on the ba- Table 2. Effluents from Nonasbestos sis of country legislation and the Pollution Prevention Diaphragm Plants, Chor-Alkall Industry and Abatement Handbook as applied to local con- (milligrams per liter, except for pH) ditions. The emissions levels selected must be Parameter Maximum value justified in the EA and acceptable to the World Bank Group. pH 6-9 The guidelines given below present emissions TSS 20 levels normally acceptable to the World Bank COD 150 Group in making decisions regarding provision the ba- of World Bank Group assistance. Any deviations Chloie 0 from these levels must be described in the World lorine_0.2 Bank Group project documentation. The emis- Note: Effluent requirements are for direct discharge to surface sions levels given here can be consistently waters. Chlor-Alkali Plants 281 A scale) [dB(A)]. Measurements are to be taken format. The results should be reported to the at noise receptors located outside the project responsible authorities and relevant parties, as property boundary. required. Maximum allowable log Key Issues equivalent (hourly measurements), in dB(A) The key production and control practices that will Day Night lead to compliance with emissions guidelines can Receptor (07:00-22:00) (22:00-07:00) be summarized as follows. Residential, institutional, Give preference to the membrane process. educational 55 45 Industrial, Adopt th folloing pollionp i commercial 70 70 * Use metal instead of graphite anodes. Monitoring and Reporting * Resaturate brine in closed vessels. a Recycle brine wastes. Frequent sampling may be required during start- 9 Scrub chlorine from tail gases to produce hypo- up and upset conditions. Once a record of con- chlorite. sistent performance has been established, * Provide lined settling ponds for brine muds. sampling for the parameters listed in this docu- ment should be as described below. Sources Daily monitoring for parameters other than pH (for effluents from the diaphragm process) is Arthur D. Little, Inc. 1975. Assessment ofIndustrial Haz- recommended. The pH in the liquid effluent ardous Waste Practices, Inorganic Chemicals Industry. should be monitored continuously. Chlorine U.S. Environmental Protection Agency, Contract 68- monitors should be strategically located within 01-2246. Washington, D.C.: USEPA. the plant to detect chlorine releases or leaks on a Kirk, Raymond E., and Donald F. Othmer. 1980. Kirk- continuous basis. Othmer Encyclopedia of Chemical Technology. 3d ed. Monitoring data should be analyzed and re- New York: John Wiley and Sons. viewed at regular intervals and compared with World Bank. 1996. "Pollution Prevention and Abate- the operating standards so that any necessary ment: Chlor-Alkali Industry" Draft Technical Back- corrective actions can be taken. Records of moni- ground Document. Environment Department, toring results should be kept in an acceptable Washington, D.C. Coal Mining and Production Industry Description and Practices waste streams: fine materials that are discharged as a slurry to a tailings impoundment, and coarse Coal is one of the world's most plentiful energy material (typically greater than 0.5 millimeters) resources, and its use is likely to quadruple by that is hauled away as a solid waste. 2020. Coal occurs in a wide range of forms and qualities; but there are two broad categories: (a) Waste Characteristics hard coal, which includes coking coal, used to produce steel, and other bituminous and anthra- The main impacts of surface mining are, in gen- cite coals used for steam and power generation, eral, massive disturbances of large areas of land and (b) brown coal (subbituminous and lignite), and possible disruption of surface and ground- which is used mostly as onsite fuel. Coal has a water patterns. In some surface mines, the gen- wide range of moisture content (2-40%), sulfur eration of acid mine drainage (AMD) is a major content (0.2-8%), and ash content (5-40%). These problem. Other significant impacts include fugi- can affect the value of the coal as a fuel and cause tive dust and disposal of overburden and waste environmental problems in its use. rock. The depth, thickness, and configuration of the In underground mines, the surface disturbance coal seams determine the mode of extraction. is less obvious, but the extent of subsidence can Shallow, flat coal deposits are mined by surface be very large. Methane generation and release can processes, which are generally less costly per ton also be a problem under certain geological con- of coal mined than underground mines of simi- ditions. If groundwater systems are disturbed, lar capacity. Strip mining is one of the most eco- the possibility of serious pollution from highly nomical surface processes. Here removal of saline or highly acidic water exists. Impacts may overburden and coal extraction proceed in par- continue long after mining ceases. allel strips along the face of the coal deposit, with Table 1 presents the levels of liquid effluents, the spoil being deposited behind the operation solid waste, and dust generated by the major in the previously mined areas. In open pit min- mining techniques. ing, thick seams (tens of meters) are mined by Beneficiation plants produce large volumes of traditional quarrying techniques. Underground tailings and solid wastes. Storage and handling mining is used for deep seams. Underground of coal generates dust at rates of as much as 3 mining methods vary according to the site con- kilograms per metric ton (kg/t) of coal mined, ditions, but all involve the removal of seams fol- with the ambient dust concentration ranging lowed by more or less controlled subsidence of from 10 to 300 micrograms per cubic meter (Vig/ the overlying strata. 3) above the background level at the mine site. Raw coal may be sold as mined or may be pro- cessed in a beneficiation/washing plant to re- Pollution Prevention and Control move noncombustible materials (up to 45% reduction in ash content) and inorganic sulfur (up Early planning and careful design of operations to 25% reduction). Coal beneficiation is based on are the key to minimizing pollution associated wet physical processes such as gravity separa- with mining activities. Specific responsibilities tion and flotation. Beneficiation produces two should be assigned for the implementation and 282 Coal Mining and Production 283 Table 1. Loads Per Unit of Coal Production, by Mining Technique (tons per 1,000 tons coal produced) Surface mining Underground mining Waste characteristic Contour Area Conventional Longwall Liquid effluents 0.24 1.2 1 1.6 Solid waste 10 10 3 5 Dust 0.1 0.06 0.006 0.01 Note: Local conditions will form the basis for choosing the appropriate mining method. Source: Based on Edgar 1983. monitoring of environmental measures. Before Reduction of dust by early revegetation and mining begins, a mining plan and a mine closure by good maintenance of roads and work ar- and restoration plan must be prepared and ap- eas. Specific dust suppression measures, such proved. These plans define the sequence and as minimizing drop distances, covering equip- nature of extraction operations and detail the ment, and wetting storage piles, may be re- methods to be used in closure and restoration. quired for coal handling and loading facilities. The plans should be updated regularly (every 3 Release of dust from crushing and other coal to 5 years) as mining progresses. processing and beneficiation operations should be controlled. Development Plan Control of the release of chemicals (includ- ing floatation chemicals) used in beneficiation The development plan defines the sequence and processes. nature of extraction operations and describes in Minimization of the effects of subsidence by detail the methods to be used in closure and res- careful extraction methods in relation to sur- toration. At a minimum, the plan must address face uses. the following: Control of methane, a greenhouse gas, to less than 1% by volume, to minimize the risk of * Removal and proper storage of topsoil. explosion in closed mines; recovery of meth- * Early restoration of worked-out areas and of ane where feasible. (When methane content is spoil heaps to minimize the extent of open above 25% by volume, it normally should be areas. recovered.) * Diversion and management of surface and Development of restoration and revegeta- groundwater to minimize water pollution tion methods appropriate to the specific site problems. Simple treatment to reduce the dis- conditions. charge of suspended solids may also be nec- Proper storage and handling of fuel and chemi- essary. (Treatment of saline groundwater may cals used on site, to avoid spills. be difficult.) * Identification and management of areas with Mine Closure and Restoration Plan high potential for AMD generation. * Minimization of AMD generation by reducing disturbed areas and isolating drainage streams te plshouldeicl ation of oenpits from contact with sulfur-bearing materials. wasis, bnf on ting, simntao * Preparation of a water management plan for bsn,adaadndmn,ml,adcm " Prpartionof watr mnageentplanfor sites. Mine reclamation plans should incorporate operations and postclosure that includes the followin measures: minimization of liquid wastes by methods such as recycling water from the tailings wash * Return of the land to conditions capable of plant. supporting prior land use, equivalent uses, or * Minimization of spillage losses by proper de- other environmentally acceptable uses sign and operation of coal transport and trans- 9 Use of overburden for backfill and of topsoil (or fer facilities. other plant growth medium) for reclamation 284 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES * Contouring of slopes to minimize erosion and from these levels must be described in the World runoff Bank Group project documentation. The emis- * Planting of native vegetation to prevent sions levels given here can be consistently erosion and encourage self-sustaining devel- achieved by well-designed, well-operated, and opment of a productive ecosystem on the re- well-maintained pollution control systems. claimed land The guidelines are expressed as concentrations * Management of postclosure AMD and benefi- to facilitate monitoring. Dilution of air emissions ciation tailings or effluents to achieve these guidelines is un- * Budgeting and scheduling of pre- and post- acceptable. abandonment reclamation activities. All of the maximum levels should be achieved Upon mine closure, all shaft openings and for at least 95% of the time that the plant or unit mine adits should be sealed or secured. is operating, to be calculated as a proportion of There is a need to reserve money over the life an ating hours. of the mine to cover the costs associated with Air Emissions mine closure. The amount of money and the type of financing required will depend on a number of factors, such as the projected life of the mine, such as ventilation exhausts, if they have a sig- the nature of the operations, the complexity of nifint effect on ambient particulate levels. If environmental issues, the financial and environ- coal crushers or dryers are used, fabric filters or mental management capacity of the borrower or her system project sponsor, and the jurisdiction in which the ot sasouldte sed to rever co an mine is located. The mine reclamation and clo- reduce pra emissostev belowM50 sure plan, the timing of its submission, and its financing should be discussed and agreed on Liquid Efuents with the borrower or sponsor as early as possible. Target Pollution Loads Settling ponds to catch stormwater and to reduce suspended solids should be provided for all ef- Implementation of cleaner production processes fluent before discharge from the site. and pollution prevention measures can provideof AMD or other effluents is both economic and environmental benefits. The requid te efteve l pr tin Tale2 loads presented in Table 1 can be used as a guide g c for pollution prevention purposes. The figures relate to each of the production processes before Ambient Noise the addition of pollution control measures. EmissionsNoise abatement measures should achieve either Emissons uideinesthe levels given below or a maximum increase in Emissions levels for the design and operation of each project must be established through the en- Table 2. Acid Mine Drainage and Liquid vironmental assessment (EA) process, on the ba- Effluents from Coal Mining sis of country legislation and the Pollution Prevention (milligrams per liter, except for pH) and Abatement Handbook as applied to local con- Parameter Maximum value ditions. The emissions levels selected must be justified in the EA and acceptable to the World pH 6-9 Bank Group. Oil a0 The guidelines given below present emissions ion 3.5 levels normally acceptable to the World Bank Total metals 10 Group in making decisions regarding provision of World Bank Group assistance. Any deviations a. Monthly average, 35 milligrams per liter. Coal Mining and Production 285 background levels of 3 decibels (measured on the lead to compliance with emissions guidelines can A scale) [dB(A)]. Measurements are to be taken be summarized as follows. at noise receptors located outside the project property boundary. Develop and implement a comprehensive environ- Maximum allowable log mental and mine management plan to include: equivalent (hourly * Restoration and rehabilitation of disturbed measurements), in dB(A) areas Day Night - Minimization of land subsidence Receptor (07:00-22:00) (22:00-07:00) e Identification and management of AMD Residential, sources institutional, * Water management for operations and educational 55 45 postclosure conditions. Industrial, 9 Management and sealing of pyrite-containing commercial 70 70 piles to reduce AMD formation. Monitoring and Reporting Develop and implement a post-closure plan to include: Frequent sampling may be required during start- *Rsoaino itre ra up and upset conditions. All wastewater dis- 0 Restotrtionoecdistube ard e eniasa charges from the operations should be monitored Rbilitan of diteicst weekly for pH, total suspended solids, and oil biity of a pilbense and grease. A full analysis covering iron and other destration oandable m lo nter osfA trace metals should be carried out quarterly. wtradgonwtrfo atrs Where salinity is a potential problem, appropri- ate parameters (chloride, total dissolved solids, References and Sources and conductivity) should be monitored. Ambient air levels of particulate material, in- Edgar, T. F. 1983. Coal Processing and Pollution Control. cluding PM*, in and around mining operations Houston, Tex.: Gulf Publishing. should be measured quarterly. Methane levels Hartman, Howard L., ed. 1992. SME Engineering Hand- should be monitored, where appropriate, at least book, vol. 2. 2d ed. Littleton, Co.: Society for M- annually even after mine closure. ing, Metallurgy, and Exploration. World Bank. 1996. "Pollution Prevention and Abate- Key Issues ment: Coal Mining." Draft Technical Background Document. Environment Department, Washington, The key production and control practices that will D.C. Coke Manufacturing Industry Description and Practices distillation unit. The Claus process is normally used to recover sulfur from coke oven gas. Coke and coke by-products, including coke oven During the coke quenching, handling, and gas, are produced by the pyrolysis (heating in the screening operation, coke breeze is produced. It absence of air) of suitable grades of coal. The pro- is either reused on site (e.g., in the sinter plant) cess also includes the processing of coke oven gas or sold off site as a by-product. to remove tar, ammonia (usually recovered as ammonium sulfate), phenol, naphthalene, light Waste Characteristics oil, and sulfur before the gas is used as fuel for heating the ovens. This document covers the pro- The coke oven is a major source of fugitive air duction of metallurgical coke and the associated emissions. The coking process emits particulate by-products using intermittent horizontal retorts. matter (PM); volatile organic compounds In the coke-making process, bituminous coal (VOCs); polynuclear aromatic hydrocarbons is fed (usually after processing operations to con- (PAHs); methane, at approximately 100 grams trol the size and quality of the feed) into a series per metric ton (g/t) of coke; ammonia; carbon of ovens, which are sealed and heated at high monoxide; hydrogen sulfide (50-80 g/t of coke temperatures in the absence of oxygen, typically from pushing operations); hydrogen cyanide; and in cycles lasting 14 to 36 hours. Volatile com- sulfur oxides, SOx (releasing 30% of sulfur in the pounds that are driven off the coal are collected feed). Significant amount of VOCs may also be and processed to recover combustible gases and released in by-product recovery operations. other by-products. The solid carbon remaining For every ton of coke produced, approximately in the oven is coke. It is taken to the quench tower, 0.7 to 7.4 kilograms (kg) of PM, 2.9 kg of SOx where it is cooled with a water spray or by circu- (ranging from 0.2 to 6.5 kg), 1.4 kg of nitrogen lating an inert gas (nitrogen), a process known oxides (NOx), 0.1 kg of ammonia, and 3 kg of as dry quenching. The coke is screened and sent VOCs (including 2 kg of benzene) may be re- to a blast furnace or to storage. leased into the atmosphere if there is no vapor Coke oven gas is cooled, and by-products are recovery system. Coal-handling operations may recovered. Flushing liquor, formed from the cool- account for about 10% of the particulate load. ing of coke oven gas, and liquor from primary Coal charging, coke pushing, and quenching are coolers contain tar and are sent to a tar decanter. major sources of dust emissions. An electrostatic precipitator is used to remove Wastewater is generated at an average rate more tar from coke oven gas. The tar is then sent ranging from 0.3 to 4 cubic meters (in) per ton of to storage. Ammonia liquor is also separated coke processed. Major wastewater streams are from the tar decanter and sent to wastewater generated from the cooling of the coke oven gas treatment after ammonia recovery. Coke oven gas and the processing of ammonia, tar, naphthalene, is further cooled in a final cooler. Naphthalene is phenol, and light oil. Process wastewater may removed in the separator on the final cooler. Light contain 10 milligrams per liter (mg/1) of benzene, oil is then removed from the coke oven gas and 1,000 mg/I of biochemical oxygen demand (BOD) is fractionated to recover benzene, toluene, and (4 kg/t of coke), 1,500-6,000 mg/I of chemical xylene. Some facilities may include an onsite tar oxygen demand (COD), 200 mg/I of total sus- 286 Coke Manufacturing 287 pended solids, and 150-2,000 mg/I of phenols systems and steam injection into the ascension (0.3-12 kg/t of coke). Wastewaters also contain pipe or controlled by fabric filters. PAHs at significant concentrations (up to 30 mg/ Coking: use large ovens to increase batch size 1), ammonia (0.1-2 kg nitrogen/t of coke), and and reduce the number of chargings and cyanides (0.1-0.6 kg/t of coke). pushings, thereby reducing the associated Coke production facilities generate process emissions. Reduce fluctuations in coking con- solid wastes other than coke breeze (which aver- ditions, including temperature. Clean and seal ages 1 kg/t of product). Most of the solid wastes coke oven openings to minimize emissions. contain hazardous components such as benzene Use mechanical cleaning devices (preferably and PAHs. Waste streams of concern include resi- automatic) for cleaning doors, door frames, dues from coal tar recovery (typically 0.1 kg/t of and hole lids. Seal lids, using a slurry. Use low- coke), the tar decanter (0.2 kg/t of coke), tar stor- leakage door construction, preferably with gas age (0.4 kg/t of coke), light oil processing (0.2 sealings. kg/t of coke), wastewater treatment (0.1 kg/t of Pushing: emissions from coke pushing can be coke), naphthalene collection and recovery (0.02 reduced by maintaining a sufficient coking kg/t of coke), tar distillation (0.01 kg/t of coke), time, thus avoiding "green push." Use sheds and sludges from biological treatment of waste- and enclosed cars, or consider use of traveling waters. hoods. The gases released should be removed and passed through fabric filters. Pollution Prevention and Control Quenching: where feasible, use dry instead of wet quenching. Filter all gases extracted Pollution prevention in coke making is focused from the dry quenching unit. If wet quench- on reducing coke oven emissions and develop- ing, is used, provide interceptors (baffles) to ing cokeless iron- and steel-making techniques. remove coarse dust. When wastewater is The following pollution prevention and control used for quenching, the process transfers measures should be considered. pollutants from the wastewater to the air, requiring subsequent removal. Reuse quench General water. Conveying and sieving: enclose potential dust * Use cokeless iron- and steel-making processes, sources, and filter evacuated gases. such as the direct reduction process, to elimi- nate the need to manufacture coke. By-Product Recovery * Use beneficiation (preferably at the coal mine) and blending processes that improve the qual- - Use vapor recovery systems to prevent air ity of coal feed to produce coke of desired qual- emissions from light oil processing, tar pro- ity and reduce emissions of sulfur oxides and cessing, naphthalene processing, and phenol other pollutants. and ammonia recovery processes. * Use enclosed conveyors and sieves for coal and - Segregate process water from cooling water. coke handling. Use sprinklers and plastic emul- * Reduce fixed ammonia content in ammonia sions to suppress dust formation. Provide liquor by using caustic soda and steam strip- windbreaks where feasible. Store materials in ping. bunkers or warehouses. Reduce drop distances. * Recycle all process solid wastes, including tar * Use and preheat high-grade coal to reduce decanter sludge, to the coke oven. coking time, increase throughput, reduce fuel * Recover sulfur from coke oven gas. Recycle consumption, and minimize thermal shock to Claus tail gas into the coke oven gas system. refractory bricks. Target Pollution loads Coke Oven Emissions Implementation of cleaner production processes * Charging: dust particles from coal charging and pollution prevention measures can yield both should be evacuated by the use of jumper-pipe economic and environmental benefits. The pro- 288 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Table 1. Air Emissions, Coke Manufacturing moval efficiencies of 99.9%. Baghouses are pre- (kilograms per ton of coke produced) ferred over venturi scrubbers for controlling par- Parameter Maximum value ticulate matter emissions from loading and pushing operations because of the higher re- VOCs 0.3 moval efficiencies. ESPs are effective for final tar Benzene 0.1 removal from coke oven gas, Particulate matter 0.15 Sulfur oxides 0.5 Wastewater Treatment Nitrogen oxides 0.6 TSS 50 Oil and grease 10 Wastewater treatment systems include screens and Phenol 0.5 settling tanks to remove total suspended solids, oil, Benzene 0.05 and tar; steam stripping to remove ammonia, hy- Dibenz(a,h)anthracene 0.05 drogen sulfide, and hydrogen cyanide; biologi- Benzo(a)pyrene 0.05 cal treatment; and final polishing with filters. Cyanide (total) 0.2 The levels presented in Table 2 should be Nitrogen (total) 10 Temperature increase <:30Ca Note: Effluent requirements are for direct discharge to surface Solid Waste Treatment waters. a. The effluent should result in a temperature increase of no more than 3' C at the edge of the zone where initial mixing and All process hazardous wastes except for coke dilution take place. Where the zone is not defined, use 100 fines should be recycled to coke ovens. Waste- meters from the point of discharge. water treatment sludges should be dewatered. If toxic organics are detectable, dewatered slud- duction-related targets described below can beto coke ovens or disposed in a secure landfill or an appropriate combus- achieved by adopting good industrial practices. tion unit. Air Emissions Emissions Guidelines Emissions should be reduced to the targetp levels Emissions levels for the design and operation of presented in Table 1. each project must be established through the en- vironmental assessment (EA) process on the ba- Wastewater sis of country legislation and the Pollution Prevention and Abatement Handbook, as applied to local con- The generation rate for wastewater should be less ditions. The emissions levels selected must be than 0.3 ml/t of coke. Table 2.TargetWastewater Loads per Unit Solid and Hazardous Wastes of Production, Coke Manufacturing (grams per ton of coke produced, unless otherwise specified) New coke plants should not generate more thanae 1 kg of process solid waste (excluding coke breezelu and biosludges) per ton of coke. COD 100 Benzene 0.015 Treatment Technologies Benzo(a)pyrene 0.009 Naphthalene 0.0008 Air Emissions Nitrogen (total) 12 Cyanide (free) 0.03 Air emission control technologies include scrub- Wewae 0. l Wastewater3m3/ o bers (removal efficiency of 90%) and baghouses coke produced and electrostatic precipitators (ESPs), with re- Coke Manufacturing 289 justified in the EA and acceptable to the World in a combustion unit, with residues disposed of Bank Group. in a secure landfill. The guidelines given below present emissions levels normally acceptable to the World Bank Ambient Noise Group in making decisions regarding provision of World Bank Group assistance. Any deviations Noise abatement measures should achieve either from these levels must be described in the World the levels given below or a maximum increase in Bank Group project documentation. The emis- background levels of 3 decibels (measured on the sions levels given here can be consistently A scale) [dB(A)I. Measurements are to be taken achieved by well-designed, well-operated, and at noise receptors located outside the project well-maintained pollution control systems. property boundary. The guidelines are expressed as concentrations to facilitate monitoring. Dilution of air emissions Maximum allowable log or effluents to achieve these guidelines is un- equivalent (hourly acceptable. measurements), in dB(A) All of the maximum levels should be achieved Day Night for at least 95% of the time that the plant or unit Receptor (07:00-22:00) (22:00-07:00) is operating, to be calculated as a proportion of Residential, annual operating hours. institutional, educational 55 45 Air Emissions Industrial, commercial 70 70 Benzene emissions should not be more than 5 milligrams per normal cubic meter (mg/Nm3) in Monitoring and Reporting leaks from light oil processing, final cooler, tar decanter, tar storage, weak ammonia liquor stor- Stack air emissions should be monitored continu- age, and the tar/water separator. VOC emissions ously for particulate matter. Alternatively, opac- should be less than 20 mg/Nm3. Particulate mat- ity measurements of stack gases could suffice. ter emissions from the stacks should not exceed Fugitive emissions should be monitored annu- 50 mg/Nm3. Sulfur recovery from coke oven gas ally for VOCs. Wastewater discharges should be should be at least 97% but preferably over 99%. monitored daily for flow rate and for all param- eters, except for dibenz(a,h)anthracene and Liquid Effluents benzo(a)pyrene. The latter should be monitored at least on a monthly basis or when there are pro- The effluent levels presented in Table 3 should cess changes. Frequent sampling may be required be achieved. during start-up and upset conditions. Monitoring data should be analyzed and re- Solid and Hazardous Wastes viewed at regular intervals and compared with the operating standards so that any necessary Solid hazardous wastes containing toxic organ- corrective actions can be taken. Records of moni- ics should be recycled to a coke oven or treated toring results should be kept in an acceptable format. The results should be reported to the re- sponsible authorities and relevant parties, as re- Table 3. Effluents, Coke Manufacturing quired. (milligrams per liter, unless otherwise specified) Parameter Maximum value BOD 30 The key production and control practices that will COD 150 lead to compliance with emissions guidelines can te be summarized as follows: 290 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES * Use cokeless iron- and steel-making pro- into Airfrom Coke Plants." Paper presented to BAT cesses, such as the direct reduction process Exchange of Information Committee, Brussels. for iron-making, to eliminate the need for . 1993. "Study on the Technical and Economic coke manufacturing. Aspects of Measures to Reduce the Pollution from * Where feasible, use dry quenching instead of the Industrial Emissions of Cokeries." Paper pre- wet quenching. sented to BAT Exchange of Information Committee, * Use vapor-recovery systems in light oil pro- Brussels. cessing, tar processing and storage, naphtha- USEPA (United States Environmental Protection lene processing, and phenol and ammonia Agency). 1982. Development Document for Effluent recovery operations. Limitations Guidelines and Standards for the Iron and * Recover sulfur from coke oven gas. Steel Manufacturing Point Source Subcategory. EPA440/ * Segregate process and cooling water. 1-82/024. Washington, D.C. * Recycle process solid wastes to the coke oven. United States. 1992. Federal Register, vol. 57, no. 160, August 18. Washington, D.C.: Government Printing Sources Office. World Bank. 1995. "Industrial Pollution Prevention and Bounicore, Anthony J., and Wayne T. Davis, eds. 1992. Abatement: Coke Manufacturing." Draft Technical Air Pollution Engineering Manual. New York: Van Background Document. Washington, D.C. Nostrand Reinhold. WHO (World Health Organization). 1989. Management European Community. 1993. "Technical Note on the and Control of the Environment. WHO/PEP/89.1. Best Available Technologies to Reduce Emissions Geneva. Copper Smelting Industry Description and Practices ISA-SMELT and KIVCET, which replace roasting and smelting. For converting, the Pierce-Smith Copper can be produced either pyrometallur- and Hoboken converters are the most common gically or hydrometallurgically. The hydromet- processes. allurgical route is used only for a very limited The matte from the furnace is charged to con- amount of the world's copper production and is verters, where the molten material is oxidized in normally only considered in connection with in- the presence of air to remove the iron and sulfur situ leaching of copper ores; from an environmen- impurities (as converter slag) and to form blister tal point of view, this is a questionable produc- copper. tion route. Several different processes can be used Blister copper is further refined as either fire- for copper production. The traditional process is refined copper or anode copper (99.5% pure cop- based on roasting, smelting in reverbatory fur- per), which is used in subsequent electrolytic naces (or electric furnaces for more complex ores), refining. In fire refining, molten blister copper is producing matte (copper-iron sulfide), and con- placed in a fire-refining furnace, a flux may be verting for production of blister copper, which is added, and air is blown through the molten mix- further refined to cathode copper. This route for ture to remove residual sulfur. Air blowing re- production of cathode copper requires large suits in residual oxygen, which is removed by amounts of energy per ton of copper: 30-40 mil- the addition of natural gas, propane, ammonia, lion British thermal units (Btu) per ton cathode or wood. The fire-refined copper is cast into an- copper. It also produces furnace gases with low odes for further refining by electrolytic processes sulfur dioxide (SO2) concentrations from which or is cast into shapes for sale. the production of sulfuric acid or other products In the most common hydrometallurgical pro- is less efficient. The sulfur dioxide concentration cess, the ore is leached with ammonia or sulfuric in the exhaust gas from a reverbatory furnace is acid to extract the copper. These processes can about 0.5-1.5%; that from an electric furnace is operate at atmospheric pressure or as pressure about 2-4%. So-called flash smelting techniques leach circuits. Copper is recovered from solution have therefore been developed that utilize the by electrowinning, a process similar to electrolytic energy released during oxidation of the sulfur in refining. The process is most commonly used for the ore. The flash techniques reduce the energy leaching low-grade deposits in situ or as heaps. demand to about 20 million Btu/ton of produced Recovery of copper metal and alloys from cathode copper. The SO2 concentration in the off copper-bearing scrap metal and smelting resi- gases from flash furnaces is also higher, over 30%, dues requires preparation of the scrap (e.g., re- and is less expensive to convert to sulfuric acid. moval of insulation) prior to feeding into the (Note that the INCO process results in 80% sul- primary process. Electric arc furnaces using scrap fur dioxide in the off gas.) Flash processes have as feed are also common. been in use since the 1950s. In addition to the above processes, there are a Waste Characteristics number of newer processes such as Noranda, Mitsubishi, and Contop, which replace roasting, The principal air pollutants emitted from the pro- smelting, and converting, or processes such as cesses are sulfur dioxide and particulate matter. 291 292 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES The amount of sulfur dioxide released depends ges from wastewater treatment processes that on the characteristics of the ore-complex ores require reuse/recovery or appropriate disposal. may contain lead, zinc, nickel, and other metals- The main portion of the solid waste is dis- and on whether facilities are in place for captur- carded slag from the smelter. Discard slag may ing and converting the sulfur dioxide. SO2 contain 0.5-0.7% copper and is frequently used emissions may range from less than 4 kilo- as construction material or for sandblasting. grams per metric ton (kg/t) of copper to 2,000 Leaching processes produce residues, while ef- kg/t of copper. Particulate emissions can range fluent treatment results in sludges, which can be from 0.1 kg/t of copper to as high as 20 kg/t of sent for metals recovery. The smelting process copper. typically produces less than 3 tons of solid waste Fugitive emissions occur at furnace openings per ton of copper produced. and from launders, casting molds, and ladles car- rying molten materials. Additional fugitive par- Pollution Prevention and Control ticulate emissions occur from materials handling and transport of ores and concentrates. Process gas streams containing sulfur dioxide are Some vapors, such as arsine, are produced in processed to produce sulfuric acid, liquid sulfur hydrometallurgy and various refining processes. dioxide, or sulfur. The smelting furnace will gen- Dioxins can be formed from plastic and other erate process gas streams with S0, concentrations organic material when scrap is melted. The prin- ranging from 0.5% to 80%, depending on the pro- cipal constituents of the particulate matter are cess used. It is important, therefore, that a pro- copper and iron oxides. Other copper and iron cess be selected that uses oxygen-enriched air (or compounds, as well as sulfides, sulfates, oxides, pure oxygen) to raise the SO, content of the pro- chlorides, and fluorides of arsenic, antimony, cad- cess gas stream and reduce the total volume of mium, lead, mercury, and zinc, may also be the stream, thus permitting efficient fixation of present. Mercury can also be present in metallic sulfur dioxide. Processes should be operated to form. At higher temperatures, mercury and ar- maximize the concentration of the sulfur diox- senic could be present in vapor form. Leaching ide. An added benefit is the reduction of nitro- processes will generate acid vapors, while fire- gen oxides (NOj. refining processes result in copper and SO, emis- Closed-loop electrolysis plants will contribute sions. Emissions of arsine, hydrogen vapors, and to prevention of pollution. acid mists are associated with electrorefining. Continuous casting machines should be used Wastewater from primary copper production for cathode production to avoid the need for contains dissolved and suspended solids that mold release agents. may include concentrations of copper, lead, cad- Furnaces should be enclosed to reduce fugi- mium, zinc, arsenic, and mercury and residues tive emissions, and dust from dust control equip- from mold release agents (lime or aluminum ox- ment should be returned to the process. ides). Fluoride may also be present, and the ef- Energy efficiency measures (such as waste heat fluent may have a low pH. Normally there is no recovery from process gases) should be applied liquid effluent from the smelter other than cool- to reduce fuel usage and associated emissions. ing water; wastewaters do originate in scrubbers Recycling should be practiced for cooling wa- (if used), wet electrostatic precipitators, cooling ter, condensates, rainwater, and excess process of copper cathodes, and so on. In the electrolytic water used for washing, dust control, gas scrub- refining process, by-products such as gold and bing, and other process applications where wa- silver are collected as slimes that are subsequently ter quality is not a concern. recovered. Sources of wastewater include spent Good housekeeping practices are key to mini- electrolytic baths, slimes recovery, spent acid mizing losses and preventing fugitive emissions. from hydrometallurgy processes, cooling water, Such losses and emissions are minimized by en- air scrubbers, washdowns, stormwater, and slud- closed buildings, covered or enclosed conveyors Copper Smelting 293 and transfer points, and dust collection equip- of World Bank Group assistance. Any devia- ment. Yards should be paved and runoff water tions from these levels must be described in routed to settling ponds. Regular sweeping of the World Bank Group project documentation. yards and indoor storage or coverage of concen- The emissions levels given here can be con- trates and other raw materials also reduces ma- sistently achieved by well-designed, well- terials losses and emissions. operated, and well-maintained pollution control systems. Treatment Technologies The guidelines are expressed as concen- trations to facilitate monitoring. Dilution of air Fabric filters are used to control particulate emis- emissions or effluents to achieve these guidelines sions. Dust that is captured but not recycled will is unacceptable. need to be disposed of in a secure landfill or other All of the maximum levels should be achieved acceptable manner. for at least 95% of the time that the plant or unit Vapors of arsenic and mercury present at high is operating, to be calculated as a proportion of gas temperatures are condensed by gas cooling and annual operating hours. removed. Additional scrubbing may be required. Effluent treatment by precipitation, filtration, Air Emissions and so on of process bleed streams, filter back- wash waters, boiler blowdown, and other The air emissions levels presented in Table 1 streams may be required to reduce suspended should be achieved. and dissolved solids and heavy metals. Residues The EA should address the buildup of heavy that result from treatment are sent for metals re- metals from particulate fallout in the vicinity of covery or to sedimentation basins. Stormwaters the plant over its projected life. should be treated for suspended solids and heavy metals reduction. Liquid Effluents Slag should be landfilled or granulated and sold. The effluent emissions levels presented in Table Modern plants using good industrial practices 2 should be achieved. should set as targets total dust releases of 0.5-1.0 kg/t of copper and SO2 discharges of 25 kg/t of Ambient Noise copper. A double-contact, double-absorption plant should emit no more than 0.2 kg of sulfur Noise abatement measures should achieve either dioxide per ton of sulfuric acid produced (based the levels given below or a maximum increase in on a conversion efficiency of 99.7%). background levels of 3 decibels (measured on the A scale) [dB(A)]. Measurements are to be taken Emissions Guidelines Table 1. Emissions from Copper Smelting Emissions levels for the design and operation of (milligrams per normal cubic meter) each project must be established through the en- Maximum value vironmental assessment (EA) process on the ba- sis of country legislation and the Pollution Prevention Sulfur dioxide 1,000 and Abatement Handbook, as applied to local con- Arsenic 0.5 ditions. The emissions levels selected must be Cadmium 0.05 justified in the EA and acceptable to the World Copper 1 Bank Group. Lead 0.2 The guidelines given below present emissions Mercury 0.05 levels normally acceptable to the World Bank Particulates, oter s0 Group in making decisions regarding provisionp 294 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Table 2. Effluents from Copper Smelting Monitoring data should be analyzed and re- (milligrams per liter, except for pH and temperature) viewed at regular intervals and compared with Parameter Maximum value the operating standards so that any necessary cor- rective actions can be taken. Records of monitor- pH 6-9 ing results should be kept in an acceptable format. Total suspended solids 50 The reports should be reported to the responsible Arsenic 0.1 authorities and relevant parties, as required. Cadmium 0.1 Copper 0.5 Key Issues Iron 3.5 Lead 0.1 Mercury (total) 0.01 The key production and control practices that will Zinc 1.0 lead to compliance with emissions requirements Total metals 10 can be summarized as follows: Temperature increase <3'Ca _________________________________ *Give preference to processes that are energy Note: Effluent requirements are for direct discharge to surface efficient and that produce high SO, concentra- waters. a. The effluent should result in a temperature increase of no ts (e fls smet). more than 30 C at the edge of the zone where initial mixing and dilution take place. Where the zone is not defined, use 100 Use the double-contact, double-absorption meters from the point of discharge. process for sulfuric acid production. *Reduce effluent discharge by maximizing wastewater recycling. at noise receptors located outside the project Maximize the recovery of dust and sludges. property boundary. Minimize fugitive emissions by encapsulation Maximum allowable og of process equipment and use of covered or equivalent (hourly enclosed conveyors. measurements), in dB(A) Give preference to dry dust collectors over wet Day Night scrubbers. Receptor (07:00-22:00) (22:00-07:00) Sources Residential, institutional, educational 55 45 Industrial, Air Pollution Engineering Manual. New York: Van commercial 70 70 Nostrand Reinhold. Environment Canada. 1980. "A Study of Sulphur Con- Monitoring and Reporting tainment Technology in the Non-Ferrous Metallur- gical Industries." Report EPS 3-AP-79-8. Ottawa. Frequent sampling may be required during start- European Commission. 1991. "Technical Note on Best up and upset conditions. Once a record of con- Available Technologies Not Entailing Excessive sistent performance has been established, Costs for Heavy Metal Emissions from Non-Ferrous sampling for the parameters listed in this docu- Industrial Plants." Brussels. ment should be as described below. * 1993. "Study on the Technical and Economi- Air emissions should be monitored continu- cal Aspects of Measures to Reduce the Pollution of ously for sulfur dioxide and particulate matter. Water and Other Environmental Areas from the Other air emissions parameters should be moni- Non-Ferrous Metal Industry." Brussels. tored annually. World Bank. 1996. "Pollution Prevention and Abate- Liquid effluents should be monitored daily for ment: Copper Smelting." Draft Technical Back- pH and total suspended solids and at least ground Document. Environment Department, monthly for all other parameters. Washington, D.C. Dairy Industry Industry Description and Practices - Reduction of product losses by better produc- tion control. The dairy industry involves processing raw milk e Use of disposable packaging (or bulk dispens- into products such as consumer milk, butter, ing of milk) instead of bottles where feasible. cheese, yogurt, condensed milk, dried milk (milk 9 Collection of waste product for use in lower- powder), and ice cream, using processes such as grade products such as animal feed where this chilling, pasteurization, and homogenization. is feasible without exceeding cattle feed qual- Typical by-products include buttermilk, whey, ity limits. and their derivatives. - Optimization of use of water and cleaning chemicals; recirculation of cooling waters. Waste Characteristics * Segregation of effluents from sanitary instal- lations, processing, and cooling (including con- Dairy effluents contain dissolved sugars and pro- densation) systems; this facilitates recycling of teins, fats, and possibly residues of additives. The wastewater. key parameters are biochemical oxygen demand - Use of condensates instead of fresh water for (BOD), with an average ranging from 0.8 to 2.5 cleaning. kilograms per metric ton (kg/t) of milk in the * Recovery of energy by using heat exchangers untreated effluent; chemical oxygen demand for cooling and condensing. (COD), which is normally about 1.5 times the * Use of high-pressure nozzles to minimize wa- BOD level; total suspended solids, at 100-1,000 ter usage. milligrams per liter (mg/1); total dissolved sol- * Avoidance of the use of phosphorus-based ids: phosphorus (10-100 mg/1), and nitrogen cleaning agents. (about 6% of the BOD level). Cream, butter, Continuous sampling and measuring of key cheese, and whey production are major sources production parameters allow production losses of BOD in wastewater. The waste load equiva- to be identified and reduced, thus reducing the lents of specific milk constituents are: 1 kg of milk waste load. Table 1 presents product losses for a fat = 3 kg COD; 1 kg of lactose = 1.13 kg COD; well-run dairy. and 1 kg protein = 1.36 kg COD. The wastewater Odor problems can usually be prevented with may contain pathogens from contaminated ma- good hygiene and storage practices. Chlorinated terials or production processes. A dairy often fluorocarbons should not be used in the refrig- generates odors and, in some cases, dust, which eration system. need to be controlled. Most of the solid wastes can be processed into other products and by- Target Pollution Loads products. Since the pollutants generated by the industry Pollution Prevention and Control are very largely losses in production, improve- ments in production efficiency (as described in Good pollution prevention practices in the dairy the previous section) are recommended to reduce industry include: pollutant loads. 295 296 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Table 1. Product Losses in the Dairy Industry Emissions Guidelines (percent) Product losses Emissions levels for the design and operation of Operation Milk Fat Whey each project must be established through the en- vironmental assessment (EA) process on the ba- Butter/transport sis of country legislation and the Pollution Prevention of skimmed milk 0.17 0.14 n.a. and Abatement Handbook, as applied to local con- Butter and skimmed ditions. The emissions levels selected must be milk powder 0.60 0.20 n.a. justified in the EA and acceptable to the World Cheese 0.20 0.10 1.6 BankGroup. Cheese and whey The guidelines given below present emissions evaporation 0.20 0.10 2.2 levels normally acceptable to the World Bank Cheese and whey powder 0.20 0.10 2.3 Consumer milk 1.9 0.7 n.a. Full-cream milk powder 0.64 0.22 n.a. of World Bank Group assistance. Any deviations from these levels must be described in the World n.a. Not applicable. Bank Group project documentation. The emis- Note: Data are expressed as the percentage of the volume of sions levels given here canbe consistently achieved milk, fat, or whey processed. by well-designed, well-operated, and well-main- tained pollution control systems. The guidelines are expressed as concentrations Wastewater loads are typically 1-2 cubic to facilitate monitoring. Dilution of air emissions meters per metric ton (m3/t) of milk processed. or effluents to achieve these guidelines is unac- The plant operators should aim to achieve rates ceptable. of 1 m/t or less at the intake of the effluent treat- All of the maximum levels should be achieved ment system. The BOD level should be less than for at least 95% of the time that the plant or unit 2.5 kg/t of milk, with a target of 1-1.5 kg/t. The is operating, to be calculated as a proportion of BOD level from butter and cheese production annual operating hours. should be less than 2 kg/t of product. Air Emissions Treatment Technologies Odor controls (such as absorbents /biofilters on Pretreatment of effluents consists of screening, exhaust systems) should be implemented where flow equalization, neutralization, and air flota- necessary to achieve acceptable odor quality for tion (to remove fats and solids); it is normally nearby residents. Fabric filters should be used followed by biological treatment. If space is avail- to control dust from milk powder production able, land treatment or pond systems are poten- to below 50 milligrams per normal cubic meter tial treatment methods. Other possible biological (mg/Nm'). treatment systems include trickling filters, rotat- ing biological contactors, and activated sludge Liquid Effluents treatment. Pretreated dairy effluents can be discharged The effluent levels presented in Table 2 should to a municipal sewerage system, if capacity ex- be achieved. ists, with the approval of the relevant authority. Odor control by ventilation and scrubbing may Ambient Noise be required where cheese is stored or melted. Dust control at milk powder plants is provided Noise abatement measures should achieve either by fabric filters. the levels given below or a maximum increase in Dairy Industry 297 Table 2. Effluents from the Dairy Industry once per month, or more frequently if the flows (milligrams per liter, except for pH, temperature, and bacteria) vary significantly. Parameter Maximum value Monitoring data should be analyzed and re- viewed at regular intervals and compared with pH 6-9 the operating standards so that any necessary BOD 50 corrective actions can be taken. Records of moni- COD 250 toring results should be kept in an acceptable TSS 50 format. The results should be reported to the Oil and grease 10 Total nitrogen 10 Total phosphorus 2 required. Temperature increase < 3 Ca Coliform bacteria 400 MPN/100 ml Key Issues Note: Effluent requirements are for direct discharge to surface The key production and control practices that will waters. MPN, most probable number. a. The effluent should result in a temperature increase of no more than 3' C at the edge of the zone where initial mixing and be summarized as follows: dilution take place. Where the zone is not defined, use 100 meters from the point of discharge. e Monitor key production parameters to reduce product losses. 9Use disposable packaging (or bulk dispensing background levels of 3 decibels (measured on the of milk) instead of bottles, where feasible. A scale) [dB(A)]. Measurements are to be taken 9 Design and operate the production system to at noise receptors located outside the project achieve recommended wastewater loads. property boundary. - Recirculate cooling waters. e Collect wastes for use in low-grade products. Maximum allowable log equivalent (hourly Sources measurements), in dB(A) Day Night Economopoulos, Alexander P. 1993. Assessment Of Receptor (07:00-22:00) (22:00-07:00) Sources of Air, Water, and Land Pollution: A Guide to Rapid Source Inventory Techniques and Their Use in Residential, Formulating Environmental Control Strategies. Part 1: institutional, Rapid Inventory Techniques in Environmental Pollution. educational 55 45 "HO/PEP/GETNET/93.1-A. Geneva: World Health Industrial, Organization. commercial 70 70 Robinson, R. K. 1986. "Advances in Milk Products." In Modern Dairy Technology, Vol. 2. Amsterdam: Monitoring and Reporting Elsevier Applied Science Publishers. World Bank. 1996. "Pollution Prevention and Abatement: Monitoring of the final effluent for the param- Dairy Industry." Draft Technical Background Docu- eters listed above should be carried out at least ment. Environent Department, Washington, D.C. Dye Manufacturing Industry Description and Practices * Acid dyes: used for coloring animal fibers via acidified solution (containing sulfuric acid, This document discusses the synthesis of dyes acetic acid, sodium sulfate, and surfactants) in and pigments used in textiles and other indus- combination with amphoteric protein tries. Dyes are soluble at some stage of the appli- * Azoic dyes: contain the azo group (and formic cation process, whereas pigments, in general, acid, caustic soda, metallic compounds, and retain essentially their particulate or crystalline sodium nitrate); especially for application to form during application. A dye is used to impart cotton color to materials of which it becomes an inte- - Basic dyes: ano derivatives (and acetic acid gral part. An aromatic ring structure coupled and softening agents); used mainly for appli- with a side chain is usually required for resonance cation on paper and thus to impart color. (Resonance structures * Direct dyes: azo dyes, and sodium salts, fixing that cause displacement or appearance of absorp- agents, and metallic (chrome and copper) com- tion bands in the visible spectrum of light are pounds; used generally on cotton-wool, or cot- responsible for color.) Correlation of chemical ton-silk combinations structure with color has been accomplished in - Mordant or chrome dyes: metallic salt or lake the synthesis of dye using a chromogen-chro- formed directly on the fiber by the use of alu- mophore with auxochrome. Chromogen is the minum, chromium, or iron salts that cause aromatic structure containing benzene, naphtha- precipitation in situ lene, or anthracene rings. A chromophore group * Lake or pigment dyes: form insoluble compounds is a color giver and is represented by the follow- with aluminum, barium, or chromium on mo- ing radicals, which form a basis for the chemical lybdenum salts; the precipitates are ground to classification of dyes when coupled with the chro- form pigments used in paint and inks mogen: azo (-N=N-); carbonyl (=C=O); carbon e Sulfur or sulfide dyes: contain sulfur or are pre- (=C=C=); carbon-nitrogen (>C=NH or -CH=N-); cipitated from sodium sulfide bath; furnish nitroso (-NO or N-OH); nitio (-NO, or =NO-OH); dull shades with good fastness to light, wash- and sulfur (>C=S, and other carbon-sulfur groups). The chromogen-chromophore structure igan is often not sufficient to impart solubility and lgt cause adherence of dye to fiber. The auxochrome i Vatdsim nat ed t fb unerure or bonding affinity groups are amine, hydroxyl, cond in carboxyl, and sulfonic radicals, or their deriva- tives. These auxochromes are important in the Chemical classification is based on chromogen. use classification of dyes. A listing of dyes by use For example, nitro dyes have the chromophore classification comprises the following: -NO,. The Color Index (C.J.), published by the So- * Acetate rayon dyes: developed for cellulose ac- ciety of Dyers and Colourists (United Kingdom) etate and some synthetic fibers in cooperation with the American Association of 298 Dye Manufacturing 299 Textile Chemists and Colorists (AATC), provides sludges, spent acids, and process residues from a detailed classification of commercial dyes and the manufacture of chrome yellow and orange pigments by generic name and chemical consti- pigments, molybdate orange pigments, zinc yel- tution. This sourcebook also gives useful infor- low pigments, chrome and chrome oxide green mation on technical performance, physical pigments, iron blue pigments, and azo dyes. properties, and application areas. Dyes are synthesized in a reactor, filtered, Pollution Prevention and Control dried, and blended with other additives to produce the final product. The synthesis step Every effort should be made to substitute degrad- involves reactions such as sulfonation, haloge- able and less toxic ingredients for highly toxic nation, amination, diazotization, and coupling, and persistent ingredients. Recommended pol- followed by separation processes that may in- lution prevention measures are to: clude distillation, precipitation, and crystalliza- * Avoid the manufacture of toxic azo dyes and tion. In general, organic compounds such as naphthalene are reacted with an acid or an alkali proie anativedst along with an intermediate (such as a nitrating tete anufctre. or a sulfonating compound) and a solvent to form a dye mixture. The dye is then separated from Redients-to mniz tae. the mixture and purified. On completion of the maReus b rous romaterprossas ra manufacture of actual color, finishing operations, other processes. including drying, grinding, and standardization, - Use automated filling to minimize spillage. are performed; these are important for maintain- - Use equipment washdown waters as makeup ing consistent product quality. solutions for subsequent batches. Waste Characteristics * Return toxic materials packaging to supplier for reuse, where feasible. The rinipalairpolltans frm de maufa- *Find productive uses for off-specification prod- The principal air pollutants from dye manufac- ut oaoddsoa rbes turing are volatile organic compounds (VOCs), us highprs oses forlem e a nitrogen oxides (NOx), hydrogen chloride (HC1), igh reu e aount of wastet en- and sulfur oxides (SOx). eredu Liquid effluents resulting from equipment erabed s cleaning after batch operation can contain toxic organic residues. Cooling waters are normally als in secure, bunded areas. recirculated. Wastewater generation rates are of A dye and pigment manufacturing plant the order of 1-700 liters per kg (1/kg) of product should prepare and implement an emergency except for vat dyes. The wastewater generation plan that takes into account neighboring land rate for vat dyes can be of the order of 8,000 1/kg uses and the potential consequences of an emer- of product. Biochemical oxygen demand (BOD) gency. Measures to avoid the release of harmful and chemical oxygen demand (COD) levels of substances should be incorporated in the design, reactive and azo dyes can be of the order of 25 operation, maintenance, and management of the kg/kg of product and 80 kg/ kg of product, re- plant. spectively. Values for other dyes are, for example, BOD, 6 kg/kg; COD, 25 kg/kg; suspending sol- Target Pollution Loads ids, 6 kg/kg; and oil and grease, 30 kg/kg of product. Implementation of cleaner production processes Major solid wastes of concern include filtra- and pollution prevention measures can yield both tion sludges, process and effluent treatment slud- economic and environmental benefits. ges, and container residues. Examples of wastes Specific reduction targets for the different pro- considered toxic include wastewater treatment cesses have not been determined. In the absence 300 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES of specific pollution reduction targets, new plants from these levels must be described in the World should always achieve better than the industry Bank Group project documentation. The emis- averages cited in "Waste Characteristics," above. sions levels given here can be consistently achieved by well-designed, well-operated, and Treatment Technologies well-maintained pollution control systems. The guidelines are expressed as concentrations Air Emissions to facilitate monitoring. Dilution of air emissions or effluents to achieve these guidelines is unac- Stack gas scrubbing and/or carbon adsorption ceptable. (for toxic organics) are applicable and effective All of the maximum levels should be achieved technologies for minimizing the release of sig- for at least 95% of the time that the plant or unit nificant pollutants to air. Combustion is used to is operating, to be calculated as a proportion of destroy toxic organics. Combustion devices annual operating hours. should be operated at temperatures above 1,100' C (when required for the effective destruction of Air Emissions toxic organics), with a residence time of at least 0.5 second. The emissions levels presented in Table 1 should be achieved. Liquid Effluents Liquid Effluents Effluent treatment normally includes neutraliza- tion, flocculation, coagulation, settling, carbon ad- The effluent levels presented in Table 2 should sorption, detoxification of organics by oxidation be achieved. (using ultraviolet systems or peroxide solutions), and biological treatment. Exhausted carbon from adsorption processes may be sent for regenera- Table 1. Emissions from Dye Manufacturing tion or combustion. Reverse osmosis, ultrafiltra- (milligrams per normal cubic meter) tion, and other filtration techniques are used to Parameter Maximum value recover and concentrate process intermediates. Chlorine (or chloride) 10 Solid Hazardous Wastes VOCS 20 Contaminated solid wastes are generally incin- erated, and the flue gases, when acidic, are Table 2. Effluents from Dye Manufacturing scrubbed. (milligrams per liter, except for pH) Parameter Maximum value Emissions Guidelines pH 6-9 Emissions levels for the design and operation of BOD 30 each project must be established through the en- COD 150 vironmental assessment (EA) process on the ba- TSS 50 sis of country legislation and the Pollution Prevention POil dges0 and Abatement Handbook, as applied to local con- Chromium (hexavalent) 0.1 ditions. The emissions levels selected must be Copper 0.5 justified in the EA and acceptable to the World Zinc 2 Bank Group. AOX 1 The guidelines given below present emissions Toxic organics such as levels normally acceptable to the World Bank benzidine (each) 0.05 Group in making decisions regarding provision Note: Effluent requirements are for direct discharge to surface of World Bank Group assistance. Any deviations waters. Dye Manufacturing 301 Solid Wastes every shift. The remaining parameters should be monitored at least daily Contaminated solid wastes should be incinerated Monitoring data should be analyzed and re- under controlled conditions to reduce toxic or- viewed at regular intervals and compared with ganics to nondetectable levels, in no case exceed- the operating standards so that any necessary ing 0.05 mg/kg or the health-based level. corrective actions can be taken. Records of moni- toring results should be kept in an acceptable Ambient Noise format. The results should be reported to the responsible authorities and relevant parties, as Noise abatement measures should achieve either required. the levels given below or a maximum increase in background levels of 3 decibels (measured on the Key Issues A scale) [dB(A)]. Measurements are to be taken at noise receptors located outside the project The key production and control practices that will property boundary. lead to compliance with emissions guidelines can be summarized as follows: Maximum allowable tog equivalent (hourly * Avoid the manufacture of toxic azo dyes and measurements), in dB(A) provide alternative dyestuffs to users such as Day Night textile manufacturers. Receptor (07:00-22:00) (22:00-07:00) 9 Replace highly toxic and persistent ingredients Residential,with less toxic and degradable ones. Reintiioal, * Control loss and wastage of toxic ingredients. institutional,Reunfreilng educational 55 45 packaging Industrial, * Use equipment washdown waters as makeup commercial 70 70 solutions for subsequent batches. e Minimize wastage by inventory control and Monitoring and Reporting find uses for off-specification products. Frequent sampling may be required during start- Sources up and upset conditions. Once a record of con- sistent performance has been established, Kirk, Raymond E., and Donald E. Othmer. 1980. Kirk- sampling for the parameters listed in this docu- Othmer Encyclopedia of Chemical Technology. 3d ed. ment should be as described below. New York: John Wiley and Sons. Monitoring of air emissions should be done Austen, George T., R. N. Shreve, and Joseph A. Brink. on a continuous basis. Liquid effluents should 1984. Shreve's Chemical Process Industries. New York: be monitored for toxic ingredients at least once McGraw-Hill. Electronics Manufacturing Industry Description and Practices sides), and multilayer (three or more circuit lay- ers). Board manufacturing is accomplished by The electronics industry includes the manufac- producing patterns of conductive material on a ture of passive components (resistors, capacitors, nonconductive substrate by subtractive or addi- inductors); semiconductor components (discretes, tive processes. (The conductor is usually copper; integrated circuits); printed circuit boards (single the base can be pressed epoxy, Teflon, or glass.) and multilayer boards); and printed wiring assem- In the subtractive process, which is the preferred blies. This chapter addresses the environmental route, the steps include cleaning and surface issues associated with the last three manufactur- preparation of the base, electroless copperplating, ing processes. The manufacture of passive com- pattern printing and masking, electroplating, and ponents is not included because it is similar to etching. that of semiconductors. (A difference is that pas- Printed wiring assemblies. Printed wiring assem- sive component manufacturing uses less of the blies consist of components attached to one or toxic chemicals employed in doping semiconduc- both sides of the printed circuit board. The at- tor components and more organic solvents, ep- tachment may be by through-hole technology, in oxies, plating metals, coatings, and lead.) which the "legs" of the components are inserted Semiconductors. Semiconductors are produced through holes in the board and are soldered in by treating semiconductor substances with place from underneath, or by surface mount tech- dopants such as boron or phosphorus atoms to nology (SMT), in which components are attached give them electrical properties. Important semi- to the surface by solder or conductive adhesive. conductor substances are silicon and gallium ar- (The solder is generally a tin-lead alloy.) In senide. Manufacturing stages include crystal printed circuit boards of all types, drilled holes growth; acid etch and epitaxy formation; doping may have to be copper-plated to ensure intercon- and oxidation; diffusion and ion implantation; nections between the different copper layers. metallization; chemical vapor deposition; die SMT, which eliminates the drilled holes, allows separation; die attachment; postsolder cleaning; much denser packing of components, especially wire bonding; encapsulation packaging; and fi- when components are mounted on both sides. It nal testing, marking, and packaging. Several of also offers higher-speed performance and is gain- these process steps are repeated several times, ing over through-hole technology. so the actual length of the production chain may well exceed 100 processing steps. Between the Waste Characteristics repetitions, a cleaning step that contributes to the amount of effluent produced by the process is Air Emissions often necessary. Production involves carcinogenic and mutagenic substances and should therefore Potential air emissions from semiconductor manu- be carried out in closed systems. facturing include toxic, reactive, and hazardous Printed circuit board (PCB) manufacturing. There gases; organic solvents; and particulates from the are three types of boards: single sided (circuits process. The changing of gas cylinders may also on one side only), double sided (circuits on both result in fugitive emissions of gases. Chemicals 302 Electronics Manufacturing 303 in use may include hydrogen, silane, arsine, phos- Solid and Hazardous Wastes phine, diborane, hydrogen chloride, hydrogen fluoride, dichlorosilane, phosphorous oxychlo- Solid and hazardous wastes from semiconductor ride, and boron tribromide. manufacture may include heavy metals, solder Potential air emissions from the manufacture dross (solder pot skimmings), arsenic, spent ep- of printed circuit boards include sulfuric, hydro- oxy, and waste organic solvents (contributing the chloric, phosphoric, nitric, acetic, and other ac- largest volume of waste). In printed circuit board ids; chlorine; ammonia; and organic solvent operations, solid wastes may include scrap board vapors (isopropanol, acetone, trichloroethylene; materials, plating and hydroxide sludges, and n-butyl acetate; xylene; petroleum distillates; and inks. In the manufacture of printed wiring assem- ozone-depleting substances). blies, solid wastes may include solder dross, scrap In the manufacture of printed wiring assemblies, boards, components, organic solvents, and met- air emissions may include organic solvent vapors als. Boards may also be treated with brominated and fumes from the soldering process, including flame retardants, which may pose some environ- aldehydes, flux vapors, organic acids, and so on. mental risk when boards are disposed of in land- Throughout the electronics manufacturing fills. All conventional electronics present sector, chlorofluorocarbons (CFCs) have been a additional hazards in landfills because of the preferred organic solvent for a variety of appli- presence of lead in cathode-ray tube envelopes cations. CFCs are ozone-depleting substances and in solder, as well as lead and other metal salts, (ODSs). Their production in and import into de- particularly if they have not been cleaned in a veloping countries will soon be banned. postsoldering operation. Hydrochlorofluorocarbons (HCFCs) have been All three manufacturing processes may gen- developed as a substitute for CFCs, but they too erate sludges containing heavy metals from are ODSs and will be phased out. Methyl chloro- wastewater treatment plants. Organic solvent form, another organic solvent, has also been used residues also require management and disposal. by the electronics industry; it too is an ODS and is being eliminated globally on the same sched- Pollution Prevention and Control ule as CFCs. Chlorobromomethane and n-propyl bromide are also unacceptable because of their Semiconductor Industry high ozone-depleting potential. Measures such as plasma etching of silicon ni- Effluents tride (a dry process) in metal oxide semiconduc- tor (MOS) technology replace the hot corrosive Effluents from the manufacture of semiconductors phosphoric acid (H3P0J wet process and offer may have a low pH from hydrofluoric, hydro- reductions in generated waste and better safety chloric, and sulfuric acids (the major contribu- for workers while reducing the number of pro- tors to low pH) and may contain organic solvents, cessing steps. Because of the reaction of the phosphorous oxychloride (which decomposes in plasma with the substrate, several substances are water to form phosphoric and hydrochloric ac- formed that are regarded as carcinogenic or mu- ids), acetate, metals, and fluorides. tagenic and that may pose a danger to mainte- Effluents from the manufacture of printed cir- nance personnel. Risks are minimized by cuit boards may contain organic solvents, vinyl sweeping equipment with nitrogen before open- polymers; stannic oxide; metals such as copper, ing it. A gas mask with breathing equipment nickel, iron, chromium, tin, lead, palladium, and should be worn by personnel during repair and gold; cyanides (because some metals may be maintenance. complexed with chelating agents); sulfates; fluo- rides and fluoroborates; ammonia; and acids. Printed Circuit Board Manufacturing Effluents from printed wiring assemblies may contain acids, alkalis, fluxes, metals, organic sol- A number of process alternatives exist for the vents, and, where electroplating is involved, manufacture of printed circuit boards. These in- metals, fluorides, cyanides, and sulfates. fiude: 304 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES * In board manufacture: SMT rather than plated intes a c s ten th corrsod through-hole technology; injection molded igequipe nd has besown to gie substrate; additive plating adequateodi * In cleaning and surface preparation: use of nonchelating cleaners; extension of bath life; improvement of rinse efficiency; countercur- rent cleaning; recycling and reuse of cleaners Organic solvent losses can be reduced by conser- and rinses vation and recycling, using closed-loop delivery * In pattern printing and masking: aqueous systems, hoods, fans, and stills. Installation of processable resist; screen printing to replace activated carbon systems can achieve up to 90% photolithography; dry photoresist; recycling and reuse of photoresist strippers; segregation te andtreccle solvents usedin of streams; recovery of metals testem.cll ses and azarouse * For electroplating and electroless plating: re- ca (includin ss qi ap ia s placement of these processes by mechanical storgestoAprevnt pills and acc ntai- board production; use of noncyanide baths; rs ll ta e d o her contain - extension of bath life; recycling and reuse of ers densituae or si containe ty cleaners and rinses; improvement of rinse ef- th dimenon large en to Containmt to- ficiency; countercurrent rinsing; segregation of tavouefliidvrthmCnanetf- ficincy contecurentrining seregtio of cilities must resist all chemical attack from the streams; recovery of metals * In etching: use of differential plating; use of prducts.sIntlieurofsona iet alte teaoo nonchelated etchants and nonchrome etchant; an. l, o a eonb hehma ae use of pattern instead of panel plating; use of eg,b neoypouc,weeceial p additive instead of subtractive processes; re- propriate) to prevent the possibility of leakage of cyclig andsreus of eutcts. rcsss e accidental spills into the ground, and there should cyclingbe doorsills. (Untreated cement or concrete or Metal recovery by regenerative electrowinning grouted tile floors are permeable.) It is unaccept- results in a near-zero effluent discharge for seg- able to have a drain in the floor of any shop where regated metal-bearing streams. Heavy metals are chemicals of any description are used or stored, recovered to metal sheets, which eliminates 95% except where such a drain leads to an adequate of sludge disposal. Metal-bearing sludges that are water-treatment plant capable of rendering used not treated for recovery of metals should be dis- or stored chemicals in its catchment area. posed of in secure landfills. Waste organic solvents should be sent to a sol- vent recycling operation for reconstitution and Printed Wiring Assemblies reuse. Where recycling facilities are not available, waste solvents may need to be incinerated or In the printed wiring assembly process, non- destroyed as appropriate for their chemical com- ozone-depleting alternatives are readily available position. for cleaning printed wiring assemblies. These al- ternatives include other organic solvents, hydro- Target Pollution Loads carbon/surfactant blends, alcohols, and organic solvent blends, as well as aqueous and semi- Implementation of cleaner production processes aqueous processes. More important, the indus- and pollution prevention measures can yield both try has shown that even sophisticated printed economic and environmental benefits. The fol- wiring assemblies intended for military uses lowing production-related targets can be (where specifications are very exacting) can be achieved by measures such as those described in made without cleaning by using low-residue the previous section. fluxes that leave very little in the way of con- Ozone-depleting substances are not to be used tamination on the boards. The no-clean concept in production operations unless no proven alter- does away with the use of organic solvents and native exists. Discharges of organic solvents the need to dispose of organic solvent waste, should be minimized, and alternative technolo- Electronics Manufacturing 305 gies should be considered where available. Sol- vironmental assessment (EA) process on the ba- der dross should not be sent to landfills. (Waste sis of country legislation and the Pollution Pre- can be sent to suppliers or approved waste recy- vention and Abatement Handbook, as applied to clers for recovery of the lead and tin content of local conditions. The emissions levels selected the dross.) Scrap boards and assemblies having must be justified in the EA and acceptable to the soldered components should have their compo- World Bank Group. nents and solder connections removed before The guidelines given below present emissions they are sent to landfills or recycled for other uses. levels normally acceptable to the World Bank Group in making decisions regarding provision Treatment Technologies of World Bank Group assistance. Any deviations from these levels must be described in the World Wet scrubbers, point-of-use control systems, and Bank Group project documentation. The emis- volatile organic compound (VOC) control units sions levels given here can be consistently are used to control toxic and hazardous emissions achieved by well-designed, well-operated, and of the chemicals used in semiconductor manu- well-maintained pollution control systems. facturing. It is often appropriate to scrub acid and The guidelines are expressed as concentrations alkaline waste gases in separate scrubbers be- to facilitate monitoring. Dilution of air emissions cause different scrubber liquids can then be used, or effluents to achieve these guidelines is un- resulting in higher removal efficiencies. acceptable. Air emission concentrations of chemicals such All of the maximum levels should be achieved as arsine, diborane, phosphine, silane, and other for at least 95% of the time that the plant or unit chemicals used in the process should be reduced is operating, to be calculated as a proportion of below worker health levels for plant operations. annual operating hours. Because of the many chemicals used in the elec- tronics industry, wastewater segregation simpli- Air Emissions fies waste treatment and allows recovery and reuse of materials. Organic wastes are collected The air emissions levels presented in Table 1 separately from wastewater systems. (Note that should be achieved. solvent used in the semiconductor industry cannot be readily recycled because much of it Liquid Effluents is generated from complex mixtures such as pho- toresist.) Acids and alkalis are sent to onsite wastewater treatment facilities for neutralization, Te eend after segregation of heavy-metal-bearing streams for separate treatment. Fluoride-bearing streams in a semiconductor plant are segregated and treated on site or sent off site for treatment or disposal. Treatment steps for effluents from the Noise abatement measures should achieve either electronics industry may include precipitation, the levels given below or a maximum increase in coagulation, sedimentation, sludge dewatering, background levels of 3 decibels (measured on the ion exchange, filtering, membrane purification and separation, and neutralization, depending on Table 1. Air Emissions from Electronics the particular stream. Sanitary wastes are treated Manufacturing separately (primary and secondary treatment (milligrams per normal cubic meter) followed by disinfection) or discharged to a mu- Parameter Maximum value nicipal treatment system. VOC 20 Emissions Guidelines Phosphine 1 Arsine 1 Hydrogen fluoride 5 Emissions levels for the design and operation of Hydrogen chloride 10 each project must be established through the en- 306 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Table 2. Effluents from Electronics cess. Effluents should be monitored continuously Manufacturing for pH, and other parameters should be tested (milligrams per liter, except for pH once a month. Parameter Maximum value Monitoring data should be analyzed and re- viewed at regular intervals and compared with pH 6-9 the operating standards so that any necessary BOD 50 corrective actions can be taken. Records of moni- TSS toring results should be kept in an acceptable Maximumformat. The results should be reported to the Monthly average 20 responsible authorities and relevant parties, as Oil and grease 10 Phosphorus 5.0 required. Fluoride 20 Ammonia 10 Key Issues Cyanide Total 1.0 The key production and control practices that will Free 0.1 lead to compliance with emissions requirements Total chlorocarbons and hydrochlorocarbons 0.5 Metals, total 10 Cylinders of toxic gases should be well secured Arsenic 0.1 and fitted with leak detection devices as ap- Chromium, hexavalent 0.1 propriate. Well-designed emergency prepared- Cadmium 0.1 Copperm 0.1 ness programs are required. Note that fugitive Copper 0.5 Lead 0.1 emissions occurring when gas cylinders are Mercury 0.01 changed do not normally require capture for Nickel 0.5 treatment, but appropriate safety precautions Tin 2.0 are expected to be in place. Note: Effluent requirements are for direct discharge to surface i th poesselesno proven a eaies waters. are available. - Equipment, such as refrigeration equipment, A scale) [dB(A)]. Measurements are to be taken containing ozone-depleting chemicals should at noise receptors located outside the project not be purchased unless no other option is property boundary. available * Toxic and hazardous sludges and waste mate- Maximum allowable log rials must be treated and disposed of or sent equivalent (hourly to approved waste disposal or recycling measurements), in dB(A) operations Day Night * Where liquid chemicals are employed, the Receptor (07:00-22:00) (22:00-07:00) plant, including loading and unloading areas, Residential,should be designed to minimize evaporation Reintiioal, (other than water) and to eliminate all risk of institutional, educational 55 45 chemicals entering the ground or any water- Industrial, course or sewerage system in the event of an commercial 70 70 accidental leak or spill. Monitoring and Reporting Source World Bank. 1997. "Industrial Pollution Prevention and Abatement: Electronics Manufacturing." Draft Tech- as the toxic gases used in the semiconductor in- nical Background Document. Environment Depart- dustry, should be continuous and part of the pro- ment, Washington, D.C. Electroplating Industry Description and Practices 500 liters per square meter of surface plated) but is usually high in heavy metals, including cad- Electroplating involves the deposition of a thin mium, chrome, lead, copper, zinc, and nickel, and protective layer (usually metallic) onto a pre- in cyanides, fluorides, and oil and grease, all of pared metal surface, using electrochemical pro- which are process dependent. Air emissions may cesses. The process involves pretreatment contain toxic organics such as trichloroethylene (cleaning, degreasing, and other preparation and trichloroethane. steps), plating, rinsing, passivating, and drying. Cleaning or changing of process tanks and The cleaning and pretreatment stages involve a treatment of wastewaters can generate substan- variety of solvents (often chlorinated hydrocar- tal quantities of wet sludges containing high lev- bons, whose use is discouraged) and surface- els of toxic organics or metals. stripping agents, including caustic soda and a range of strong acids, depending on the metal Pollution Prevention and Control surface to be plated. The use of halogenated hy- drocarbons for degreasing is not necessary, as Plating involves different combinations of a wide water-based systems are available. In the plat- variety of processes, and there are many oppor- ing process, the object to be plated is usually used tunities to improve on traditional practices in the as the cathode in an electrolytic bath. Plating so- industry. The improvements listed below should lutions are acid or alkaline and may contain be implemented where possible. complexing agents such as cyanides. Changes in Process Waste Characteristics -Replace cadmium with high-quality, corro- Any or all of the substances used in electroplat- sion-resistant zinc plating. Use cyanide-free ing (such as acidic solutions, toxic metals, sol- systems for zinc plating where appropriate. vents, and cyanides) can be found in the Where cadmium plating is necessary, use wastewater, either via rinsing of the product or bright chloride, high-alkaline baths, or other from spillage and dumping of process baths. The alternatives. Note, however, that use of some solvents and vapors from hot plating baths re- alternatives to cyanides may lead to the release sult in elevated levels of volatile organic com- of heavy metals and cause problems in waste- pounds (VOCs) and, in some cases, volatile metal water treatment. compounds, which may contain chromates. Ap- - Use trivalent chrome instead of hexavalent proximately 30% of the solvents and degreasing chrome; acceptance of the change in finish agents used can be released as VOCs when baths needs to be promoted. are not regenerated. - Give preference to water-based surface-cleaning The mixing of cyanide and acidic wastewaters agents, where feasible, instead of organic clean- can generate lethal hydrogen cyanide gas, and ing agents, some of which are considered toxic. this must be avoided. The overall wastewater * Regenerate acids and other process ingredients stream is typically extremely variable (1 liter to whenever feasible. 307 308 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Reduction in Dragout and Wastage Target Pollution Loads * Minimize dragout through effective draining A key parameter is the water use in each pro- of bath solutions from the plated part, by, for cess. Systems should be designed to reduce wa- example, making drain holes in bucket-type ter use. Where electroplating is routinely pieces, if necessary. performed on objects with known surface area * Allow dripping time of at least 10 to 20 sec- in a production unit, water consumption of no onds before rinsing. more than 1.3 liters per square meter plated * Use fog spraying of parts while dripping. (I / in2) for rack plating and 10 I/i2 for drum plat- * Maintain the density, viscosity, and tempera- ing should be achieved. The recommended pol- ture of the baths to minimize dragout. lution prevention and control measures can * Place recovery tanks before the rinse tanks achieve the target levels listed below. (also yielding makeup for the process tanks). Cadmium plating should be avoided. Where The recovery tank provides for static rinsing there are no feasible alternatives, a maximum with high dragout recovery. cadmium load in the waste of 0.3 grams for Minimizing Water Consumption every kilogram of cadmium processed is rec- in Rinsing Systems ommended. *At least 90% of the solvent emissions to It is possible to design rinsing systems to achieve air must be recovered by the use of an air 50-99% reduction in traditional water usage. pollution control system such as a carbon Testing is required to determine the optimum fizoe-s method for any specific process, but proven ap- Oconsean trichnoroeth ar notobe proaches include: used in the process. * Agitation of rinse water or work pieces to in- crease rinsing efficiency Treatment Technologies * Multiple countercurrent rinses * Spray rinses (especially for barrel loads). Segregation of waste streams is essential because of the dangerous reactions that can occur. Strong Management of Process Solutions acid and caustic reactions can generate boiling and splashing of corrosive liquids; acids can re- * Recycle process baths after concentration and act with cyanides and generate lethal hydrogen filtration. Spent bath solutions should be sent cyanide gas. In addition, segregated streams that for recovery and regeneration of plating are concentrated are easier to treat. chemicals, not discharged into wastewater treatment units. Air Emissions * Recycle rinse waters (after filtration). * Regularly analyze and regenerate process so- Exhaust hoods and good ventilation systems pro- lutions to maximize useful life. tect the working environment, but the exhaust * Clean racks between baths to minimize con- streams should be treated to reduce VOCs and tamination. heavy metals to acceptable levels before venting * Cover degreasing baths containing chlorinated to the atmosphere. Acid mists and vapors should solvents when not in operation to reduce be scrubbed with water before venting. In some losses. Spent solvents should be sent to sol- cases, VOC levels of the vapors are reduced by vent recyclers and the residue from solvent use of carbon filters, which allow the reuse of recovery properly managed (e.g., blended with solvents, or by combustion (and energy recov- fuel and burned in a combustion unit with ery) after scrubbing, adsorption, or other treat- proper controls for toxic metals). ment methods. Electroplating 309 Liquid Effluents of proper sludge disposal are likely to become an increasing incentive for waste minimization. Cyanide destruction, flow equalization and neu- tralization, and metals removal are required, as Emissions Guidelines a minimum, for electroplating plants. Individual design is necessary to address the characteristics Emissions levels for the design and operation of of the specific plant, but there are a number of each project must be established through the en- common treatment steps. For small facilities, the vironmental assessment (EA) process on the ba- possibility of sharing a common wastewater sis of country legislation and the Pollution Prevention treatment plant should be considered. Cyanide and Abatement Handbook, as applied to local con- destruction must be carried out upstream of the ditions. The emissions levels selected must be other treatment processes. If hexavalent chrome justified in the EA and acceptable to the World (Cr*6) occurs in the wastewater, the wastewater Bank Group. is usually pretreated to reduce the chromium to The guidelines given below present emis- a trivalent form using a reducing agent, such as sions levels normally acceptable to the World a sulfide. Bank Group in making decisions regarding The main treatment processes are equalization, provision of World Bank Group assistance. Any pH adjustment for precipitation, flocculation, and deviations from these levels must be described sedimentation/filtration. The optimum pH for in the World Bank Group project documenta- metal precipitation is usually in the range 8.5- tion. The emissions levels given here can be 11, but this depends on the mixture of metals consistently achieved by well-designed, well- present. The presence of significant levels of oil operated, and well-maintained pollution con- and grease may affect the effectiveness of the trol systems. metal precipitation process; hence, the level of The guidelines are expressed as concentrations oil and grease affects the choice of treatment op- to facilitate monitoring. Dilution of air emissions tions and the treatment sequence. It is preferred or effluents to achieve these guidelines is un- that the degreasing baths be treated separately. acceptable. Flocculating agents are sometimes used to facili- All of the maximum levels should be achieved tate the filtration of suspended solids. Pilot test- for at least 95% of the time that the plant or unit ing and treatability studies may be necessary, and is operating, to be calculated as a proportion of final adjustment of pH and further polishing of annual operating hours. the effluent may be required. Modern wastewa- ter treatment systems use ion exchange, mem- Air Emissions brane filtration, and evaporation to reduce the release of toxics and the quantity of effluent A 90% recovery of the quantity of VOCs released that needs to be discharged. The design can from the process is required. provide for a closed system with a minor bleed stream. Liquid Effluents Solid and Hazardous Wastes Electroplating plants should use closed systems where feasible or attain the effluent levels pre- Treatment sludges contain high levels of metals, sented in Table 1. and these should normally be managed as haz- ardous waste or sent for metals recovery. Sludges Electrolytical methods may be used to recover metals. Sludges are usually thickened, dewa- Wherever possible, the generation of sludges tered, and stabilized using chemical agents (such should be minimized. Sludges must be dewatered as lime) before disposal, which must be in an and stabilized and should be disposed of in an ap- approved and controlled landfill. The high costs proved, secure landfill. Leachates from stabilized 310 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Table 1. Effluents from the Electroplating Monitoring and Reporting Industry (milligrams per liter, except for pH) Equipment to continuously monitor pH should Parameter Maximum value be installed to provide an indication of overall treatment reliability. For larger plants (with dis- pH. 7-10 charges of more than 10,000 liters per day), the TSS 25 effluent should be sampled daily for all param- Oil and grease 10 Arsenic 0.1 Cadmium 0.1 be carried out at least monthly and when there Chromium (hexavalent) 0.1 are process changes. For smaller plants (having Chromium (total) 0.5 discharges of less than 10,000 liters per day), Copper 0.5 monthly monitoring of all parameters except Lead 0.2 pH may be acceptable. Frequent sampling may Mercury 0.01 Nickel 0.5 Silver 0.5 tions. Zinc 2 Monitoring data should be analyzed and re- Total metals 10 viewed at regular intervals and compared with Cyanides (free) 0.2 the operating standards so that any necessary Fluorides 20 corrective actions can be taken. Records of moni- Trichloroethane 0.05 toring results should be kept in an acceptable Trichloroethylene 0.05 format. The records should be reported to the Phosphorus 5 responsible authorities and relevant parties, as Note: Effluent requirements are for direct discharge to surface required. waters. Key Issues sludges should not contain toxics at levels highersh l than those indicated for liquid effluents. Where e edto d n cti ll feasible, sludges may be reused, provided that lead to compliance with emissions guidelines can toxics are not released to the environment, be summarized as follows: Ambient Noise * Use cyanide-free systems. e Avoid cadmium plating. Noise abatement measures should achieve either d Use trivalent chrome instead of hexavalent the levels given below or a maximum increase in chrome. background levels of 3 decibels (measured on the * Prefer water-based surface cleaning agents A scale) [dB(A)]. Measurements are to be taken where feasible, instead of organic cleaning at noise receptors located outside the project agents, some of which are considered toxic. property boundary. e Minimize dragout. e Use countercurrent rinsing systems; recycle Maximum allowable log rinse waters to the process after treatment. equivalent (hourly c Regenerate and recycle process baths and measurements), in dB(A) rinse waters after treatment. Day Night * Recycle solvent collected from air pollution Receptor (07:00-22:00) (22:00-0 7:00) control systems. Residential, * Send spent solvents for recovery. institutional, * Do not use ozone-depleting substances. educational 55 45 Manage sludges as hazardous waste. Reuse Industrial, sludges to the extent feasible but without commercial 70 70 releasing toxics to the environment. Electroplating 311 Sources UNEP (United Nations Environment Programme). 1992. Environmental Aspects of the Metal Finishing Cushnie, G. C., Jr. 1985. Electroplating Wastewater Pol- Industry: A Technical Guide. Paris. lution Control Technology. Park Ridge, N.J.: Noyes World Bank. 1996. "Pollution Prevention and Abate- Data Corporation. ment: Electroplating Industry." Draft Technical Nordic Council of Ministers. 1993. Possible Ways of Re- Background Document. Environment Department, ducing Environmental Pollution from the Surface-Treat- Washington, D.C. ment Industry. Oslo. Patterson, James W. 1985. Industrial Wastewater Treat- ment Technology. 2d ed. Boston: Butterworth. Foundries Industry Description and Practices introducing and distributing the metal-a "gating system." For hollow casting, the mold is fitted In foundries, molten metals are cast into objects with a core. Cores must be extremely durable, of desired shapes. Castings of iron, steel, light and so strong bonding agents are used for the metals (such as aluminum), and heavy metals core, as well as for the molds themselves. These (such as copper and zinc) are made in units that bonding agents are usually organic resins, but may be independent or part of a production line. inorganic ones are also used. Plastic binders are Auto manufacturing facilities usually have being used for the manufacture of high-quality foundries within their production facilities or as products. Sand cores and chemically bonded ancillaries. The main production steps include: sand molds are often treated with water-based * Preparation of raw materials or spirit-based blacking to improve surface char- * Metal melting acteristics. Aluminum and magnesium, as well * Preparation of molds as copper and zinc alloys, are frequently die-cast * Casting or gravity-cast in reusable steel molds. Die cast- * Finishing (which includes fettling and tum- ing involves the injection of metal under high bling). pressure by a plunger into a steel die. Centrifu- gal casting methods are used for pipes. Electric induction furnaces are used to melt Finishing processes such as fettling involves iron and other metals. However, large car-com- the removal from the casting of the gating sys- ponent foundries and some small foundries melt tem, fins (burrs), and sometimes feeders. This is iron in gas or coke-fired cupola furnaces and use accomplished by cutting, blasting, grinding, and induction furnaces for aluminum components of chiseling. Small items are usually ground by tum- engine blocks. Melting capacities of cupola fur- bling, carried out in a rotating or vibrating drum, naces generally range from 3 to 25 metric tons usually with the addition of water, which may per hour (t/hr). Induction furnaces are also used have surfactants added to it. in zinc, copper, and brass foundries. Electric arc furnaces are usually used in stainless steel and Waste Characteristics sometimes in copper foundries. Flame ovens, which burn fossil fuels, are often used for melt- Emissions of particulate matter (PM) from the ing nonferrous metals. The casting process usu- melting and treatment of molten metal, as well ally employs nonreusable molds of green sand, as from mold manufacture, shakeout, cleaning which consists of sand, soot, and clay (or water and after-treatment, is generally of greatest con- glass). The sand in each half of the mold is packed cer. PM may contain metals that may be toxic. around a model, which is then removed. The two Oil mists are released from the lubrication of halves of the mold are joined, and the complete metals. Odor and alcohol vapor (from surface mold is filled with molten metal, using ladles or treatment of alcohol-based blacking) and emis- other pouring devices. Large foundries often sions of other volatile organic compounds have pouring furnaces with automatically con- (VOCs) are also of concern. Care must be exer- trolled pouring. The mold contains channels for cised when handling halogenated organics, in- 312 Foundries 313 cluding aluminum scrap contaminated with Pollution Prevention and Control chlorinated organics, polyvinyl chloride (PVC) scrap and turnings with chlorinated cutting oil, The following pollution prevention measures as dioxins may be emitted during melting op- should be considered: erations. - Prefer induction furnaces to cupola furnaces. Oil and suspended solids are released into pro- a Replace the cold-box method for core manu- cess effluents, and treatment is warranted before facture, where feasible. their discharge. Wet scrubbers release wastewa- ters that may contain metals. Wastewater from *Ipoefe ult:ueslce n la tumblingt may contain metals. Wadsurfactants.m scrap to reduce the release of pollutants to the tumbling may contain metals and surfactants. eniomt.Phatsrpwthfebuig Cooling waters, used in amounts of up to 20 cu- evironm e . rehe scrap wtaerburin bic meters per metric ton, may contain oil and o ehutagasnSor scra erc some chemicals for the control of algae and cor- * Provide hoods for cupolas or doghouse enclo- rosion. Sand molding creates large quantities of waste se fr EAs anll ction fuas sand. Other wastes include slag (300-500 kilo- r User dust oecnbess grams per metric ton, kg/t, of metal), collected c fe insa f e. particulate matter, sludges from separators used fiUse o ucstingrfor sified in wastewater treatment, and spent oils and chemicals. Discarded refractory lining is another waste produced. w that pls,ian,cn b cected. The primary hazardous components of col- cool water consumt lected dust are zinc, lead, and cadmium, but its cong oateryate nt. composition can vary greatly depending on scrap tUe lose-loopsy composition and furnace additives. (Nickel and the atre necessar . chromium are present when stainless steel scrap Rd nitrge ie owesOn buse is used.) Generally, foundries produce 10 kg of o natr as afel eon b rners. dust per ton of molten metal, with a range of 5-30 kg/t, depending on factors such as scrap quality. However, induction furnaces (with emis- sions of 3 kg/t of molten metal) and flame ovens tend to have lower air emissions than cupolas and The recommended pollution prevention mea- electric arc furnaces (EAF). Major pollutants sures can achieve the target levels given below. present in the air emissions include particulates of the order of 1,000 milligrams per normal cu- Air Emissions bic meter (mg/Nm). Foundries can generate up to 20 cubic meters Recover metals from collected dust. The target of wastewater per metric ton of molten metal value for PM from furnaces and die casting ma- when cooling water, scrubber water, and process chinery is not to exceed 0.5 kg/t of molten metal water are not regulated. Untreated wastewaters (after controls). The oil aerosol should not exceed may contain high levels of total suspended sol- 5 mg/Nm3. ids, copper (0.9 milligrams per liter, mg/1), lead (2.5 mg/1), total chromium (2.5 mg/1), hexavalent Wastewaters chromium, nickel (0.25 mg/1), and oil and grease. The characteristics of the wastewater will depend Recycle wastewaters, if any. Avoid allowing con- on the type of metal and the quality of scrap used tamination of stormwater with oil; oil in as feed to the process. stormwater is not to exceed 5 mg/l. Solid wastes (excluding dust) are generated at a rate of 300-500 kg/t of molten metal. Sludges Solid Wastes and scale may contain heavy metals such as chro- mium, lead, and nickel. Reclaim sand used in molding. 314 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Treatment Technologies Bank Group project documentation. The emis- sions levels given here can be consistently Air Emissions achieved by well-designed, well-operated, and well-maintained pollution control systems. Dust emission control technologies include cy- The guidelines are expressed as concentrations clones, scrubbers (with recirculating water), to facilitate monitoring. Dilution of air emissions baghouses, and electrostatic precipitators (ESPs). or effluents to achieve these guidelines is un- Scrubbers are also used to control mists, acidic acceptable. gases, and amines. Gas flame is used for incin- All of the maximum levels should be achieved eration of gas from core manufacture. Target val- for at least 95% of the time that the plant or unit ues for emissions passing through a fabric filter is operating, to be calculated as a proportion of are normally around 10 mg/Nm3 (dry). Emis- annual operating hours. sions of PM from furnaces (including casting machines used for die casting) should not exceed Air Emissions 0.1-0.3 kg/t of molten metal, depending on the nature of the PM and the melting capacity of the Air emissions of PM should be below 20Mg/NM3 plant. At small iron foundries, a somewhat higher where toxic metals are present and 50 Mg/Nm3 emission factor may be acceptable, while in large in other cases. This would correspond to total heavy-metal foundries, efforts should be made dust emissions of less than 0.5 kg/t of molten to achieve a target value lower than 0.1 kg PM metal. per metric ton. Odors may be eliminated by us- ing bioscrubbers. Liquid Effluents Wastewater Treatment For foundries, the effluent levels presented in Table 1 should be achieved. Recirculate tumbling water by sedimentation or Sludges from wastewater treatment operations centrifuging followed by filtering (using sand fil- should be disposed of in a secure landfill after ters or ultrafilters); separate oil from surface wa- stabilization. ter. In the very rare cases in which scrubbers are used, recirculate water and adjust its pH to pre- Ambient Noise cipitate metals. Precipitate metals in wastewater by using lime or sodium hydroxide. Cooling Noise abatement measures should achieve either waters should be recirculated, and polluted the levels given below or a maximum increase in stormwater should be treated before discharge. background levels of 3 decibels (measured on the Emissons uideinesA scale) [dB(A)]. Measurements are to be taken Emissions Guidelines Emissions levels for the design and operation of Table 1. Effluents from Foundries eachproect ustbe etabishe thoughtheen- (milligrams per liter, except for pH and temperature) each project must be established through the en- vironmental assessment (EA) process on the ba- Parameter Maximum value sis of country legislation and the Pollution Prevention and Abatement Handbook, as applied to local con- pS 6- ditions. The emissions levels selected must be Oil and grease 10 justified in the EA and acceptable to the World Copper 0.5 Bank Group. Zinc 2 The guidelines given below present emissions Temperature increase 30 C- levels normally acceptable to the World Bank Group in making decisions regarding provision a. The effluent should result in a temperature increase of no of World Bank Group assistance. Any deviations more than 300 at the edge of the zone where initial mixing and dilution take place. Where the zone is not defined, use 100 from these levels must be described in the World meters from the point of discharge. Foundries 315 at noise receptors located outside the project toring results should be kept in an acceptable property boundary. format. The results should be reported to the responsible authorities and relevant parties, as Maximum allowable log required. equivalent (hourly measurements), in dB(A) Key Issues Day Night Receptor (07:00-22:00) (22:00-07:00) The key production and control practices that will Residential, lead to compliance with emissions requirements institutional, can be summarized as follows: educational 55 45 Use continuous casting, where feasible. Industrial, commtrcial 707 Give preference to the use of induction fur- commercialnaces, where appropriate. Monitoring and Reporting - Use doghouse enclosures for furnaces and dry dust collection systems such as bag filters. Air emissions should be monitored continuously * Recycle at least 90% of the wastewater. for PM using an opacity meter (for an opacity * Reclaim molding sand after the removal of level of less than 10%). binders Wastewater discharges should be monitored daily for the parameters listed in this guideline, Sources except for metals, which may be monitored monthly or when there are process changes. Freeman, H. M. 1995. Industrial Pollution Prevention Monitoring data should be analyzed and re- Handbook. New York: McGraw-Hill. viewed at regular intervals and compared with Swedish Environmental Protection Agency 1991. "In- the operating standards so that any necessary forms on Foundries-Industry Fact Sheet." SNV 91- corrective actions can be taken. Records of moni- 620-9377 /91-03/s oex. Solna. Fruit and Vegetable Processing Industry Description and Practices 9 Separate and recirculate process wastewaters. * Use countercurrent systems where washing is Processing (canning, drying, freezing, and prepa- necessary. ration of juices, jams, and jellies) increases the - Use steam instead of hot water to reduce the shelf life of fruits and vegetables. Processing steps quantity of wastewater going for treatment include preparation of the raw material (clean- (taking into consideration, however, the ing, trimming, and peeling followed by cooking, tradeoff with increased use of energy). canning, or freezing. Plant operation is often sea- e Minimize the use of water for cleaning floors sonal. and machines. e Remove solid wastes without the use of Waste Characteristics water. * Reuse concentrated wastewaters and solid The fruit and vegetable industry typically gener- wastes for production of by-products. ates large volumes of effluents and solid waste. The effluents contain high organic loads, cleans- As an preiration orc wa ing and blanching agents, salt, and suspended fo oninra tion u the o ila solids such as fibers and soil particles. They may by the and wate cosmin by 9% bimi- also contain pesticide residues washed from the calyte daste lOD (rm of bicema- raw materials. The main solid wastes are organic carrot processing can be reduced by 80%. materials, including discarded fruits and veg- Good water management should be adopted, etables. Odor problems can occur with poor man- where feasible, to achieve the levels of consump- agement of solid wastes and effluents; when tion presented in Table 1. onions are processed; and when ready-to-serve Solid wastes, particularly from processes meals are prepared. such as peeling and coring, typically have a Pollution Prevention and Control high nutritional value and may be used as ani- mal feed. Reductions in wastewater volumes of up to 95% have been reported through implementation of Table 1. Water Usage in the Fruit and Vegetable good practices. Where possible, measures such Processing Industry as the following should be adopted: (cubic meters per metric ton of product) * Procure clean raw fruit and vegetables, thus Product category Water use reducing the concentration of dirt and organ- ics (including pesticides) in the effluent. Canned fruit 2.5-4.0 * Use dry methods such as vibration or air jets Canned vegetables 3.5-6.0 to clean raw fruit and vegetables. Dry peeling Frozen vegetables 5.0-8.5 methods reduce the effluent volume (by up to j s 6.0 35%) and pollutant concentration (organic load Baby food 6.0-9.0 reduced by up to 25%). 316 Fruit and Vegetable Processing 317 Target Pollution Loads achieved by well-designed, well-operated, and well-maintained pollution control systems. Implementation of cleaner production processes The guidelines are expressed as concentrations and pollution prevention measures can yield both to facilitate monitoring. Dilution of air emissions economic and environmental benefits. The tar- or effluents to achieve these guidelines is un- get loads per unit of production shown in Table acceptable. 2 can be achieved by implementing measures All of the maximum levels should be achieved such as those described above. The numbers are for at least 95% of the time that the plant or unit the waste loads arising from the production pro- is operating, to be calculated as a proportion of cesses before the addition of pollution control annual operating hours. measures. These levels are derived from the av- erage loads recorded in a major study of the Liquid Effluents industry and should be used as maximum levels of unit pollution in the design of new plants. The effluent levels presented in Table 3 should be achieved. Treatment Technologies Pesticides may be present in significant lev- els; testing should therefore be performed, and, Preliminary treatment of wastewaters should if pesticides are present at levels above 0.05 mil- include screening (or sieving to recover pulp) and ligrams per liter (mg/1), corrective action should grit removal, if necessary. This is followed by pH be taken. The best course may be to switch to a adjustment and biological treatment of the or- supplier that provides raw materials without ganic load. pesticide residues. The flows are frequently seasonal, and robust treatment systems are preferred for onsite treat- Solid Wastes ment. Pond systems are used successfully to treat fruit and vegetable wastes, but odor nuisance, Whenever possible, organic wastes should be soil deterioration, and groundwater pollution are used in the production of animal feed or organic to be avoided. The quality of the effluent is nor- fertilizers. Other solid wastes should be disposed mally suitable for discharge to municipal sys- of in a secure landfill to avoid contamination of tems, although peak hydraulic loads may cause surface and groundwater. a problem. Odor problems can be avoided by using gas scrubbers or biofilters. Ambient Noise Emissions Guidelines Noise abatement measures should achieve either the levels given below or a maximum increase in Emissions levels for the design and operation of background levels of 3 decibels (measured on the each project must be established through the en- A scale) [dB(A) . Measurements are to be taken vironmental assessment (EA) process on the ba- at noise receptors located outside the project sis of country legislation and the Pollution Prevention property boundary. and Abatement Handbook, as applied to local con- ditions. The emissions levels selected must be Maximum allowable log justified in the EA and acceptable to the World equivalent (hourly Bank Group. measurements), in dB(A) The guidelines given below present emissions Day Night levels normally acceptable to the World Bank Receptor (0700-22:00) (22:00-07:00) Group in making decisions regarding provision Residential, of World Bank Group assistance. Any deviations institutional, from these levels must be described in the World educational 55 45 Bank Group project documentation. The emis- Industrial, sions levels given here can be consistently commercial 70 70 Table 2. Target Loads per Unit of Production, Fruit and Vegetable Processing Industry Fruit Vegetables Waste BODs TSS Solid waste Waste BODs TSS Solid waste Product volume (m3/U) (kg/U) (kg/U) (kg/t product) Product vol. (m3/U) (kg/U) (kg/U) (kg/t prod) Apricots 29.0 15.0 4.3 All vegetables 130 Apples 90 All products 3.7 5.0 0.5 Asparagus 69.0 2.1 3.4 All except juice 5.4 6.4 0.8 Beets 5.0 20.0 3.9 Juice 2.9 2.0 0.3 Broccoli 11.0 9.8 5.6 200 Cranberries 5.8 2.8 0.6 10 Brussels sprouts 36.0 3.4 11.0 Citrus 10.0 3.2 1.3 Carrots 12.0 20.0 12.0 200 Sweet cherries 7.8 9.6 0.6 Cauliflower 89.0 5.2 2.7 Sour cherries 12.0 17.0 1.0 Corn 40 Bing cherries 20.0 22.0 1.4 Canned 4.5 14.0 6.7 Cranberries 12.0 10.0 1.4 Frozen 13.0 20.0 5.6 Dried fruit 13.0 12.0 1.9 Dehydrated Grapefruit onion and garlic 20.0 6.5 5.9 Canned 72.0 11.0 1.2 Dehydrated Pressed 1.6 1.9 0.4 vegetables 22.0 7.9 5.6 Olives 38.0 44.0 7.5 20 Dry beans 18.0 15.0 4.4 0 Peaches 180 Lima beans 27.0 14.0 10.0 Canned 13.0 14.0 2.3 Mushrooms 22.0 8.7 4.8 Frozen 5.4 12.0 1.8 200 Onions, canned 23.0 23.0 9.3 Pears 12.0 21.0 3.2 Peas 40 Pickles Canned 20.0 22.0 5.4 Fresh packed 8.5 9.5 1.9 Frozen 15.0 18.0 4.9 Process packed 9.6 18.0 3.3 Pimentos 29.0 27.0 2.9 Salting stations 1.1 8.0 0.4 Potatoes 40 Pineapples 13.0 10.0 2.7 All products 10.0 18.0 16.0 Plums 5.0 4.1 0.3 Frozen products 11.0 23.0 19.0 Raisins 2.8 6.0 1.6 Dehydrated products 8.8 11.0 8.6 Strawberries 13.0 5.3 1.4 60 Sauerkraut Tomatoes Canned 3.5 3.5 0.6 Peeled 8.9 4.1 6.1 Cut 0.4 1.2 0.2 Products 4.7 1.3 2.7 Snap beans Canned 15.0 3.1 2.0 Frozen 20.0 6.0 3.0 Spinach Canned 38.0 8.2 6.5 Frozen 29.0 4.8 2.0 Squash 5.6 17.0 2.3 Sweet potatoes 4.1 30.0 12.0 n.a. Not applicable. Source: Adapted from Economopoulos 1993. Fruit and Vegetable Processing 319 Table 3. Effluents from the Fruit and Vegetable corrective actions can be taken. Records of moni- Processing Industry toring results should be kept in an acceptable (milligrams per liter, except for pH) format. The results should be reported to the Parameter Maximum value responsible authorities and relevant parties, as required. pH 6-9 BOD 50 COD 250 TSS 50 Oil an5res 0 The key production and control practices that will Oil and grease 10 Total nitrogen 10 lead to compliance with emissions guidelines can Total phosphorus 5 be summarized as follows: Note: Effluent requirements are for direct discharge to surface * Implement water conservation and recycling waters. measures. eAdopt dry cleaning and peeling methods. Monitoring and Reporting Sources Monitoring of the final effluent for the parameters Economopoulos, Alexander P. 1993. Assessment Of listed in this document should be carried out at Sources of Air, Water, and Land Pollution: A Guide to least once per month-more frequently, if the Rapid Source Inventory Techniques and their Use in flows vary substantially. To estimate water usage Formulating Environmental Control Strategies. Part 1: in various production processes, the wastewaters Rapid Inventory Techniques in Environmental Pollution. from unit operations should be monitored during Geneva: World Health Organization. each product season or, at a minimum, annually. World Bank. 1996. "Pollution Prevention and Abate- Monitoring data should be analyzed and re- ment: Fruit and Vegetable Processing." Draft Tech- viewed at regular intervals and compared with nical Background Document. Environment the operating standards so that any necessary Department, Washington, D.C. Glass Manufacturing Industry Description and Practices Waste Characteristics This document describes the manufacture of flat Two types of air emissions are generated: those glass and pressed and blown glass. Flat glass in- from the combustion of fuel for operating the cludes plate and architectural glass, automotive glass-melting furnaces, and fine particulates from windscreens, and mirrors. Pressed and blown the vaporization and recrystallization of materi- glass includes containers, machine-blown and als in the melt. The main emissions are sulfur hand-blown glassware, lamps, and television oxides (SOx), nitrogen oxides (NOx), and particu- tubing. In both categories, a glass melt is prepared lates, which can contain heavy metals such as from silica sand, other raw materials such as lime, arsenic and lead. Particulates from lead crystal dolomite, and soda, and cullet (broken glass). The manufacture can have a lead content of 20-60% use of recycled glass is increasing. It reduces the and an arsenic content of 0.5-2%. Certain spe- consumption of both raw materials and energy cialty glasses can produce releases of hydrogen but necessitates extensive sorting and cleaning chloride (HCI), hydrogen fluoride (HF), arsenic, prior to batch treatment to remove impurities. boron, and lead from raw materials. Container, For the manufacture of special and technical pressing, and blowing operations produce a pe- glass, lead oxide, potash, zinc oxide, and other riodic mist when the hot gob comes into contact metal oxides are added. Refining agents include with the release agent used on the molds. arsenic trioxide, antimony oxide, nitrates, and Cold-top electric furnaces, in which themelt sulfates. Metal oxides and sulfides are used as surface is covered by raw material feed, release coloring or decoloring agents. very little particulate matter, as the blanket acts The most common furnace used for manufac- as a filter to prevent the release of particulate turing glass melt is the continuous regenerative matter. Some releases of particulates will take type, with either the side or the end ports con- place in tapping, but furnace releases should be necting brick checkers to the inside of the melter. of the order of 0.1 kilogram per ton (kg/t) when Checkers conserve fuel by acting as heat exchang- operated this way. ers; the fuel combustion products heat incoming Lead glass manufacture may result in lead combustion air. The molten glass is refined (heat emissions of about 2-5 kg/t. conditioning) and is then pressed, blown, drawn, In all cases, the concentration of heavy metals rolled, or floated, depending on the final prod- and other pollutants in the raw flue gas mainly uct. Damaged and broken product (cullet) is re- depends on the type of fuel used, the composi- turned to the process. tion of the feed material, and the portion of re- The most important fuels for glass-melting cycled glass. High input of sulfates or potassium furnaces are natural gas, light and heavy fuel oil, nitrate may increase emissions of sulfur dioxide and liquefied petroleum gas. Electricity (fre- and nitrogen oxides, respectively Where nitrate quently installed as supplementary heating) is is used, more than two thirds of the introduced also used. Energy requirements range from 3.7 nitrogen may be emitted as nitrogen oxides. The to 6.0 kilojoules per metric ton (kJ/t) glass pro- use of heavy metals as coloring or decoloring duced. agents will increase emissions of these metals. 320 Glass Manufacturing 321 The grinding and polishing of flat glass to pro- will reduce energy requirements (for an esti- duce plate glass have become obsolete since the mated 2% savings for each 10% of cullet used in development of the float glass process. The the manufacture of melt) and thus air emissions chemical makeup of detergents that may be used (up to 10% for 50% cullet in the mix). Typical re- in float glass manufacturing can vary signifi- cycling rates are 10-20% in the flat glass indus- cantly-some may contain phosphorus. In blow- try and over 50% for the blown and pressed glass ing and pressing, pollutants in effluents are industries. generated by finishing processes such as cutting, The amount of heavy metals used as refining grinding, polishing, and etching. The pollutants and coloring or decoloring agents, as well as use include suspended solids, fluorides, lead, and of potassium nitrate, should be minimized to the variations in pH. extent possible. Liquid effluents also result from forming, fin- In the furnace, particulates are formed through ishing, coating, and electroplating operations. the volatilization of materials, leading to forma- Heavy metal concentrations in effluents occur tion of condensates and of slag that clogs the fur- where silvering and copperplating processes are nace checkers. Disposal of the slag requires m use. testing to determine the most suitable disposal method. It is important to inspect the checkers Pollution Prevention and Control regularly to determine whether cleaning is required. Oxygen-enriched and oxyfuel furnaces are used Particulate matter is also reduced, for example, in specialty glass operations to reduce emissions by enclosing conveyors, pelletizing raw material, or to make possible higher production rates with reducing melt temperatures, and blanketing the the same size furnace. Although oxyfuel furnaces furnace melt with raw material. may produce higher NOx emissions on a concen- Reductions in wastewater volumes are pos- tration basis, they are expected to yield very low sible through closed cooling water loops and levels of nitrogen oxides on a mass basis (kg/t of improved blowoff techniques. product). Low-NOx furnaces, staged firing, and flue gas recirculation are available to reduce both Target Pollution Loads concentration and the mass of nitrogen oxide emissions. These techniques are also available for Moder plants using good industrial practices air-fuel-fired furnaces. Nitrogen oxide levels can are able to achieve the pollutant loads given here. be controlled to 500-800 milligrams per cubic Because of the lack of nitrogen in the oxidant, meter (mg/m). using oxyfuel-fired furnaces produces four to five The type of combustion fuel used affects the times less flue gas volume than regenerative fur- amount of sulfur oxides and nitrogen oxides naces. As a result nitrogen oxides are reduced by emitted. Use of natural gas results in negligible 80%, and particulates are reduced by 20-80%. sulfur dioxide emissions from the fuel compared For furnaces that operate with a cover of raw with high-sulfur fuel oils. Fuel oil with a low sul- material, a target of 0.1 kg/t for particulates is fur content is preferable to fuel oil with a high realistic. Reductions in sulfur dioxide are sulfur content if natural gas is not available. achieved by choosing natural gas over fuel oil An efficient furnace design will reduce gaseous where possible. emissions and energy consumption. Examples of improvements include modifications to the Treatment Technologies burner design and firing patterns, higher preheater temperatures, preheating of raw ma- ESPs are the preferred choice for removing par- terial, and electric melting. ticulates, although fabric filters are also used. Dry Changing the composition of the raw materi- scrubbing using calcium hydroxide is used to als can, for example, reduce chlorides, fluorides, reduce sulfur dioxide, hydrogen fluoride, and and sulfates used in certain specialty glasses. The hydrogen chloride. Secondary measures for NOx use of outside-sourced cullet and recycled glass control include selective catalytic reduction 322 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES (SCR), selective noncatalytic reduction (SNCR), Table 1. Air Emissions from Glass and certain proprietary processes such as the Manufacturing Pilkington 3R process. (milligrams per normal cubic meter) Parameter Maximum value Emissions Guidelines Nitrogen oxides 1,000 (up to 2,000 Emissions levels for the design and operation of may be acceptable, each project must be established through the en- depending on fur- vironmental assessment (EA) process on the ba- if tedhnotheyEa) sis of country legislation and the Pollution Prevention Sulfur oxides and Abatement Handbook, as applied to local con- Gas fired 700 ditions. The emissions levels selected must be Oil fired 1,800 justified in the EA and acceptable to the World Particulates 50 (20 where toxic Bank Group. metals are present) The guidelines given below present emis- Aenc 1 sions levels normally acceptable to the World Al o Bank Group in making decisions regarding Fluoride 5 provision of World Bank Group assistance. Any Hydrogen chloride 50 deviations from these levels must be described in the World Bank Group project documenta- tion. The emissions levels given here can be Table 2. Effluents from Glass Manufacturing consistently achieved by well-designed, well- (milligrams per liter, except for pH) operated, and well-maintained pollution con- Parameter Maximum value trol systems. The guidelines are expressed as concentrations pH 6-9 to facilitate monitoring. Dilution of air emissions TSS 50 or effluents to achieve these guidelines is un- COD 150 acceptable. Oil and grease 10 All of the maximum levels should be achieved Aeni 0.1 for at least 95% of the time that the plant or unit Antimony 0.5 is operating, to be calculated as a proportion of Fluorides 20 annual operating hours. Total metals 10 Air Emissions Note: Effluent requirements are for direct discharge to surface waters. The air emissions presented in Table 1 should be achieved. at noise receptors located outside the project property boundary. Liquid Effluents Maximum allowable log The effluent levels presented in Table 2 should equivalent (hourly be achieved. measurements), in dB(A) Day Night Ambient Noise Receptor (07:00-22:00) (22:00-07:00) Residential, Noise abatement measures should achieve either institutional, the levels given below or a maximum increase in educational 55 45 background levels of 3 decibels (measured on the Industrial, A scale) [dB(A)]. Measurements are to be taken commercial 70 70 Glass Manufacturing 323 Monitoring and Reporting - Consider natural gas rather than oil as the fuel of choice. Frequent sampling may be required during start- - Select raw materials to minimize emissions of up and upset conditions. Once a record of con- fluorides and other pollutants such as chlo- sistent performance has been established, rides and sulfates. sampling for the parameters listed in this docu- * Maximize water reuse. ment should be as described below. * For reductions in particulate emissions, pel- Opacity should be monitored continuously. The letize raw materials, enclose conveyors, reduce maximum opacity level should be set to correspond melt temperatures, and blanket the melt sur- to 50 mg/Nm'.Other air emissions parameters face with raw material. should be measured annually Liquid effluents should be continuously monitored for pH, and Sources other parameters should be tested weekly. Monitoring data should be analyzed and re- Bounicore, Anthony J., and Wayne T. Davis, eds. 1992. viewed at regular intervals and compared with the Air Pollution Engineering Manual. New York: Van operating standards so that any necessary correc- Nostrand Reinhold. tive actions can be taken. Records of monitoring Economopoulos, Alexander P. 1993. Assessment Of results should be kept in an acceptable format. The Sources of Air, Water, and Land Pollution: A Guide to results should be reported to the responsible au- Rapid Source Inventory Techniques and Their Use in thorities and relevant parties, as required. Formulating Environmental Control Strategies. Part 1: Rapid Inventory Techniques in Environmental Pollution. Key Issues Geneva, World Health Organization. Sittig, Marshall. 1975. Pollution Control in the Asbestos, The key production and control practices that will Cement, Glass, and Allied Mineral Industries. Park lead to compliance with emissions requirements Ridge, N.J.: Noyes Data Corporation. can be summarized as follows: World Bank. 1996. "Pollution Prevention and Abatement: Glass Manufacturing Plants." Draft Technical Back- * Consider using oxyfuel-fired furnaces for spe- ground Document. Environment Department, Wash- cialty glass manufacturing. ington, D.C. * Use low-NOx burners, staged firing, and flue gas recirculation. Industrial Estates Industrial Estate Development Occupational health and safety 9Hazard and emergency planning and re- Industrial estates are specific areas zoned for in- sponse. dustrial activity in which infrastructure such as Industrial estates should maintain safe dis- roads, power, and other utility services is pro- tances from residential areas (for example, 100 vided to facilitate the growth of industries and meters for small industries with minimal envi- to minimize impacts on the environment. The ronmental hazard and at least 1 kilometer for infrastructure may include effluent treatment; very polluting industries). Definition of institu- solid and toxic waste collection, treatment, and tional responsibilities is an essential component disposal; air pollution and effluent monitoring; of a development plan. The key environmental technical services on pollution prevention; qual- issues to be addressed in the development plan ity management (quality assurance and control); should be identified through an environmental and laboratory services. There should be appro- assessment process. priate emergency preparedness and prevention plans and liaison with local fire and emergency Pretreatment and Common Treatment services. This document covers the management of activities on an established estate. A significant environmental benefit of industrial Selection of sites for industrial estates should estates is the opportunity to take advantage of take into account social and environmental issues, economies of scale by providing common efflu- as well as economic considerations. The key docu- ent and waste management facilities. Individual ment would normally be an industrial estate de- units. however, must still meet specific discharge velopment plan covering issues such as: or pretreatment guidelines. * Details of the location The guidelines at a particular estate will de- * Mix of industries on the site (to ensure that pend on the industry mix and the type and scale the industries are compatible-for example, of common facilities. The guidelines for each that neighbors of food processing plants do not plant should be described in detail as part of the pose a risk of contaminating food products) plant's contract with the estate. * Layout and design Target Pollution Loads * Transport services * Fuel storage The following measures have been recommended * Air quality management for industries on industrial estates: * Water quality management, including the pro- vision of common effluent treatment facilities, e Encourage the use of vapor recovery systems, as required where applicable, to control losses of volatile * Solid waste management, including recycling organic compounds (VOCs) from storage tanks * Management of hazardous materials and haz- and achieve 90-100% recovery ardous wastes * Encourage the use of low-nitrogen oxide (NO.) * Noise control burners in combustion systems. Plants should 324 Industrial Estates 325 be encouraged to use fuel with low sulfur con- Table 1. Air Emissions from Facilities tent (or an emissions level of 2,000 milligrams in Industrial Estates per normal cubic meter, mg/Nm3) for sulfur (milligrams per normal cubic meter) oxides, SOJ. A sulfur recovery system may be Parameter Maximum value feasible for large facilities when the hydrogen sulfide concentration in the tail gases exceeds 230 mg/Nm3. Up to 150 for small facilities with energy consumption of less than * Institute spill prevention and control mea- 10 gigajoules per hour (fuel used) sures. Liquid fuels and chemicals should be Nitrogen oxides 750 (solid fuels) stored in areas where there are provisions for 460 (liquid fuels) containment of spills. 320 (gaseous fuels) * Encourage the segregation of stormwater Sulfur oxides 2,000 from process water. Cooling water should Hydrogen sulfide 15 generally be recycled. Sewage effluent should a. For facilities emitting significant quantities of toxic metals, be segregated from wastewaters containing the emissions limit should be 20 mg/NM3. heavy metals. Emissions Guidelines Liquid Effluents The maximum effluent levels presented in Table Emissions levels for the design and operation of 2 should be achieved by discharges from com- each project must be established through the en- mon effluent treatment units: vironmental assessment (EA) process on the ba- Common effluent treatment units should be sis of country legislation and the Pollution Prevention designed to handle the characteristics and load- and Abatement Handbook, as applied to local con- ditions. The emissions levels selected must be Table 2. Effluents from Industrial Estates justified in the EA and acceptable to the World (milligrams per liter, except for pH and temperature) Bank Group. Parameter Maximum value The guidelines given below present emis- sions levels normally acceptable to the World pH 6-9 Bank Group in making decisions regarding BOD 50 provision of World Bank Group assistance. Any COD 250 deviations from these levels must be described TSS 50 (20 if toxic in the World Bank Group project documenta- metals are present at significant levels) tion. The emissions levels given here can be Oil and grease 10 consistently achieved by well-designed, well- Cadmium 0.1 operated, and well-maintained pollution con- Chromium trol systems. Hexavalent 0.1 The guidelines are expressed as concentrations Total 0.5 to facilitate monitoring. Dilution of air emissions0. or effluents to achieve these guidelines is un- Nel 0.5 acceptable. Zinc 2 All of the maximum levels should be achieved Phenol 0.5 for at least 95% of the time that the plant or unit AOX 1 is operating, to be calculated as a proportion of Benzene 0.05 annual operating hours. Benzo(a)pyrene 0.05 Sulfide 1 Air Emissions Temperature increase l3iCa a. The effluent should result in a temperature increase of no more than C at the edge of the zone where initial emissions levels presented in Table 1 should be mixing and dilution take place. Where the zone is not achieved. defined, use 100 meters from the point of discharge. 326 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES ing of wastewaters generated from the industrial above, except for aromatics, metals, and sulfides, estate. In some cases, different types of treatment which should be monitored at least monthly. units will be needed to handle different types of Industrial estates should encourage units to wastewaters. (For example, chemical precipita- analyze monitoring data, review it at regular in- tion units may be required to handle toxic me- tervals, and compare it with the operating stan- tallic wastewaters, and biological treatment units dards so that any necessary corrective actions can for handling organic wastewaters.) be taken. Records of monitoring results should be kept in an acceptable format. The results Solid Wastes and Sludges should be reported to the responsible authorities and relevant parties, as required. Industrial es- Where possible, generation of sludges should be tates should maintain a record of accidental re- minimized. Sludges must be treated, and if toxic leases of pollutants to the environment and should metals are present, the sludges must be stabilized. take appropriate corrective action to be better pre- pared for future occurrences. Where feasible, in- Ambient Noise dustrial estates should educate the industrial units on ways to mitigate environmental problems. Noise abatement measures should achieve either the levels given below or a maximum increase in Key Issues background levels of 3 decibels (measured on the A scale) [dB(A)]. Measurements are to be taken Good environmental practices for industrial es- at noise receptors located outside the project tates can be summarized as follows: property boundary. * Encourage the use of vapor recovery systems Maximumto reduce VOC emissions. Maxivmalln(oabl lo 9 Encourage the use of sulfur recovery systems equivalent (hourly measurements), in dB(A) where considered feasible. Day Night * Encourage the use of low-NO.burners. Receptor (07:00-22:00) (22:00-07:00) * Encourage the recovery and recycle of oily wastes. Residential, * Encourage the regeneration and reuse of spent institutional, catalysts and solvents. educational 55 45 * Encourage the recycling of cooling water and Industrial, the reuse of wastewaters. commercial 70 70 commecial 0 70* Institute segregation of stormwater from pro- Monitoring and Reporting cess wastewater. *Encourage the use of nonchrome additives to Frequent sampling should be recommended to cooling water. plants g Institute spill prevention and control measures. Once a record of consistent performance has been hazaros c ei nd ste iling established, sampling for the parameters listed pro s forcntanente cnmin in this document can be as described below. wrin cas o fire. Daily monitoring of particulate emissions from stacks, using an opacity meter (with a target level of less than 10%), is recommended. Monthly monitoring of the sulfur content of the fuels used World Bank. 1995. "Industrial Pollution Prevention and in combustion sources is also recommended. Abatement: Industrial Estates." Draft Technical Daily monitoring of liquid effluents is recom- Background Document. Environment Department, mended for all the applicable parameters cited Washington, D.C. Iron and Steel Manufacturing Industry Description and Practices els of about 15 kg/t of steel. Air emissions from pig iron manufacturing in a blast furnace include Steel is manufactured by the chemical reduction particulate matter (PM), ranging from less than of iron ore, using an integrated steel manufac- 10 kg/t of steel manufactured to 40 kg/t; sulfur turing process or a direct reduction process. In oxides (SO.), mostly from sintering or pelletiz- the conventional integrated steel manufacturing ing operations (1.5 kg/t of steel); nitrogen oxides process, the iron from the blast furnace is con- (NO.), mainly from sintering and heating (1.2 verted to steel in a basic oxygen furnace (BOF). kg/t of steel); hydrocarbons; carbon monoxide; Steel can also be made in an electric arc furnace in some cases dioxins (mostly from sintering op- (EAF) from scrap steel and, in some cases, from erations); and hydrogen fluoride. direct reduced iron. BOF is typically used for Air emissions from steel manufacturing using high-tonnage production of carbon steels, while the BOF may include PM (ranging from less than the EAF is used to produce carbon steels and low- 15 kg/t to 30 kg/t of steel). For closed systems, tonnage specialty steels. An emerging technol- emissions come from the desulfurization step be- ogy, direct steel manufacturing, produces steel tween the blast furnace and the BOF; the particu- directly from iron ore. This document deals only late matter emissions are about 10 kg/t of steel. with integrated iron and steel manufacturing; In the conventional process without recircula- that on Mini Steel Mills addresses the electric arc tion, wastewaters, including those from cooling steel process and steel finishing processes. Steel operations, are generated at an average rate of manufacturing and finishing processes discussed 80 cubic meters per metric ton (ml/t) of steel in that document are also employed in integrated manufactured. Major pollutants present in un- steel plants. See also Coke Manufacturing. treated wastewaters generated from pig iron In the BOF process, coke making and iron manufacture include total organic carbon (typi- making precede steel making; these steps are not cally 100-200 milligrams per liter, mg/1); total necessary with an EAE Pig iron is manufactured suspended solids (7,000 mg/l, 137 kg/t); dis- from sintered, pelletized, or lump iron ores us- solved solids; cyanide (15 mg/1); fluoride (1,000 ing coke and limestone in a blast furnace. It is mg/I); chemical oxygen demand, or COD (500 then fed to a BOF in molten form along with scrap mg/1); and zinc (35 mg/1). metal, fluxes, alloys, and high-purity oxygen to Major pollutants in wastewaters generated manufacture steel. In some integrated steel mills, from steel manufacturing using the BOF include sintering (heating without melting) is used to total suspended solids (up to 4,000 mg/l, 1030 agglomerate fines and so recycle iron-rich mate- kg/t), lead (8 mg/1), chromium (5 mg/1). cadmium rial such as mill scale. (0.4 mg/1), zinc (14 mg/1), fluoride (20 mg/1), and oil and grease. Mill scale may amount to 33 kg/t. Waste Characteristics The process generates effluents with high tem- peratures. Sintering operations can emit significant dust lev- Process solid waste from the conventional pro- els of about 20 kilograms per metric ton (kg/t) cess, including furnace slag and collected dust, of steel. Pelletizing operations can emit dust 1ev- is generated at an average rate ranging from 300 327 328 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES kg/t of steel manufactured to 500 kg/t, of which Steel Manufacturing 30 kg may be considered hazardous depending on the concentration of heavy metals present. * Use dry dust collection and removal systems Approximately, 65% of BOF slag from steel manu- to avoid the generation of wastewater. Recycle facturing can be recycled in various industries collected dust. such as building materials and, in some cases, e Use BOF gas as fuel. mineral wool. * Use enclosures for BOF. * Use a continuous process for casting steel to Pollution Prevention and Control reduce energy consumption. Where technically and economically feasible, di- Other rect reduction of iron ore for the manufacture of iron and steel is preferred because it does Use blast furnace slag in construction materials. not require coke manufacturing and has fewer Slag containing free lime can be used in iron environmental impacts. Wherever feasible, pel- making. letizing should be given preferences over sinter- ing for the agglomeration of iron ore. The Target Pollution Loads following pollution prevention measures should be considered. The recommended pollution prevention and con- trol measures can achieve the following target Pig Iron Manufacturing levels. U Improve blast furnace efficiency by using coal Liquid Effluents and other fuels (such as oil or gas) for heating instead of coke, thereby minimizing air emis- Over 90% of the wastewater generated can be sions. reused. Discharged wastewaters should in all T Recover the thermal energy in the gas from the cases be less than 5 ml/t of steel manufactured blast furnace before using it as a fuel. Increase and preferably less than 1 M3/t. fuel efficiency and reduce emissions by im- proving blast furnace charge distribution. Solid Wastes * Improve productivity by screening the charge and using better taphole practices. Blast furnace slag should normally be generated " Reduce dust emissions at furnaces by cover- at a rate of less than 320 kg/t of iron, with a tar- ing iron runners when tapping the blast fur- get of 180 kg/t. The generation rate, however, nace and by using nitrogen blankets during depends on the impurities in the feed materials. tapping. Slag generation rates from the BOF should be Use pneumatic transport, enclosed conveyor between 50 and 120 kg/t of steel manufactured, belts, or self-closing conveyor belts, as well as but this will depend on the impurity content of wind barriers and other dust suppression mea- feed materials. Zinc recovery may be feasible for sures, to reduce the formation of fugitive dust. collected dust. * Use low- NO, burners to reduce Ndus emissions from burning fuel in ancillary operations. Treatment Technologies Recycle iron-rich materials such as iron ore fines, pollution control dust, and scale in a sin- Air Emissions ter plant. Recover energy from sinter coolers and ex- Air emission control technologies for the removal haust gases. of particulate matter include scrubbers (or * Use dry SO, removal systems such as caron semidry systems), baghouses, and electrostatic absorption for sinter plants or lime spraying precipitators (ESPs). The latter two technologies in flue gases. can achieve 99.9% removal efficiencies for par- Iron and Steel Manufacturing 329 ticulate matter and the associated toxic metals: Table 2. Target Load per Unit of Production, chromium (0.8 milligrams per normal cubic Steel Manufacturing meter, mg/Nm3), cadmium (0.08 mg/Nm3), lead (emissions per metric ton of product) (0.02 mg/Nm3), and nickel (0.3 mg/Nm). Blast Basic oxygen Sulfur oxides are removed in desulfurization Parameter furnace furnace plants, with a 90% or better removal efficiency. Wastewater 0.1 M3 However, the use of low-sulfur fuels and ores 0 3 may be more cost-effective. Lead 0.15 g 0.75 g The acceptable levels of nitrogen oxides can Cadmium 0.08 g n.a. be achieved by using low-NOx burners and other combustion modifications. na. Not applicable. For iron and steel manufacturing, the emis- sions levels presented in Table 1 should be achieved. vironmental assessment (EA) process on the ba- sis of country legislation and the Pollution Pre- Wastewater Treatment vention and Abatement Handbook, as applied to local conditions. The emissions levels selected Wastewater treatment systems typically include must be justified in the EA and acceptable to the sedimentation to remove suspended solids, physi- World Bank Group. cal or chemical treatment such as pH adjustment The guidelines given below present emis- to precipitate heavy metals, and filtration. sions levels normally acceptable to the World The target levels presented in Table 2 can be Bank Group ssistaeAny achieved for steel-making processes.prvsoofW ldBnGouasitceAy achived or teelmakig poceses.deviations from these levels must be described Solidin the World Bank Group project documenta- Soli Wate Teatenttion. The emissions levels given here can be consistently achieved by well-designed, well- Solid wastes containing heavy metals may have operated, and well-maintained pollution con- to be stabilized, using chemical agents, before trol systems. disposal. The guidelines are expressed as concentrations to facilitate monitoring. Dilution of air emissions Emissions Guidelines or effluents to achieve these guidelines is unac- ceptable. Emissions levels for the design and operation of All of the maximum levels should be achieved each project must be established through the en- for at least 95% of the time that the plant or unit is operating, to be calculated as a proportion of Table 1. Load Targets per Unit of Production, annual operating hours. Iron and Steel Manufacturing Air Emissions Parameter Maximum value PmFor integrated iron and steel manufacturing PMba10icl ofpodct(as furnace,gtfo plants, the emissions levels presented in Table 3 basic oxygen furnace); 300 g/t from shudbaciv. sintering process Sulfur oxides For sintering: 1,200 g/t; 500 mg/M3 Liquid Effluents Nitrogen oxides For pelletizing plants: 500 g/t; 250- 750 mg/Nm3; for sintering plants: The effluent levels presented in Table 4 should 750 mg/Nm3 be achieved. Fluoride 1.5 g0t; 5 mg/NM0 330 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Table 3. Air Emissions from Iron and Steel at noise receptors located outside the project Manufacturing property boundary (milligrams per normal cubic meter) Parameter Maximum value Maximum allowable log equivalent (hourly PM 50 measurements), in dB(A) Sulfur oxides 500 (sintering) Day Night Nitrogen oxides 750 Receptor (07:00-22:00) (22:00-07:00) Fluorides 5 Residential, institutional, educational 55 45 Sludges Industrial, commercial 70 70 Sludges should be disposed of in a secure land- fill after stabilization of heavy metals to ensure Monitoring and Reporting that heavy metal concentration in the leachates do not exceed the levels presented for liquid Air emissions should be monitored continuously effluents. efflunts.after the air pollution control device for particu- late matter (or alternatively an opacity level of Ambient Noise less than 10%) and annually for sulfur oxides, ni- trogen oxides (with regular monitoring of sulfur Noise abatement measures should achieve either in the ores), and fluoride. Wastewater discharges the levels given below or a maximum increase in should be monitored daily for the listed param- background levels of 3 decibels (measured on the eters, except for metals, which should be moni- A scale) [dB(A)]. Measurements are to be taken tored at least on a quarterly basis. Frequent sampling may be required during start-up and Table 4. Effluents from Iron and Steelconditions. Tabl 4.Effuent frm Ion ad SeelMonitoring data should be analyzed and re- Manufacturing viewed at regular intervals and compared with (milligrams per liter, except pH and temperature) the operating standards so that any necessary Parameter Maximum value corrective actions can be taken. Baseline data on fugitive PM emissions should be collected and pH 6-9 used for comparison with future emissions esti- TSS 50 mates, which should be performed every three Oil and grease 10 COD 250 Phenol 0.5 monitoring results should be kept in an accept- Cadmium 0.1 able format. The results should be reported to the Chromium (total) 0.5 responsible authorities and relevant parties, as Lead 0.2 required. Mercury 0.01 Zinc 2 Key Issues Cyanide Free 0.1 Total 1 The key production and control practices that will Temperature increase 30Ca lead to compliance with emissions guidelines are summarized here. Note: Effluent requirements are for direct discharge to surface waters. * Prefer the direct steel manufacturing process a. The effluent should result in a temperature increase of no where technically and economically feasible. more than 3o C at the edge of the zone where initial mixing and dilution take place. Where the zone is not defined, use 100 * Use pelletized feed instead of sintered feed meters from the point of discharge. where appropriate. Iron and Steel Manufacturing 331 * Replace a portion of the coke used in the blast Sources furnace by injecting pulverized coal or by us- ing natural gas or oil. British Steel Consultants. 1993. "Research Study, In- * Achieve high-energy efficiency by using blast temational Steel Industry." Prepared for the Inter- furnace and basic oxygen furnace off-gas as national Finance Corporation, Washington, D.C. fuels. The Netherlands. 1991. "Progress Report on the Study * Implement measures (such as encapsulation) of the Primary Iron and Steel Industry" Third Meet- to reduce the formation of dust, including iron ing of the Working Group on Industrial Sectors, oxide dust; where possible, recycle collected Stockholm, January 22-24. dust to a sintering plant. Paris Commission. 1991. Secondary Iron and Steel Pro- * Recirculate wastewaters. Use dry air pollution duction: An Overview of Technologies and Emission Standards Used in the PARCOM Countries. control systems where feasible. Otherwise, World Bank. 1996. "Pollution Prevention and Abatement: treat wastewaters. Iron and Steel Manufacturing". Draft Technical Back- * Use slag in construction materials to the ex- ground Document. Environment Department, Wash- tent feasible. ington, D.C. Lead and Zinc Smelting Industry Description and Practices blast furnace slag (primarily silicates), and lead bullion (98% by weight). All layers are then Lead and zinc can be produced pyrometal- drained off. The speiss and matte are sold to cop- lurgically or hydrometallurgically, depending on per smelters for recovery of copper and precious the type of ore used as a charge. In the pyromet- metals. The blast furnace slag, which contains allurgical process, ore concentrate containing zinc, iron, silica, and lime, is stored in piles and lead, zinc, or both is fed, in some cases after sin- is partially recycled. Sulfur oxide emissions are tering, into a primary smelter. Lead concentra- generated in blast furnaces from small quanti- tions can be 50-70%, and the sulfur content of ties of residual lead sulfide and lead sulfates in sulfidic ores is in the range of 15-20%. Zinc con- the sinter feed. centration is in the range of 40-60%, with sulfur Rough lead bullion from the blast furnace usu- content in sulfidic ores in the range of 26-34%. ally requires preliminary treatment in kettles be- Ores with a mixture of lead and zinc concentrate fore undergoing refining operations. During usually have lower respective metal concentra- drossing, the bullion is agitated in a drossing tions. During sintering, a blast of hot air or oxy- kettle and cooled to just above its freezing point, gen is used to oxidize the sulfur present in the 370'-425-C (700'-800'F). A dross composed of feed to sulfur dioxide (SO2). Blast furnaces are lead oxide, along with copper, antimony, and used in conventional processes for reduction and other elements, floats to the top and solidifies refining of lead compounds to produce lead. above the molten lead. The dross is removed and Modern direct smelting processes include QSL, is fed into a dross furnace for recovery of the Kivcet, AUSMELT, and TBRC. nonlead mineral values. The lead bullion is refined using pyrometal- Primary Lead Processing lurgical methods to remove any remaining nonlead materials (e.g., gold, silver, bismuth, The conventional pyrometallurgical primary lead zinc, and metal oxides such as oxides of anti- production process consists of four steps: sinter- mony, arsenic, tin, and copper). The lead is re- ing, smelting, drossing, and refining. A feedstock fined in a cast-iron kettle in five stages. First, made up mainly of lead concentrate is fed into a antimony, tin, and arsenic are removed. Next, sintering machine. Other raw materials may be gold and silver are removed by adding zinc. The added, including iron, silica, limestone flux, coke, lead is then refined by vacuum removal of zinc. soda, ash, pyrite, zinc, caustic, and particulates Refining continues with the addition of calcium gathered from pollution control devices. The sin- and magnesium, which combine with bismuth tering feed, along with coke, is fed into a blast to form an insoluble compound that is skimmed furnace for reducing, where the carbon also acts from the kettle. In the final step, caustic soda, as a fuel and smelts the lead-containing materi- nitrates, or both may be added to remove any als. The molten lead flows to the bottom of the remaining traces of metal impurities. The refined furnace, where four layers form: "speiss" (the lead will have a purity of 99.90-99.99%. It may lightest material, basically arsenic and antimony), be mixed with other metals to form alloys, or it "matte" (copper sulfide and other metal sulfides), may be directly cast into shapes. 332 Lead and Zinc Smelting 333 Secondary Lead Processing sulfuric acid to extract the lead/zinc. These pro- cesses can operate at atmospheric pressure or as The secondary production of lead begins with the pressure leach circuits. Lead/zinc is recovered recovery of old scrap from worn-out, damaged, from solution by electrowinning, a process simi- or obsolete products and with new scrap. The lar to electrolytic refining. The process most com- chief source of old scrap is lead-acid batteries; monly used for low-grade deposits is heap other sources include cable coverings, pipe, sheet, leaching. Imperial smelting is also used for zinc and other lead-bearing metals. Solder, a tin-based ores. alloy, may be recovered from the processing of circuit boards for use as lead charge. Waste Characteristics Prior to smelting, batteries are usually broken up and sorted into their constituent products. The principal air pollutants emitted from the pro- Fractions of cleaned plastic (such as polypropy- cesses are particulate matter and sulfur dioxide lene) case are recycled into battery cases or other (SO,). Fugitive emissions occur at furnace open- products. The dilute sulfuric acid is either neu- ings and from launders, casting molds, and ladles tralized for disposal or recycled to the local acid carrying molten materials, which release sulfur market. One of the three main smelting processes dioxide and volatile substances into the work- is then used to reduce the lead fractions and pro- ing environment. Additional fugitive particulate duce lead bullion. emissions occur from materials handling and Most domestic battery scrap is processed in transport of ores and concentrates. Some vapors blast furnaces, rotary furnaces, or reverberatory are produced in hydrometallurgy and in various furnaces. A reverberatory furnace is more suit- refining processes. The principal constituents of able for processing fine particles and may be op- the particulate matter are lead/zinc and iron ox- erated in conjunction with a blast furnace. ides, but oxides of metals such as arsenic, anti- Blast furnaces produce hard lead from charges mony, cadmium, copper, and mercury are also containing siliceous slag from previous runs present, along with metallic sulfates. Dust from (about 4.5% of the charge), scrap iron (about raw materials handling contains metals, mainly 4.5%), limestone (about 3%), and coke (about in sulfidic form, although chlorides, fluorides, 5.5%). The remaining 82.5% of the charge is made and metals in other chemical forms may be up of oxides, pot furnace refining drosses, and present. Off-gases contain fine dust particles and reverberatory slag. The proportions of rerun slags, volatile impurities such as arsenic, fluorine, and limestone, and coke vary but can run as high as mercury. Air emissions for processes with few 8% for slags, 10% for limestone, and 8% for coke. controls may be of the order of 30 kilograms lead The processing capacity of the blast furnace or zinc per metric ton (kg/t) of lead or zinc pro- ranges from 20 to 80 metric tons per day (tpd). duced. The presence of metals in vapor form is Newer secondary recovery plants use lead dependent on temperature. Leaching processes paste desulfurization to reduce sulfur dioxide will generate acid vapors, while refining pro- emissions and generation of waste sludge dur- cesses result in products of incomplete combus- ing smelting. Battery paste containing lead sul- tion (PICs). Emissions of arsine, chlorine, and fate and lead oxide is desulfurized with soda ash, hydrogen chloride vapors and acid mists are as- yielding market-grade sodium sulfate as a by- sociated with electrorefining. product. The desulfurized paste is processed in Wastewaters are generated by wet air scrub- a reverberatory furnace, and the lead carbonate bers and cooling water. Scrubber effluents may product may then be treated in a short rotary contain lead/zinc, arsenic, and other metals. In furnace. The battery grids and posts are pro- the electrolytic refining process, by-products such cessed separately in a rotary smelter. as gold and silver are collected as slines and are subsequently recovered. Sources of waste- Zinc Manufacturing water include spent electrolytic baths, slines recovery, spent acid from hydrometallurgy pro- In the most common hydrometallurgical process cesses, cooling water, air scrubbers, washdowns, for zinc manufacturing, the ore is leached with and stormwater. Pollutants include dissolved 334 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES and suspended solids, metals, and oil and 9 Recover acid, plastics, and other materials grease. when handling battery scrap in secondary lead The larger proportion of the solid waste is dis- production. carded slag from the smelter. Discard slag may - Recycle condensates, rainwater, and excess contain 0.5-0.7% lead/zinc and is frequently used process water for washing, for dust control, for as fill or for sandblasting. Slags with higher lead/ gas scrubbing, and for other process applica- zinc) content-say, 15% zinc-can be sent for tions where water quality is not of particular metals recovery. Leaching processes produce resi- concern. dues, while effluent treatment results in sludges * Give preference to natural gas over heavy fuel that require appropriate disposal. The smelting oil for use as fuel and to coke with lower sul- process typically produces less than 3 tons of fur content. solid waste per ton of lead/zinc produced. * Use low-NO. burners. -Use suspension or fluidized bed roasters, Pollution Prevention and Control where appropriate, to achieve high SO, con- centrations when roasting zinc sulfides. The most effective pollution prevention option * Recover and reuse iron-bearing residues from is to choose a process that entails lower energy zinc production for use in the steel or construc- usage and lower emissions. Modern flash-smelt- tion industries. ing processes save energy, compared with the - Give preference to fabric filters over wet scrub- conventional sintering and blast furnace process. bers or wet electrostatic precipitators (ESPs) Process gas streams containing over 5% sulfur for dust control. dioxide are usually used to manufacture sulfu- Good housekeeping practices are key to mini- ric acid. The smelting furnace will generate gas mizing losses and preventing fugitive emissions. streams with SO, concentrations ranging from Losses and emissions are minimized by enclosed 0.5% to 10%, depending on the method used. It buildings, covered conveyors and transfer points, is important, therefore, to select a process that and dust collection equipment. Yards should be uses oxygen-enriched air or pure oxygen. The aim paved and runoff water routed to settling ponds. is to save energy and raise the SO2 content of the process gas stream by reducing the total volume Pollution Reduction Targets of the stream, thus permitting efficient fixation of sulfur dioxide. Processes should be operated Im to maximize the concentration of the sulfur di- pl ntion pr oduction pros oxide. An added benefit is the reduction (or elimi- anolion evionmeasures ye boh nation) of nitrogen oxides (NOx). lowing production-related targets can be * Use doghouse enclosures where appropriate; achieved by measures such as those described use hoods to collect fugitive emissions. above. The figures relate to the production pro- * Mix strong acidic gases with weak ones to fa- cesses before the addition of pollution control cilitate production of sulfuric acid from sulfur measures. oxides, thereby avoiding the release of weak The target pollutant load for lead and zinc acidic gases. smelting operations for particulate matter is 0.5 * Maximize the recovery of sulfur by operating kg/t of concentrated ore processed. ESPs are used the furnaces to increase the SO2 content of the to recover dust. Pollutant load factors for lead in flue gas and by providing efficient sulfur con- air emissions are 0.08 kg/t from roasting, 0.08 kg! version. Use a double-contact, double-absorp- t from smelting, and 0.13 kg/t from refining. tion process. A double-contact, double-absorption plant * Desulfurize paste with caustic soda or soda ash should emit no more than 2 kg of sulfur dioxide to reduce SO, emissions. per ton of sulfuric acid produced, based on a con- * Use energy-efficient measures such as waste version efficiency of 99.7%. Sulfur dioxide should heat recovery from process gases to reduce fuel be recovered to produce sulfuric acid, thus yield- usage and associated emissions. ing a marketable product and reducing S2emis- Lead and Zinc Smelting 335 sions. Fugitive emissions are controlled by using ceptable. All of the maximum levels should be enclosed conveyors. achieved for at least 95% of the time that the plant or unit is operating, to be calculated as a propor- Treatment Technologies tion of annual operating hours. ESPs and baghouses are used for product recov- Air Emissions ery and for the control of particulate emissions. Dust that is captured but not recycled will need The air emissions levels presented in Table 1 to be disposed of in a secure landfill or in an- should be achieved. other acceptable manner. The environmental assessment should address Arsenic trioxide or pentoxide is in vapor form the buildup of heavy metals from particulate fall- because of the high gas temperatures and must out in the vicinity of the plant over its projeced life. be condensed by gas cooling so that it can be re- moved in fabric filters. Liquid Effluents Collection and treatment of vent gases by al- kali scrubbing may be required when sulfur di- The effluent emissions levels presented in Table oxide is not being recovered in an acid plant. 2 should be achieved. Effluent treatment of process bleed streams, filter backwash waters, boiler blowdown, and other streams is required to reduce suspended Tae 1. mo fromea i S n and dissolved solids and heavy metals and to adjust pH. Residues that result from treatment Parameter Maximum value are recycled to other industries such as the con- Sulfur dioxide 400 struction industry, sent to settling ponds (pro- Arsenic 0.1 vided that groundwater and surface water Cadmium 0.05 contamination is not a concern), or disposed of Copper 0.5 in a secure landfill. Lead 0.5 Slag should be either landfilled or granulated Mercury 0.05 and sold for use in building materials. Zinc 1.0 Particulates 20 Emissions Guidelines Emissions levels for the design and operation of Table 2. Effluents from Lead/Zinc Smelting each project must be established through the envi- (milligrams per liter except for pH and temperature) ronmental assessment (EA) process on the basis of Parameter Maximum value country legislation and the Pollution Prevention and Abatement Handbook, as applied to local conditions. pH 6-9 The emissions levels selected must be justified in TSS 20 The guidelines given below present emissions Copmir 0.5 levels normally acceptable to the World Bank Ipron 3.5 Group in making decisions regarding provision Lead 0.1 of World Bank Group assistance. Any deviations Mercury 0.01 from these levels must be described in the World Zinc 2.0 Bank Group project documentation. The emis- Total metalsa 5 sions levels given here can be consistently Temperature increase 30Cb achieved by well-designed, well-operated, and a. Includes arsenic, beryllium, cadmium chromium, gold, lead, well-maintained pollution control systems. mercury, nickel, selenium, silver, thallium, and vanadium. The guidelines are expressed as concentrations b. The effluent should result in a temperature increase of no faciitae moitoing.Diltionof ir eissons more than 30 C at the edge of the zone where initial mixing and to faiiaemntrn.Dlto fareisos dilution take place. Where the zone is not defined, use 100 or effluents to achieve these guidelines is unac- meters from the point of discharge. 336 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Ambient Noise the operating standards so that any necessary corrective actions can be taken. Records of moni- Noise abatement measures should achieve either toring results should be kept in an acceptable the levels given below or a maximum increase in format. The results should be reported to the background levels of 3 decibels (measured on the responsible authorities and relevant parties, as A scale) [dB(A)]. Measurements are to be taken required. at noise receptors located outside the project property boundary. Key Issues Maximum allowable log The key production and control practices that will equivalent (hourly lead to compliance with emissions requirements measurements), in dB(A) can be summarized as follows: Day Night Receptor (07:00-22:00) (22:00-07:00) 0 Give preference to the flash-smelting process where appropriate. Residential, 9 Choose oxygen enrichment processes that al- institutional, low higherSO2concentrations in smelter gases educational 55 45to assist in sulfur recovery; use the double-con- Industrial, tact, double-absorption process. commercial 70 70 - Improve energy efficiency to reduce fuel us- age and associated emissions; use low-NO, Monitoring and Reporting burners; give preference to natural gas as fuel. * Reduce air emissions of toxic metals to accept- Frequent sampling may be required during start- able levels. up and upset conditions. Once a record of con- 9 Maximize the recovery of dust and minimize sistent performance has been established, fugitive emissions; use hoods and doghouse sampling for the parameters listed in this docu- enclosures. ment should be as described below. - Reduce effluent discharge by maximizing Air emissions should be monitored continu- wastewater recycling. ously for sulfur dioxide and particulate matter. e Avoid contamination of groundwater and sur- Other air emissions parameters should be moni- face waters by leaching of toxic metals from tored monthly. Fugitive emissions should be tailings, process residues, slag, and other monitored annually. wastes. Liquid effluents should be monitored daily for pH and total suspended solids and at least Sources weekly for all other parameters. All solid waste, tailings, and leachates should Bounicore, Anthony J., and Wayne T. Davis, eds. 1992. be monitored for toxic metals. Contamination of Air Pollution Engineering Manual. New York: Van groundwater and surface waters should be Nostrand Reinhold. avoided. Environment Canada. 1980. "A Study of Sulphur Con- Monitoring data should be analyzed and re- tainment Technology in the Non-Ferrous Metallur- viewed at regular intervals and compared with gical Industries." Report EPS 3-AP-79-8. Ottawa. Meat Processing and Rendering Industry Description and Practices tai blood, manure, hair, fat, feathers, and bones. The wastewater may be at a high temperature The meat processing and rendering industry in- and may contain organic material and nitrogen, cludes the slaughter of animals and fowl, pro- as well as such pathogens as salmonella and shi- cessing of the carcasses into cured, canned, and gella bacteria, parasite eggs, and amoebic cysts. other meat products, and the rendering of ined- Pesticide residues may be present from treatment ible and discarded remains into useful by-prod- of animals or their feed. Chloride levels from ucts such as lards and oils. A wide range of curing and pickling may be very high-up to processes is used. Table 1 provides information 77,000 mg/l. Smoking operations can release on water usage in the industry. toxic organics into air. Rendering is an evapora- tive process that produces a condensate stream Waste Characteristics with a foul odor. All slaughtering wastes (generally, 35% of the The meat industry has the potential for generat- animal weight) can be used as by-products or for ing large quantities of solid wastes and waste- rendering. The only significant solid waste go- water with a biochemical oxygen demand (BOD) ing for disposal is the manure from animal trans- of 600 milligrams per liter (mg/1). BOD can be as port and handling areas. high as 8,000 mg/l, or 10-20 kilograms per met- ric ton (kg/t) of slaughtered animal; and sus- Pollution Prevention and Control pended solids levels can be 800 mg/1 and higher. In some cases, offensive odors may occur. The Separation of product from wastes at each stage amounts of wastewater generated and the pol- is essential for maximizing product recovery and lutant load depend on the kind of meat being reducing waste loads. The materials being processed. For example, the processing of gut has handled are all putrescible; hence, cleanliness is a significant impact on the quantity and quality essential. Water management should achieve the (as measured by levels of BOD and of chemical necessary cleanliness without waste. The oxygen demand, COD) of wastewater generated. amounts and strength of wastes can be reduced The wastewater from a slaughterhouse can con- by good practices such as dry removal of solid wastes and installation of screens on wastewater Table 1.Typical Water Usage in thec annels. Meat 1.uty In-plant measures that can be used to reduce (cubicndestr the odor nuisance and the generation of solid and (cubc meersper etrc to ofprodct)liquid wastes from the production processes in- Process Water use dude the following: Slaughterhouse e Recover and process blood into useful by- Pigs 1.5-10 products. Allow enough time for blood drain- Cattle 2.5-40 ing (at least seven minutes). Poultry 6-30 e Process paunches and intestines and utilize fat Meat processing 2-60 and slime. 337 338 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES * Minimize water consumed in production by, Table 2. Target Loads for Meat Processing for example, using taps with automatic shutoff, and Rendering using high water pressure, and improving the Parameter Maximum level process layout. * Eliminate wet transport (pumping) of wastes Water used 3-6 m3/t of (for example, intestines and feathers) to mini- slaughtered animal mize water consumption. BOD 10-20 kg/t * Reduce the liquid waste load by preventing Total nitrogen 100-200 mg/I any solid wastes or concentrated liquids from Suspendedssolis 10-50 mg/I entering the wastewater stream. Suspended_solids _100_500_mg/l * Cover collection channels in the production area with grids to reduce the amount of solids entering the wastewater. production-related targets presented in Table 2 * Separate cooling water from process water and can be achieved by measures such as those de- wastewaters, and recirculate cooling water. scribed above. The numbers relate to the produc- * Implement dry precleaning of equipment and tion processes before the addition of pollution production areas prior to wet cleaning. control measures. * Equip the outlets of wastewater channels with screens and fat traps to recover and reduce the Treatment Technologies concentration of coarse material and fat in the combined wastewater stream. Wastewaters from meat processing are suitable * Optimize the use of detergents and disinfec- for biological treatment and (except for the very tants in washing water. odorous rendering wastewater) could be dis- * Remove manure (from the stockyard and from charged to a municipal sewer system after flow intestine processing) in solid form. equalization, if the capacity exists. Sewer authori- * Dispose of hair and bones to the rendering ties usually require pretreatment of the waste- plants. water before it is discharged into the sewer. * Reduce air emissions from ham processing Screens and fat traps are the minimum means through some degree of air recirculation, after of pretreatment in any system. Flotation, in some filtering. cases aided by chemical addition, may also be * Isolate and ventilate all sources of odorous carried out to remove suspended solids and emissions. Oxidants such as nitrates can be emulsified fats, which can be returned to the ren- added to wastes to reduce odor. dering plant. The choice of an appropriate bio- In rendering plants, odor is the most important logical treatment system will be influenced by a air pollution issue. To reduce odor: number of factors, including wastewater load and the need to minimize odors. Rendering * Minimize the stock of raw material and store wastewater typically has a very high organic and it in a cold, closed, well-ventilated place. nitrogen load. Extended aeration is an effective * Pasteurize the raw material before processing form of treatment, but care must be taken to mini- it in order to halt biological processes that gen- mize odors. erate odor. Disinfection of the final effluent may be re- * Install all equipment in closed spaces and op- quired if high levels of bacteria are detected. erate under partial or total vacuum. Ponding is a simple solution but requires con- * Keep all working and storage areas clean. siderable space. Chemical methods, usually based on chlorine compounds, are an alternative. Target Pollution Loads Biofilters, carbon filters, and scrubbers are used to control odors and air emissions from sev- Implementation of cleaner production processes eral processes, including ham processing and ren- and pollution prevention measures can provide dering. Recycling exhaust gases from smoking both economic and environmental benefits. The may be feasible in cases where operations are not Meat Processing and Rendering 339 carried out manually and smoke inhalation by Table 3. Effluents from Meat Processing workers is not of concern. and Rendering Industry (milligrams per liter, except for pH and bacteria) Emissions Guidelines Parameter Maximum value Emissions levels for the design and operation of pH 6-9 each project must be established through the en- BOD 50 vironmental assessment (EA) process on the ba- COD 250 sis of country legislation and the Pollution Prevention TSS 50 Oil and grease 10 and Abatement Handbook, as applied to local con- Nitrogen (total) 10 ditions. The emissions levels selected must be Total phosphorus 5 justified in the EA and acceptable to the World Coliform bacteria 400 MPN/100 ml Bank Group. The guidelines given below present emissions Note: Effluent requirements are for direct discharge to levels normally acceptable to the World Bank surface waters. MPN, most probable number. Group in making decisions regarding provision of World Bank Group assistance. Any deviations from these levels must be described in the World A scale) [dB(A)]. Measurements are to be taken Bank Group project documentation. The emis- at noise receptors located outside the project sions levels given here can be consistently property boundary. achieved by well-designed, well-operated, and well-maintained pollution control systems. Maximum allowable log The guidelines are expressed as concentrations equivalent (hourly to facilitate monitoring. Dilution of air emissions measurements), in dB(A) or effluents to achieve these guidelines is un- Day Night acceptable. Receptor (07:00-22:00) (22:00-07:00) All of the maximum levels should be achieved Residential, at least 95% of the time that the plant or unit is institutional, operating, to be calculated as a proportion of educational 55 45 annual operating hours. Industrial, commercial 70 70 Air Emissions Monitoring and Reporting Odor controls should be implemented, where necessary, to minimize odor impacts on nearby Monitoring of the final effluent for the param- residents. Particulate matter emissions of eters listed in this document should be carried smokehouses should be kept below 150 milli- out at least once a month-more frequently. if the grams per normal cubic meter (mg/Nm), with a flows vary significantly. Effluents should be ana- carbon content of less than 50 mg/Nm. lyzed for pesticides annually; if pesticides are present above 0.05 mg/l, appropriate corrective Liquid Effluents actions should be taken. Records of monitoring results should be kept in an acceptable format. The liquid effluent levels presented in Table 3 The records should be reported to the responsible should be achieved. authorities and relevant parties, as required. Ambient Noise Key Issues Noise abatement measures should achieve either The key production and control practices that will the levels given below or a maximum increase in lead to compliance with emissions guidelines background levels of 3 decibels (measured on the may be summarized as follows: 340 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES * Design and operate the production systems to Sources achieve target water consumption levels. * Separate cooling water from process water. Economopoulos, Alexander P. 1993. Assessment of * Dry-clean production areas before washing, Sources of Air, Water, and Land Pollution: A Guide to and provide grids and fat traps on collection Rapid Source Inventory Techniques and their Use in channels. Formulating Environmental Control Strategies. Part 1: * Eliminate wet transport of waste. Rapid Inventory Techniques in Environmental Pollution. * Recover blood and other materials and pro- Geneva: World Health Organization. cess into useful by-products. World Bank. 1996. "Pollution Prevention and Abate- * Send organic material to the rendering plant. ment: Meat Processing and Rendering." Draft Tech- * Design and operate the rendering plant to nical Background Document. Environment minimize odor generation. Department, Washington, D.C. Mini Steel Mills Industry Description and Practices steel through use of inorganic acid water solu- tions. Mixed acids (nitric and hydrofluoric) are Mini steel mills normally use the electric arc fur- used for stainless steel pickling; sulfuric or hy- nace (EAF) to produce steel from returned steel, drochloric acid is used for other steels. Other scrap, and direct reduced iron. EAF is a batch methods for removing scale include salt pickling, process with a cycle time of about two to three electrolytic pickling, and blasting; blasting is en- hours. Since the process uses scrap metal instead vironmentally desirable, where feasible. of molten iron, coke-making and iron-making operations are eliminated. EAFs can economi- Waste Characteristics cally serve small, local markets. Further processing of steel can include con- EAFs produce metal dusts, slag, and gaseous tinuous casting, hot rolling and forming, cold emissions. The primary hazardous components rolling, wire drawing, coating, and pickling. The of EAF dust are zinc, lead, and cadmium; nickel continuous casting process bypasses several steps and chromium are present when stainless steels of the conventional ingot teeming process by cast- are manufactured. The composition of EAF dust ing steel directly into semifinished shapes. The can vary greatly, depending on scrap composi- casting, rolling, and steel finishing processes are tion and furnace additives. EAF dust usually has also used in iron and steel manufacturing. a zinc content of more than 15%, with a range of Hot steel is transformed in size and shape 5-35%. Other metals present in EAF dust include through a series of hot rolling and forming steps lead (2-7%), cadmium (generally Q.1-0.2% but to manufacture semifinished and finished steel can be up to 2.5% where stainless steel cases of products. The hot rolling process consists of slab- nickel-cadmium batteries are melted), chromium heating (as well as billet and bloom), rolling, and (up to 15%), and nickel (up to 4%). Generally, an forming operations. Several types of hot form- EAF produces 10 kilograms of dust per metric ing mills (primary, section, flat, pipe and tube, ton (kg/t) of steel, with a range of 5-30 kg/t, wire, rebar, and profile) manufacture a variety depending on factors such as furnace character- of steel products. istics and scrap quality. Major pollutants present For the manufacture of a very thin strip or a in the air emissions include particulates (1,000 strip with a high-quality finish, cold rolling must milligrams per normal cubic meter, mg/NM3), follow the hot rolling operations. Lubricants nitrogen oxides from cutting, scarfing, and pick- emulsified in water are usually used to achieve ling operations, and acid fumes (3,000 mg/Nm') high surface quality and to prevent overheating from pickling operations. Both nitrogen oxides of the product. and acid fumes vary with steel quality. Wire drawing includes heat treatment of rods, Mini mills generate up to 80 cubic meters of cleaning, and sometimes coating. Water, oil, or wastewater per metric ton(M3/t) of steel prod- lead baths are used for cooling and to impart uct. Untreated wastewaters contain high levels desired features. of total suspended solids (up to 3,000 milligrams To prepare the steel for cold rolling or draw- per liter, mg/1), copper (up to 170 mg/1), lead ing, acid pickling is performed to chemically re- (10 mg/1), total chromium (3,500 mg/1), move oxides and scale from the surface of the hexavalent chromium (200 mg/l), nickel (4,600 341 342 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES mg/1), and oil and grease (130 mg/1). Chrome * Use electrochemical methods in combination and nickel concentrations result mainly from with pickling to lower acid consumption. pickling operations. The characteristics of the * Reduce nitrogen oxide (NO.) emissions by use wastewater depend on the type of steel, the form- of natural gas as fuel, use low-NO, burners, ing and finishing operations, and the quality of and use hydrogen peroxide and urea in stain- scrap used as feed to the process. less steel pickling baths. Solid wastes, excluding EAF dust and waste- * Recycle slags and other residuals from manu- water treatment sludges, are generated at a rate facturing operations for use in construction of 20 kg/t of steel product. Sludges and scale and other industries. from acid pickling, especially in stainless steel * Recover zinc from EAF dust containing more manufacturing, contain heavy metals such as than 15% total zinc; recycle EAF dust to the chromium (up to 700 mg/kg), lead (up to 700 extent feasible. mg/kg), and nickel (400 mg/kg). These levels may be even higher for some stainless steels. Target Pollution Loads Pollution Prevention and Control High water use is associated with cooling. Re- cycle wastewaters to reduce the discharge rate The following pollution prevention measures to less than 5M3/tof steel produced, including should be considered: indirect cooling waters. The recommended pollution prevention mea- " Locate EAFs in enclosed buildings. sures can achieve the target levels. * Improve feed quality by using selected scrap to reduce the release of pollutants to the envi- Treatment Technologies ronment. T Use dry dust collection methods such as fab- Air Emissions soc filters. *Dust emission control technologies include cy- Repce feemingalith continuus astin clones, baghouses, and electrostatic precipitators ished products wherever feasible. In some cases, itiv e s from charrin ad itof continuous charging may be feasible and effec- g gig an g UvefEAFs should be controlled by locating the EAF tivein an enclosed building or using hoods and by * Use bottom tapping of EAFs to prevent dust evacuating the dust to dust arrestment equip- emissions. ment to achieve an emissions level of less than * Control water consumption by proper design 0.25 kg/t. of spray nozzles and cooling water systems. * Segregate wastewaters containing lubricating Wastewater Treatment oils from other wastewater streams and re- move oil. Spent pickle liquor containing hydrochloric acid * Recycle mill scale to the sinter plant in an in- is treated by spraying it into a roasting chamber tegrated steel plant. and scrubbing the vapors. If hexavalent chrome * Use acid-free methods (mechanical methods is present in salt pickling or electrolytic pickling such as blasting) for descaling, where feasible. baths, it can be reduced with a sulfide reagent, * In the pickling process, use countercurrent iron salts, or other reducing agents. The remain- flow of rinse water; use indirect methods for ing wastewaters are typically treated using oil- heating and pickling baths. water separation flotation, precipitation, * Use closed-loop. systems for pickling; regen- chemical flocculation, sedimentation/parallel erate and recover acids from spent pickling li- plate separation/hydrocycloning, and filtration. quor using resin bed, retorting, or other Methods such as ultrafiltration may be used for regeneration methods such as vacuum crys- oil emulsions. For continuous casting and cold tallization of sulfuric acid baths. rolling, oil should be less than 5 g/t and total Mini Steel Mills 343 suspended solids less than 10 g/t. For hot roll- Table 1. Effluents from Mini Steel Mills ing, the corresponding values are 10 g/t and 50 (milligrams per liter, except for pH and temperature) g/t, respectively. Parameter Maximum value Emissions Guidelines pH 6-9 TSS 50 Emissions levels for the design and operation of Oil and grease 10 each project must be established through the en- Cadmium 0.1 vironmental assessment (EA) process on the ba- Chromium sis of country legislation and the Pollution Prevention Total 0.5 and Abatement Handbook, as applied to local con- Copper 0.5 ditions. The emissions levels selected must be Lead 0.1 justified in the EA and acceptable to the World Nickel 0.5 Bank Group. Temperature increase 30C- The guidelines given below present emissions levels normaly acceptblo te mrl ink a. The effluent should result in a temperature increase of no leves nrmaly aceptbleto te Wrld ank more than 30 C at the edge of the zone where initial mixing and Group in making decisions regarding provision dilution take place. Where the zone is not defined, use 100 of World Bank Group assistance. Any deviations meters from the point of discharge. from these levels must be described in the World Bank Group project documentation. The emis- effluents. Solid wastes such as slag, dust, and sions levels given here can be consistently scale should be sent for metals recovery or re- achieved by well-designed, well-operated, and cycled to the extent feasible. well-maintained pollution control systems. The guidelines are expressed as concentrations Ambient Noise to facilitate monitoring. Dilution of air emissions or effluents to achieve these guidelines is un- acceptable. Nie abemen easur a cee i All of the maximum levels should be achieved for at least 95% of the time that the plant or unit background levels of 3 decibels (measured on the is operating, to be calculated as a proportion of A scale) [dB(A)I. Measurements are to be taken annual operating hours. at noise receptors located outside the project property boundary. Air Emissions Maximum allowable log Air emissions of particulate matter (PM) should equivalent (hourly be less than 20 mg/Nm3 where toxic metals are measurements), in dB(A) present and less than 50 mg/Nm3 in other cases. Day Night This would correspond to total dust emissions Receptor (07:00-22:00) (22:00-07:00) of less than 1 kg/t of steel. Sulfur oxides should Residential, be less than 2,000 mg/Nm3 and nitrogen oxides, institutional, less than 750 mg/Nm3. educational 55 45 Industrial, Liquid Effluents commercial 70 70 For mini steel mills, the effluent levels presented Monitoring and Reporting in Table 1 should be achieved. Sludges from wastewater treatment and steel Stack air emissions should be monitored continu- finishing operations should be disposed of in a ously for PM, using an opacity meter (for an opac- secure landfill after chrome reduction and stabi- ity level of less than 10%) or a dust detector. lization. Levels of heavy metals in the leachates Wastewater discharges should be monitored should be less than those presented for liquid daily for the parameters listed in Table 1 except 344 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES for metals, which should be monitored at least e Use countercurrent flow of rinse water in acid weekly or whenever there are process changes. pickling. Monitoring data should be analyzed and re- - Regenerate and reuse acid from spent pickle viewed at regular intervals and compared with liquor or sell pickle liquor for use as a waste- the operating standards so that any necessary water treatment reagent. corrective actions can be taken. A baseline data 9 Recycle at least 90% of the wastewater. set should be developed for fugitive emissions, * Use hydrogen peroxide or urea to reduce ni- and periodic review (once every three years) of trogen oxide emissions from nitric and hydrof- such emissions should be performed. Records of luoric acid pickling baths. monitoring results should be kept in an accept- able format. The results should be reported to the Sources responsible authorities and relevant parties, as required. British Steel Consultants. 1993. "Research Study, In- ternational Steel Industry." Prepared for the In- Key Issues ternational Finance Corporation, Washington, D.C. The key production and control practices that will Paris Commission. 1991. Secondary Iron and Steel Pro- lead to compliance with emissions guidelines can duction: An Overview of Technologies and Emission be smmaize as ollws:Standards Used in the PARCOM Countries. be summarized as follows: World Bank. 1996 "Pollution Prevention and Abate- * Replace ingot teeming with continuous casting. ment: Mini Steel Mills." Draft Technical Background * Locate EAFs in enclosed buildings or install Document. Environment Department, Washington, dry dust collection systems such as bag filters. D.C. Mixed Fertilizer Plants Industry Description and Practices its and are refined through crystallization pro- cesses to produce fertilizer. Potash may also be Mixed fertilizers contain two or more of the ele- dry-mined and purified by flotation. ments nitrogen, phosphorus, and potassium Compound fertilizers can be made by blend- (NPK), which are essential for good plant growth ing basic fertilizers such as ammonium nitrate, and high crop yields. This document addresses MAP, DAP, and granular potash; this route may the production of ammonium phosphates involve a granulation process. (monoammonium phosphate, or MAP, and diammonium phosphate, or DAP), nitrophos- Waste Characteristics phates, potash, and compound fertilizers. Ammonium phosphates are produced by mix- Air Emissions ing phosphoric acid and anhydrous ammonia in a reactor to produce a slurry. (This is the mixed- The principal pollutants from the production of acid route for producing NPK fertilizers; potas- MAP and DAP are ammonia and fluorides, which sium and other salts are added during the are given off in the steam from the reaction. Fluo- process.) The slurry is sprayed onto a bed of re- rides and dust are released from materials-han- cycled solids in a rotating granulator, and am- dling operations. Ammonia in uncontrolled air monia is sparged into the bed from underneath. emissions has been reported to range from 0.1 to Granules pass to a rotary dryer followed by a 7.8 kilograms of nitrogen per metric ton (kg/t) rotary cooler. Solids are screened and sent to stor- of product, with phosphorus ranging from 0.02 age for bagging or for bulk shipment. to 2.5 kg/t product (as phosphorous pentoxide, Nitrophosphate fertilizer is made by digest- P205). ing phosphate rock with nitric acid. This is the In nitrophosphate production, dust will also nitrophosphate route leading to NPK fertilizers; contain fluorides. Nitrogen oxides (NO.) are as in the mixed-acid route, potassium and other given off at the digester. In the evaporation stage, salts are added during the process. The resulting fluorine compounds and ammonia are released. solution is cooled to precipitate calcium nitrate, Unabated emissions for nitrogen oxides from se- which is removed by filtration. The filtrate is neu- lected processes are less than 1,000 milligrams tralized with ammonia, and the solution is evapo- per cubic meter (Mg/i3) from digestion of phos- rated to reduce the water content. Prilling may phate rock with nitric acid, 50-200 mg/m3 from follow. The calcium nitrate filter cake can be fur- neutralization with ammonia, and 30-200 mg/ ther treated to produce a calcium nitrate fertil- m3 from granulation and drying. izer, pure calcium nitrate, or ammonium nitrate Dust is the primary air pollutant from potash and calcium carbonate. Nitrophosphate fertiliz- manufacturing. ers are also produced by the mixed-acid process, through digestion of the phosphate rock by a Liquid Effluents mixture of nitric and phosphoric acids. Potash (potassium carbonate) and sylvine (po- The volumes of liquid effluents from mixed fer- tassium chloride) are solution-mined from depos- tilizer plants are reported to range from 1.4 to 50 345 346 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES cubic meters per metric ton (m3/t) of product. Table 1. Emissions Loadings for Mixed Where water is used in scrubbers, the scrubbing Fertilizer Plants, Nitrophosphate Process liquors can usually be returned to the process. (kilograms per ton of NPK fertilizer produced) Effluents can contain nitrogen, phosphorus, and Parameter Loading fluorine; the respective ranges of concentrations can be 0.7-15.7 kg/t of product (as N), 0.1-7.8 Ammonia (NH, as N) 0.3 kg/t of product (as P20), and 0.1-3.2 kg/t of Nitrogen oxides (as NO,) 0.2 product. Fluoride (as fluorine) 0.02 PM 0.3 Solid Wastes Generally, there is little solid waste from a fertil- Table 2. Emissions Loadings for Mixed izer plant, since dust and fertilizer spillage can Fertilizer Plants, Mixed-Acid Process be returned to the process. (kilograms per ton of NPK fertilizer produced) Parameter Loading Pollution Prevention and ControlPamerLodn Ammonia nitrogen (NH4-N, Materials handling and milling of phosphate rock including free ammonia) 0.01 should be carried out in closed buildings. Fugi- Fluoride (as fluorine) 0.01 PM 0.2 tive emissions can be controlled by, for example, PM__________0.2_________ hoods on conveying equipment, with capture of Note: Loadings can vary widely, depending on the grade of fer- the dust in fabric filiters. tilizer produced. In the ammonium phosphate plant, the gas streams from the reactor, granulator, dryer, and cooler should be passed through cyclones and Modern plants using good industrial practices scrubbers, using phosphoric acid as the scrub- are able to achieve the pollutant loads discussed bing liquid, to recover particulates, ammonia, below. and other materials for recycling. In the nitrophosphate plant, nitrogen oxide Air Emissions (NOx) emissions should be avoided by adding urea to the digestion stage. Fluoride emissions Table 1 shows the emissions values that have been should be prevented by scrubbing the gases with reported for the manufacture of NPK fertilizers water. Ammonia should be removed by scrub- by the nitrophosphate route and that should be bing. Phosphoric acid may be used for scrubbing attained in a well-operated plant. For NPK fer- where the ammonia load is high. The process- tilizers produced by the mixed-acid route, the water system should be balanced, if necessary emissions loadings presented in Table 2 are by the use of holding tanks to avoid the discharge attainable. of an effluent. Liquid Effluents Treatment Technologies An effluent discharge of less than 1.5 m/t prod- Additional pollution control devices-beyond uct as P205 is realistic, but use of holding ponds the scrubbers, cyclones, and baghouses that are makes feasible a discharge approaching zero. an integral part of the plant design and opera- Table 3 shows the pollutant loads in effluents re- tions-are generally not required for mixed fer- ported for NPK fertilizers produced by the tilizer plants. Good housekeeping practices are nitrophosphate route. essential to minimize the amount of spilled ma- terial. Spills or leaks of solids and liquids should Emissions Guidelines be returned to the process. Liquid effluents, if any, need to be controlled for total suspended solids, Emissions levels for the design and operation fluorides, phosphorus, and ammonia. of each project must be established through the Mixed Fertilizer Plants 347 Table 3. Pollutant Loads in Effluents, Mixed Table 5. Effluents from Mixed Fertilizer Plants Fertilizer Plants, Nitrophosphate Process (milligrams per liter, except for pH) (kilograms per ton of NPK fertilizer produced) Parameter Maximum value Parameter Loading pH 6-9 P205 0.06 TSS 50 NH4-N 0.012 Fluorides (as fluorine) 20 Nitrate nitrogen (NO,-N) 0.03 Total metals 10 Fluoride (as fluorine) 0.05 Cadmium 0.1 Phosphorus 5 Ammonia (NH,-N) 10 environmental assessment (EA) process on the basis of country legislation and the Pollution Pre- wteEed vention and Abatement Handbook, as applied to lo- cal conditions. The emissions levels selected must be justified in the EA and acceptable to the World Liquid Effluents Bank Group. The guidelines given below present emis- sions levels normally acceptable to the World Te eend Bank Group in making decisions regarding Wastewater treatment discharges are some- provision of World Bank Group assistance. Any times used for agricultural purposes and may deviations from these levels must be described contain heavy metals. Of particular concern is the in the,World Bank Group project documenta- tion. The emissions levels given here can be consistently achieved by well-designed, well- Ambient Noise operated, and well-maintained pollution con- trol systems. Noise abatement measures should achieve either The guidelines are expressed as concentrations the levels given below or a maximum increase in to facilitate monitoring. Dilution of air emissions or effluents to achieve these guidelines is unac- ba le v of eciels are o te ceptable.at noise recetors located outside the roect All of the maximum levels should be achieved p for at least 95% of the time that the plant or unit is operating, to be calculated as a proportion of Maximum allowable log annual operating hours. equivalent (hourly Air Emissions measurements), in dB(A) Day Night Receptor (07:00-22:00) (22:00-0 7:00) The emissions levels presented in Table 4 should be achieved. Residential, institutional, educational 55 45 Table 4. Air Emissions from Mixed Fertilizer Plants Industrial, (milligrams per normal cubic meter) commercial 70 70 Parameter Maximum value Monitoring and Reporting PM 50 Ammonia (NH, as N) 50 Frequent sampling may be required during start- Fluorides (as fluorine) 5 Nitrogen oxides (as NO,) upsand petfont nce a ec ofacon- Nitrophosphate unit 500 Mixed-acid unit 70 sampling for the parameters listed in the tables should be as described below. 348 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Air emissions at point of discharge are to be ammonia and other hazardous materials monitored continuously for fluorides and par- stored and handled on site. ticulates and annually for ammonia and nitro- gen oxides. Sources Liquid effluents should be continuously moni- tored for pH. Other parameters are to be moni- Bounicore, Anthony J., and Wayne . Davis, eds. 1992. tored at least weekly. Air Pollution Engineering Manual. New York: Van Monitoring data should be analyzed and re- Nostrand Reinhold. viewed at regular intervals and compared with the European Fertilizer Manufacturers'Association. 1995a. operating standards so that any necessary correc- "Production of NPK Fertilizers by the tive actions can be taken. Records of monitoring Nitrophosphate Route." Booklet 7 of 8. Brussels. results should be kept in an acceptable format. The . 1995b. "Production of NPK Fertilizers by the results should be reported to the responsible au- Mixed Acid Route." Booklet 8 of 8. Brussels. thorities and relevant parties, as required. Sauchelli, Vincent. 1960. Chemistry and Technology of Key Issues Fertilizers. New York: Reinhold Publishing. Sittig, Marshall. 1979. Fertilizer Industry; Processes, Pol- The key production and control practices that will lution Control and Energy Conservation. Park Ridge, lead to compliance with emissions requirements N.J.: Noyes Data Corporation. can be summarized as follows: UNIDO (United Nations Industrial Development Or- * Maximize product recovery and minimize air ganization). 1978. Process Technologies for Nitrogen emissions by appropriate maintenance and Fertilizers. New York. operation of scrubbers and baghouses. . 1978. Process Technologies for Phosphate Fer- * Eliminate effluent discharges by operating a tilizers. New York. balanced process water system. World Bank. 1996. "Pollution Prevention and Abate- * Prepare and implement an emergency pre- ment: Mixed Fertilizer Plants." Draft Technical Back- paredness and response plan. Such a plan is ground Document. Environment Department, required because of the large quantities of Washington, D.C. Nickel Smelting and Refining Industry Description and Practices flexibility is needed. Both processes use dried concentrates. Electric smelting requires a roast- Primary nickel is produced from two very dif- ing step before smelting to reduce sulfur content ferent ores, lateritic and sulfidic. Lateritic ores are and volatiles. Older nickel-smelting processes, normally found in tropical climates where weath- such as blast or reverberatory furnaces, are no ering, with time, extracts and deposits the ore in longer acceptable because of low energy efficien- layers at varying depths below the surface. Lat- cies and environmental concerns. eritic ores are excavated using large earth-mov- In flash smelting, dry sulfide ore containing ing equipment and are screened to remove less than 1% moisture is fed to the furnace along boulders. Sulfidic ores, often found in conjunc- with preheated air, oxygen-enriched air (30-40% tion with copper-bearing ores, are mined from oxygen), or pure oxygen. Iron and sulfur are oxi- underground. Following is a description of the dized. The heat that results from exothermic re- processing steps used for the two types of ores. actions is adequate to smelt concentrate, producing a liquid matte (up to 45% nickel) and Lateritic Ore Processing a fluid slag. Furnace matte still contains iron and sulfur, and these are oxidized in the converting Lateritic ores have a high percentage of free and step to sulfur dioxide and iron oxide by injecting combined moisture, which must be removed. air or oxygen into the molten bath. Oxides form Drying removes free moisture; chemically bound a slag, which is skimmed off. Slags are processed water is removed by a reduction furnace, which in an electric furnace prior to discard to recover also reduces the nickel oxide. Lateritic ores have nickel. Process gases are cooled, and particulates no significant fuel value, and an electric furnace are then removed by gas-cleaning devices. is needed to obtain the high temperatures re- quired to accommodate the high magnesia con- Nickel Refining tent of the ore. Some laterite smelters add sulfur to the furnace to produce a matte for processing. Various processes are used to refine nickel matte. Most laterite nickel processers run the furnaces Fluid bed roasting and chlorine-hydrogen reduc- so as to reduce the iron content sufficiently to tion produce high-grade nickel oxides (more than produce ferronickel products. Hydrometallurgi- 95% nickel). Vapor processes such as the carbo- cal processes based on ammonia or sulfuric acid nyl process can be used to produce high-purity leach are also used. Ammonia leach is usually nickel pellets. In this process, copper and precious applied to the ore after the reduction roast step. metals remain as a pyrophoric residue that re- quires separate treatment. Use of electrical cells Sulfidic Ore Processing equipped with inert cathodes is the most com- mon technology for nickel refining. Electro- Flash smelting is the most common process in winning, in which nickel is removed from modern technology, but electric smelting is used solution in cells equipped with inert anodes, is for more complex raw materials when increased the more common refining process. Sulfuric acid 349 350 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES solutions or, less commonly, chloride electrolytes Solid Wastes and Sludges are used. The smelter contributes a slag that is a dense sili- Waste Characteristics cate. Sludges that require disposal will result when neutralized process effluents produce a Air Emissions precipitate. Sulfur dioxide (SO2)is a major air pollutant emit- Pollution Prevention and Control ted in the roasting, smelting, and converting of sulfide ores. (Nickel sulfide concentrates contain Pollution prevention is always preferred to the 6-20% nickel and up to 30% sulfur.) SO2 releases use of end-of-pipe pollution control facilities. can be as high as 4 metric tons (t) of sulfur diox- Therefore, every attempt should be made to ide per metric ton of nickel produced, before con- incorporate cleaner production processes and fa- trols. Reverberatory furnaces and electric cilities to limit, at source, the quantity of pollut- furnaces produce SO2 concentrations of 0.5-2.0%, ants generated. while flash furnaces produce SO, concentrations The choice of flash smelting over older tech- of over 10%-a distinct advantage for the con- nologies is the most significant means of reduc- version of the sulfur dioxide to sulfuric acid. Par- ing pollution at source. ticulate emission loads for various process steps Sulfur dioxide emissions can be controlled by: include 2.0-5.0 kilograms per metric ton (kg/t) . for the multiple hearth roaster; 0.5-2.0 kg/t for Recovery as lfuic aci the fluid bed roaster; 0.2-1.0 kg/t for the electric o coe ry slquds ioxie orption furnace; 1.0-2.0 kg/t for the Pierce-Smith con- o clen dy offga iuwate or chemical verter; and 0.4 kg/t for the dryer upstream of the abin yi flash furnace. Ammonia and hydrogen sulfide are o Recove as elemental sulfur usin reductants pollutants associated with the ammonia leach such r , g process; hydrogen sulfide emissions are associ- sulfide ated with acid leaching processes. Highly toxic nickel carbonyl is a contaminant of concern in Toxic nickel carbonyl gas is normally not emit- the carbonyl refining process. Various process off- ted from the refining process because it is broken gases contain fine dust particles and volatilized down in decomposer towers. However, very strict impurities. Fugitive emissions occur at furnace precautions throughout the refining process are openings, launders, casting molds, and ladles required to prevent the escape of the nickel car- that carry molten product. The transport and bonyl into the workplace. Continuous monitor- handling of ores and concentrates produce wind- ing for the gas, with automatic isolation of any borne dust. area of the plant where the gas is detected, is re- quired. Impervious clothing is used to protect Liquid Effluents workers against contact of liquid nickel carbonyl with skin. Pyrometallurgical processes for processing Preventive measures for reducing emissions sulfidic ores are generally dry, and effluents are of particulate matter include encapsulation of of minor importance, although wet electrostatic furnaces and conveyors to avoid fugitive emis- precipitators (ESPs) are often used for gas treat- sions. Covered storage of raw materials should ment, and the resulting wastewater could have be considered. high metal concentrations. Process bleed streams Wet scrubbing should be avoided, and cool- may contain antimony, arsenic, or mercury. Large ing waters should be recirculated. Stormwaters quantities of water are used for slag granulation, should be collected and used in the process. Pro- but most of this water should be recycled. cess water used to transport granulated slag Nickel Smelting and Refining 351 should be recycled. To the extent possible, all pro- Group in making decisions regarding provision cess effluents should be returned to the process. of World Bank Group assistance. Any deviations from these levels must be described in the World Treatment Technologies Bank Group project documentation. The emis- sions levels given here can be consistently achieved The discharge of particulate matter emitted dur- by well-designed, well-operated, and well-main- ing drying, screening, roasting, smelting, and tamed pollution control systems. converting is controlled by using cyclones fol- The guidelines are expressed as concentrations lowed by wet scrubbers, ESPs, or bag filters. Fab- to facilitate monitoring. Dilution of air emissions ric filters may require reduction of gas or effluents to achieve these guidelines is un- temperatures by, for example, dilution with low- acceptable. temperature gases from hoods used for fugitive All of the maximum levels should be achieved dust control. Preference should be given to the for at least 95% of the time that the plant or unit use of fabric filters over wet scrubbers. is operating, to be calculated as a proportion of Liquid effluents are used to slurry tailings to annual operating hours. the tailings ponds, which act as a reservoir for the storage and recycle of plant process water. Air Emissions However, there may be a need to treat bleed streams of some process effluents to prevent a The air emissions levels presented in Table 1 buildup of various impurities. Solid wastes from should be achieved. nickel sulfide ores often contain other metals such as copper and precious metals, and con- Liquid Effluents sideration should be given to further process- ing for their recovery. Slag can be used as The effluent emissions levels presented in Table construction material after nickel recovery, as 2 should be achieved. appropriate (e.g., return of converter slag to the furnace). Sanitary sewage effluents require treat- ment in a separate facility or discharge to a mu- Table 1. Air Emissions from Nickel Smelting nicipal sewer. (milligrams per normal cubic meter, unless otherwise Modern plants using good industrial practices specified) are able to achieve the pollutant loads described Parameter Maximum value below: The double-contact, double-absorption PM 20 plant should emit no more than 0.2 kg of sulfur Nickel 1 dioxide per metric ton of sulfuric acid produced Sulfur dioxide 2 kg/t sulfuric acid (based on a conversion efficiency of 99.7%). Emission Guidelines Table 2. Effluents from Nickel Smelting Emissions levels for the design and operation of (milligrams per liter, except for pH) each project must be established through the en- Maximum value vironmental assessment (EA) process on the ba-Pamer sis of country legislation and the Pollution Preventin pH 6-9 and Abatement Handbook, as applied to local con- TSS 50 ditions. The emissions levels selected must be Nickel 0.5 justified in the EA and acceptable to the World Iron 3.5 Bank Group. Total metals 10 The following guidelines present emissions Note: Effluent requirements are for direct discharge to surface levels normally acceptable to the World Bank waters. 352 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Ambient Noise furnaces should only be used where regenera- live energy is available. Noise abatement measures should achieve either e Choose oxygen enrichment processes that al- the levels given below or a maximum increase in low higher SO concentrations in smelter gases background levels of 3 decibels (measured on the to assist in sulfur recovery. A scale) [dB(A)]. Measurements are to be taken e Recover as much sulfur dioxide as possible by at noise receptors located outside the project producing sulfuric acid, liquid sulfur dioxide, property boundary. or other sulfur products. * Reuse process waters, recirculate cooling wa- Maximum allowable log ters, and use stormwater for the process. equivalent (hourly - Enclose processes and conveyors to mini- measurements), in dB(A) mize fugitive emissions; cover raw material Day Night storage. Receptor (07:00-22:00) (22:00-07:00) Residential, Sources institutional, educational 55 45 Bounicore, Anthony J., and Wayne T. Davis, eds. 1992. Industrial, Air Pollution Engineering Manual. New York: Van commercial 70 70 Nostrand Reinhold. UNEP (United Nations Environment Programme). Key Issues 1993. Environmental Management ofNickel Production. A Technical Guide. Technical Report 15. Paris. The key production and control practices that will World Bank. 1995. "Industrial Pollution Prevention and lead to compliance with emission requirements Abatement: Nickel Smelting and Refining." Draft can be summarized as follows: Technical Background Document. Environment Use flash smelting for sulfidic ores; electric Department, Washington, D.C. Nitrogenous Fertilizer Plants Industry Description and Practices tion of solids by prilling (pelletizing liquid drop- lets) or granulating; cooling and screening of sol- This document addresses the production of am- ids; coating of the solids; and bagging or bulk monia, urea, ammonium sulfate, ammonium ni- loading. The carbon dioxide for urea manufac- trate (AN), calcium ammonium nitrate (CAN), ture is produced as a by-product from the am- and ammonium sulfate nitrate (ASN). The manu- monia plant reformer. facture of nitric acid used to produce nitrogenous fertilizers typically occurs on site and is there- Ammonium Sulfate fore included here. Ammonium sulfate is produced as a caprolac- Ammonia tam by-product from the petrochemical indus- try, as a coke by-product, and synthetically Ammonia (NH3) is produced from atmospheric through reaction of ammonia with sulfuric acid. nitrogen and hydrogen from a hydrocarbon Only the third process is covered in this docu- source. Natural gas is the most commonly used ment. The reaction between ammonia and sulfu- hydrocarbon feedstock for new plants; other rc acid produces an ammonium sulfate solution feedstocks that have been used include naphtha, that is continuously circulated through an evapo- oil, and gasified coal. Natural gas is favored rator to thicken the solution and to produce am- over the other feedstocks from an environmen- monium sulfate crystals. The crystals are tal perspective. separated from the liquor in a centrifuge, and the Ammonia production from natural gas in- liquor is returned to the evaporator. The crystals cludes the following processes: desulfurization of are fed either to a fluidized bed or to a rotary the feedstock; primary and secondary reforming; drum dryer and are screened before bagging or carbon monoxide shift conversion and removal bulk loading. of carbon dioxide, which can be used for urea manufacture; methanation; and ammonia synthe- Ammonium Nitrate, Calcium Ammonium Nitrate, sis. Catalysts used in the process may include and Ammonium Sulfate Nitrate cobalt, molybdenum, nickel, iron oxide/chro- mium oxide, copper oxide/zinc oxide, and iron. Ammonium nitrate is made by neutralizing nitric acid with anhydrous ammonia. The result- Urea ing 80-90% solution of ammonium nitrate can be sold as is, or it may be further concentrated to Urea fertilizers are produced by a reaction of liq- a 95-99.5% solution (melt) and converted into uid ammonia with carbon dioxide. The process prills or granules. The manufacturing steps in- steps include solution synthesis, where ammo- dude solution formation, solution concentration, nia and carbon dioxide react to form ammonium solids formation, solids finishing, screening, coat- carbamate, which is dehydrated to form urea; ing, and bagging or bulk shipping. The process- solution concentration by vacuum, crystalliza- ing steps depend on the desired finished product. tion, or evaporation to produce a melt; forma- Calcium ammonium nitrate is made by adding 353 354 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES calcite or dolomite to the ammonium nitrate melt higher if a fuel other than natural gas is used. before prilling or granulating. Ammonium sul- Energy consumption ranges from 29 to 36 fate nitrate is made by granulating a solution of gigajoules per metric ton (GJ/t) of ammonia. Pro- ammonium nitrate and ammonium sulfate. cess condensate discharged is about 1.5 cubic meters per metric ton (M3/t) of ammonia. Am- Nitric Acid monia tank farms can release upward of 10 kg of ammonia per ton of ammonia produced. Emis- The production stages for nitric acid manufac- sions of ammonia from the process have been ture include vaporizing the ammonia; mixing the reported in the range of less than 0.04 to 2 kg/t vapor with air and burning the mixture over a of ammonia produced. platinum/rhodium catalyst; cooling the result- In a urea plant, ammonia and particulate mat- ant nitric oxide (NO) and oxidizing it to nitrogen ter are the emissions of concern. Ammonia emis- dioxide (NO,) with residual oxygen; and absorb- sions are reported as recovery absorption vent ing the nitrogen dioxide in water in an absorp- (0.1-0.5 kg/t), concentration absorption vent tion column to produce nitric acid (HNO3). (0.1-0.2 kg/t), urea prilling (0.5-2.2 kg/t), and Because of the large quantities of ammonia and granulation (0.2-0.7 kg/t). The prill tower is a other hazardous materials handled on site, an source of urea dust (0.5-2.2 kg/t), as is the granu- emergency preparedness and response plan is lator (0.1-0.5 kg/t). required. Particulates are the principal air pollutant emitted from ammonium sulfate plants. Most of the Waste Characteristics particulates are found in the gaseous exhaust of the dryers. Uncontrolled discharges of particu- Air Emissions lates may be of the order of 23 kg/t from rotary dryers and 109 kg/t from fluidized bed dryers. Emissions to the atmosphere from ammonia plants Ammonia storage tanks can release ammonia, include sulfur dioxide (SO2), nitrogen oxides and there may be fugitive losses of ammonia from (NOx), carbon monoxide (CO), carbon dioxide process equipment. (CO2), hydrogen sulfide, volatile organic com- The production of ammonium nitrate yields pounds (VOCs), particulates, methane, hydrogen emissions of particulate matter (ammonium nitrate cyanide, and ammonia. The two primary sources and coating materials), ammonia, and nitric acid. of pollutants, with typical reported values, in ki- The emission sources of primary importance are lograms per ton (kg/t) for the important pollut- the prilling tower and the granulator. Total quan- ants, are as follows: tities of nitrogen discharged are in the range of * Flue gas from primary reformer 0.01-18.4 kg/t of product. Values reported for C2: 500 kg/t NHcalcium ammonium nitrate are in the range of 0.1- NOx: 0.6-1.3 kg/t NH3 3.3 kg nitrogen per ton of product. SO: less than 0.1 kg/t Nitric acid plants emit nitric oxide, nitrogen CO: less than 0.03 kg/t dioxide (the visible emissions), and trace amounts * Carbon dioxide removal of nitric acid mist. Most of the nitrogen oxides "Carbo 1,200 d reg/t a are found in the tail gases of the absorption tower. CO2Depending on the process, emissions in the tail Nitrogen oxide emissions depend on the pro- gases can range from 215 to 4,300 milligrams per cess features. Nitrogen oxides are reduced, for cubic meter (Mg/i3) for nitrogen oxides. Flow example, when there is low excess oxygen, with may be of the order of 3,200 m3 per ton of 100% steam injection; when postcombustion measures nitric acid. Nitrogen oxide values will be in the are in place; and when low-NOx burners are in low range when high-pressure absorption is use. Other measures will also reduce the total used; medium-pressure absorption yields nitro- amount of nitrogen oxides emitted. Concentra- gen oxide emissions at the high end of the range. tions of sulfur dioxide in the flue gas from the These values are prior to the addition of any reformer can be expected to be significantly abatement hardware. Nitrogenous Fertilizer Plants 355 Liquid Effluents Urea Plant Ammonia plant effluents may contain up to 1 Use total recycle processes in the synthesis pro- kg of ammonia and up to 1 kg of methanol per cess; reduce microprill formation and carryover cubic meter prior to stripping. Effluent from of fines in prilling towers. urea plants may discharge from less than 0.1 kg to 2.6 kg nitrogen per ton product. Efflu- Ammonium Nitrate Plant ents from ammonium nitrate plants have been reported to discharge 0.7-6.5 kg nitrogen per The following pollution prevention measures are ton product. Comparable values for CAN plants recommended: are 0-10 kg nitrogen per ton of product. Nitric acid plants may have nitrogen in the effluent * Prill tower: reduce microprill formation and of the order of 0.1-1.7 kg nitrogen per ton of reduce carryover of fines through entrainment. nitric acid. * Granulators: reduce dust emissions from the disintegration of granules. Solid Wastes 9 Materials handling: where feasible use covers and hoods on conveyors and transition points. Solid wastes are principally spent catalysts that Good cleanup practices must be in place to originate in ammonia production and in the ni- minimize contamination of stormwater run- tric acid plant. Other solid wastes are not nor- off from the plant property. mally of environmental concern. It is important to note that hot ammonium ni- trate, whether in solid or in concentrated form, Pollution Prevention and Control carries the risk of decomposition and may even detonate under certain circumstances. Suitable Ammonia Plant precautions are therefore required in its manu- facture. The following pollution prevention measures are recommended: Ammonium Sulfate Plant * Where possible, use natural gas as the feed- stock for the ammonia plant, to minimize air Ammonium sulfate plants are normally fitted with emissions. fabric filters or scrubbers as part of the process. * Use hot process gas from the secondary re- former to heat the primary reformer tubes (the Target Pollution Loads exchanger-reformer concept), thus reducing the need for natural gas Implementation of cleaner production processes * Direct hydrogen cyanide (HCN) gas in a fuel and pollution prevention measures can yield both oil gasification plant to a combustion unit to economic and environmental benefits. The fol- prevent its release. lowing production-related targets can be * Consider using purge gases from the synthe- achieved by measures such as those described sis process to fire the reformer; strip conden- above. The numbers relate to the production pro- sates to reduce ammonia and methanol. cesses before the addition of pollution control * Use carbon dioxide removal processes that do measures. not release toxics to the environment. When monoethanolamine (MEA) or other processes, Ammonia Plant such as hot potassium carbonate, are used in carbon dioxide removal, proper operation and New ammonia plants should set as a target the maintenance procedures should be followed achievement of nitrogen oxide emissions of not to minimize releases to the envirornent, more than 0.5 kg/t of product (expressed as NO 356 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES at 3% 02). Ammonia releases in liquid effluents ter treatment plant backwash, and cooling tower can be controlled to 0.1 kg/t of product. Conden- blowdown from the ammonia and nitric acid sates from ammonia production should be re- plants. They may require pH adjustment and set- used. thing. These effluents should preferably be re- cycled or reused. Nitric Acid Plant Spent catalysts are sent for regeneration or dis- posed of in a secure landfill. Nitrogen oxide levels should be controlled to a Modern plants using good industrial practices maximum of 1.6 kg/t of 100% nitric acid. are able to achieve the pollutant loads described below. Treatment Technologies Emissions Guidelines In urea plants, wet scrubbers or fabric filters are used to control fugitive emissions from prilling Emissions levels for the design and operation of towers; fabric filters are used to control dust emis- each project must be established through the en- sions from bagging operations. These devices are vironmental assessment (EA) process on the ba- an integral part of the operations, to retain prod- uct. New urea plants should achieve levels of sis ofacount l ation a the olo P on particulate matter in air emissions of less than 0.5 an Abatemindbook, s pled o l c kg/t of product for both urea and ammonia. justified in the EA and acceptable to the World In ammonium sulfate plants, use of fabric filters, Bank Group. with injection of absorbent as necessary, is the The guidelines given below present emis- preferred means of control. Discharges of not sions levels normally acceptable to the World more than 0.1 kg/t of product should be attain- Bank Group in making decisions regarding able for particulate matter. provision of World Bank Group assistance. Any In ammonium nitrate plants, wet scrubbers can deviations from these levels must be described be considered for prill towers and the granula- in the World Bank Group project documenta- tion plant. Particulate emissions of 0.5 kg/t of tion. The emissions levels given here can be product for the prill tower and 0.25 kg/t of prod- consistently uct for granulation should be the target. Similar erated achieve-ba el-eged well- loads for ammonia are appropriate. o ad l i n lo n In nitric acid plants, extended absorption and T systes technologies such as nonselective catalytic reduc- th gielisre expressed a entraions tion (NSCR) and selective catalytic reduction o flit toring. tios o ai isins (SCR) are used to control nitrogen oxides in tail oreffle gases. To attain a level of 150 parts per million by acetb. gass. o atai a eve of150pars pr ndMo by All of the maximum levels should be achieved volume (ppmv) of nitrogen oxides in the tail gases, theis operating, to be calculated as a proportion of * High-pressure, single-pressure process with annual operating hours. absorbing efficiency high enough to avoid ad- ditional abatement facilities Air Emissions * Dual-absorption process with an absorption efficiency high enough to avoid additional The emissions levels presented in Table 1 should treatment facilities * Dual-pressure process with SCR * Medium-pressure, single-pressure process Liquid Effluents with SCR. Other effluents that originate in a nitrogenous The effluent levels presented in Table 2 should fertilizer complex include boiler blowdown, wa- be achieved. Nitrogenous Fertilizer Plants 357 Table 1. Air Emissions from Nitrogenous sistent performance has been established, sam- Fertilizer Plants pling for the parameters listed in this document (milligrams per normal cubic meter) should be as described below. Parameter Maximum value Air emissions should be monitored annually, except for nitrate acid plants, where nitrogen Nitrogen oxides (as NO) 300 oxides should be monitored continuously. Efflu- Urea 50 ents should be monitored continuously for pH Ammonia (NH3) 50 and monthly for other parameters. PM 50 Monitoring data should be analyzed and re- viewed at regular intervals and compared with Table 2. Effluents from Nitrogenous Fertilizer Plants (milligrams per liter, except for pH and temperature) corrective actions can be taken. Records of Pmal,ram erter, exceptalu monitoring results should be kept in an accept- Parameter Maximum valueable format. The results should be reported to pH 6-9 the responsible authorities and relevant parties, TSS 50 as required. Ammonia (as nitrogen) 10 Urea 1 Temperature increase < 30Ca Note: Effluent requirements are for direct discharge to The key production and control practices that will surface waters. lead to compliance with emissions requirements a. The effluent should result in a temperature increase of can be summarized as follows: no more than 30C at the edge of the zone where initial mixing and dilution take place. Where the zone is not - Choose natural gas, where possible, as feed- defined, use 100 meters from the point of discharge. stock for the ammonia plant. - Give preference to high-pressure processes or absorption process in combination with cata- Ambient Noise lytic reduction units. e Use low-dust-forming processes for solids for- Noise abatement measures should achieve either mation. the levels given below or a maximum increase in Reuse condensates and other wastewaters. background levels of 3 decibels (measured on the * Maximize product recovery and minimize air A scale) [dB(A)]. Measurements are to be taken emissions by appropriate maintenance and at noise receptors located outside the project operation of scrubbers and baghouses. property boundary. Sources Maximum allowable log equivalent (hourly Bounicore, Anthony J., and Wayne T. Davis, eds. 1992. measurements), in dB(A) Air Pollution Engineering Manual. New York: Van Day Night Nostrand Reinhold. Receptor (07:00-22:00) (22:00-07:00) European Fertilizer Manufacturers' Association. Residential, 1995a. "Production of Ammonia." Booklet 1 of 8. institutional, Brussels. educational 55 45_ ._1995b. "Production of Nitric Acid." Booklet Industrial, 2 of 8. Brussels. commercial 70 70 _.1995c. "Production of Urea and Urea Am- Monitoring and Reporting monium Nitrate." Booklet 5 of 8. Brussels. _ .___ 1995d. "Production of Ammonium Nitrate Frequent sampling may be required during start- and Calcium Ammonium Nitrate." Booklet 6 of 8. up and upset conditions. Once a record of con- Brussels. 358 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES European Union. 1990. "Best Available Technologies UNIDO (United Nations Industrial Development Or- Not Entailing Excessive Costs for Ammonia Produc- ganization). 1978. Process Technologies for Nitrogen tion." Technical Note. Brussels. Fertilizers. Vienna. Sauchelli, Vincent. 1960. Chemistry and Technology of World Bank. 1995. "Industrial Pollution Prevention and Fertilizers. New York: Reinhold Publishing. Abatement: Nitrogenous Fertilizer Plants." Draft Technical Background Document. Environment Sittig, Marshall. 1979. Fertilizer Industry: Processes, Pol- Department, Washington, D.C. lution Control and Energy Conservation. Park Ridge, N.J.: Noyes Data Corporation. Oil and Gas Development (Onshore) Industry Description and Practices Waste Characteristics This document deals with onshore oil and gas The main wastes of environmental concerns as- exploration, drilling, and production operations. sociated with onshore oil and gas production are Refining operations are covered in a separate drilling-waste fluids or muds, drilling-waste sol- document. ids, produced water, and volatile organic com- Testing, delineation, and production drilling pounds. The drilling-waste muds may be are integral to hydrocarbon reservoir develop- freshwater gel, salt water (potassium chloride or ment, which involves the use of drilling rigs, as- sodium chloride), or oil invert-based systems. sociated equipment such as casing and tubing, The oil invert mud systems may contain up to large quantities of water, and drilling muds. In 50%, by volume, of diesel oil. the process, oil and gas are moved to the surface Drilling wastes may contain drilling muds through the well bore either through natural (bentonite), borehole cuttings, additives (poly- means (if the reservoir has enough pressure to mers, oxygen scavengers, biocides, and surfac- push the oil and gas to the surface) or through tants), lubricants, diesel oil, emulsifying agents, induced pressure by means of a pump or other and various other wastes that are specifically re- mechanism. At the surface, oil, gas, and water lated to the drilling activities. Drilling-waste sol- are separated. Crude oils with associated gas con- ids, which are made up of the bottom layer of taining more than 30 milligrams per cubic meter drilling-mud sump materials, may contain drill (mg/M3) of hydrogen sulfide are normally clas- cuttings, flocculated bentonite, and weighting sified as "sour crude." The crude oil may require materials and other additives. Additional further processing, including the removal of as- wastes from the drilling process include used sociated gas. Oil produced at the wells is piped oils, cementing chemicals, and toxic organic or shipped for use as feedstock in petroleum compounds. refineries. Field processing of crude oil generates several Natural gas is predominantly methane with waste streams, including contaminated wastewa- smaller amounts of ethane, propane, butanes, ter, tank bottoms that may contain lead, emul- pentanes, and heavier hydrocarbons. Gas wells sions, and heavy hydrocarbon residues, which produce small quantities of condensate, which may contain polynuclear aromatic hydrocarbons may require processing. Separation processes (PAHs). Cooling tower blowdown, boiler water, generally use pressure reduction, gravity sepa- scrubber liquids, and steam production wastes ration, and emulsion "breaking" techniques. The are also generated, as well as contaminated soil, gas that is produced may be used directly as fuel used oil, and spent solvents. or as feedstock for the manufacture of petro- Wastewaters typically contain suspended sol- chemicals. It may also contain small amounts of ids. To control the growth of microorganisms in sulfur compounds such as mercaptans and hy- sour water, a biocide or hydrogen sulfide scav- drogen sulfide. Sour gas is sweetened by pro- enger (for example, sodium hypochlorite) is gen- cesses such as amine scrubbing. erally used prior to reinjection or disposal of the 359 360 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Table 1. Wastewater from Crude Processing mizing air emissions. Minimizing the quantity (milligrams per liter) of discharge should be stressed. Process changes Parameter Typical values (average) might include the following: Oil and grease 7-1,300 (200) * Maximize the use of freshwater gel-based mud Total organic carbon 30-1,600 (400) systems. TSS 20-400 (70) e Eliminate the use of invert (diesel-based) Total dissolved solids muds. If the use of diesel-based muds is nec- (TDS) 30,000-200,000 (100,000) essary, reuse the muds. BOD 120-340 * Recycle drilling mud decant water. COD 180-580 - Use hydrogen sulfide scavengers to prevent Phenols 50 degradation of sweet wells by sulfate-reduc- Cadmium 0.7 Chromium 2.3 Copper 0.4 * Select less toxic biocides, corrosion inhibitors, Lead 0.2 and other chemicals. Mercury 0.1 - Minimize gas flaring. (Note, however, that flar- Nickel 0.4 ing is preferred to venting.) * Store crude oil in tanks; tanks larger than 1,590 M3 should have secondary (double) seals. Table 2. Air Emissions from Oil - Minimize and control leakage from tanks and and Gas Production pipelines. Gas production (grams per cubic meter gas produced) aove anreowon tn vsl pies Sulfur oxides < 0.1 Nitrogen oxides 10-12 etc. VOCs 0.1-14 - Remove hydrogen sulfide and mercaptans Methane 0.2-10 from sour gases (releasing greater than 1.8 kg Oil production (grams per cubic meter oil produced) of reduced sulfur compounds per hour) before Nitrogen oxides 3.7 flaring. VOCs 3.3-26 * Use knockout drums on flares to prevent con- densate emissions, * Regenerate spent amines and spent solvents, water. Crude pipelines are routinely cleaned by or send offsite for recovery pigging operations, which can lead to spills and tse wi a rdes heatenputso to the generation of sludge containing heavy 4.2 X tose hour. metals. Solid wastes that do not contain toxics 4 Providejspl prnont m are used as backfill material. (bundsp rs,ta n ad cingror sre Table 1 presents a summary of the character- istics of the overall wastewater stream from crude anks; pressure relief valves; high-level processing. alarms). Among the main sources of air emissions (see * Recover oil from process wastewaters. Table 2) are fired equipment, vents, flares (includ- Segregate stormwater from process water. ing those from compressor stations), and fugitive * Implement leak detection and repair pro- emissions. The emissions may contain volatile or- grams. ganic compounds (VOCs), sulfur oxides (SO), hy- g h a drogen sulfide, and nitrogen oxides (NO). appropriate operating and maintenance pro- grams are in place. Pollution Prevention and Control A reclamation and closure plan for the site is required. This plan should be developed early in Pollution prevention programs should focus on the project and should address the removal and reducing the impacts of wastewater discharges, disposal of production facilities in an environ- oil spills, and soil contamination and on mini- mentally sensitive manner, the restoration of the Oil and Gas Development (Onshore) 361 site, and provisions for any ongoing maintenance from these levels must be described in the World issues. Where possible, progressive restoration Bank Group project documentation. The emis- should be implemented. sions levels given here can be consistently achieved by well-designed, well-operated, and Target Pollution Loads well-maintained pollution control systems. The guidelines are expressed as concentrations Implementation of cleaner production processes to facilitate monitoring. Dilution of air emissions and pollution prevention measures can yield both or effluents to achieve these guidelines is un- economic and environmental benefits. In drill- acceptable. ing operations, the use of fresh water should be All of the maximum levels should be achieved minimized by maximizing the use of drilling for at least 95% of the time that the plant or unit mud pond decant water. Eliminate sour gas emis- is operating, to be calculated as a proportion of sions by sweetening and reuse. annual operating hours. Treatment Technologies Air Emissions Typically, air emissions of toxic organics are mini- The emissions levels presented in Table 3 should mized by routing such vapors to recovery sys- be achieved. tems, flares, or boilers. Tail gases are scrubbed to remove sulfur compounds. Liquid Effluents The decant from the drilling mud disposal sump is treated by coagulation and settling be- The effluent levels presented in Table 4 should fore discharge. Alternatively, the sump fluids be achieved. may be injected downhole into an approved dis- posal formation. Ambient Noise The drained and settled drilling-mud solids are disposed of on land by capping; by mixing, Noise abatement measures should achieve either burying, and covering; by trenching; or by en- the levels given below or a maximum increase in capsulating. Other options include land spread- background levels of 3 decibels (measured on the ing, land filling, incineration (for destruction of A scale) [dB(A)I. Measurements are to be taken toxic organics), or in situ solidification/fixation at noise receptors located outside the project Effluents from the crude process may be property boundary. treated using coagulation, de-emulsification, set- tling, and filtration. Stormwater is settled and if necessary, treated (by coagulation, flocculation, Table 3. Emissions from Onshore Oil and sedimentation) before discharge. and Gas Production (milligrams per normal cubic meter, unless otherwise Emissions Guidelines specified) Parameter Maximum value Emissions levels for the design and operation of each project must be established through the en- VOCs, including benzene 20 vironmental assessment (EA) process on the ba- Hydrogen sulfide 30 cutgSulfur oxides (for oil production) 1,000 isf lnt fleg,iionea tion e tion of Nitrogen oxides and Abatement Handbook, as applied to local con- Gas fired 320 (or 86 ngJ) ditions. The emissions levels selected must be Oil fired 460 (or 130 ng/J) justified in the EA and acceptable to the World Bank Group. Odor Not offensive at The guidelines given below present emissions the receptor enda levels normally acceptable to the World Bank Group in making decisions regarding provision a. Hydrogen sulfide at the property boundary should be less of World Bank Group assistance. Any deviations than 5 Mg/r3. 362 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Table 4. Liquid Effluents from Onshore Oil which can be monitored monthly or when there and Gas Production are significant process changes. (milligrams per liter, except for pH and temperature) Monitoring data should be analyzed and re- Parameter Maximum value viewed at regular intervals and compared with the operating standards so that any necessary pH 6-9 corrective actions can be taken. Records of moni- BOD 50 toring results should be kept in an acceptable TSS 50 format. The results should be reported to the Oil and greasea 20 responsible authorities and relevant parties, as Phenol 1 Sulfide 1 required. Total toxic metalsb 5 Temperature increase 0.25 0.005 Their Products, Market Successes, and Market Po- Note: Correction factor, 0.004% = 40 ppm = 80 mg/ Nm3. sition in the Stationary Engines Business." Presen- tation to the World Bank, October 14. There may be cases in which cost-effective NO, con- OECD (Organisation for Economic Co-operation and trols may not be technically feasible. Exceptions to the Development). 1981. Costs and Benefits of Sulphur NOx emissions requirements (including those given in Oxides Control. Paris. this note) are acceptable provided it can be shown that (a) for the entire duration of the project, the alterna- Rentz, 0., H. Sasse, U. Karl, H. J. Schleef, and R. Dorn. tive emissions level will not result in ambient condi- 1997. "Emission Control at Stationary Sources in the tions that have a significant impact on human health Federal Republic of Germany." Vols. I and 2. Scien- and the environment, and (b) cost-effective techniques tific Program of the German Ministry of Environ- such as low-NO, burners, LEA, water or steam injec- ment. Report 10402360. Bonn. tion, and reburning are not feasible. Stultz, S. C., and John B. Kitto, eds. 1992. Steam: Its 10. It should be noted that the offset requirement, Generation and Use. 40th ed. Barberton, Ohio: The which focuses on the level of total emissions, should Babcock & Wilcox Co. result in an improvement in ambient air quality within Tavoulareas, E. Stratos, and Jean-Pierre Charpentier. the airshed, compared with the baseline scenario (as 1995. Clean Coal Technologiesfor Developing Countries. documented with ambient air monitoring data), if the offset measures are implemented for non-power-plant WorldnBan TeCh sources. Such sources typically emit from stacks of a lower average height than those for the new power United States. CFR (Code ofFederal Regulations). Wash- plant. ington, D.C.: Government Printing Office. 11. Part II of this Handbook provides guidance on Wartsila Diesel. 1996. "Successful Power Generation possible approaches for dealing with acid emissions. Operating on Residual Fuels." Presentation to the There is substantial scope for exploiting the synergies World Bank, May 16. between the local and long-range benefits of emissions reductions. WHO (World Health Organization). 1987. Air Quality Guidelines for Europe. Copenhagen: WHO Regional References and Sources Office for Europe. World Bank. 1991. "Guideline for Diesel Generating Homer, John. 1993. Natural Gas in Developing Countries: Plant Specification and Bid Evaluation." Indus- Evaluating the Benefits to the Environment. World try and Energy Department Working Paper, En- Bank Discussion Paper 190. Washington, D.C. ergy Series Paper 43. Washington, D.C. Thermal Power: Rehabilitation of Existing Plants Key Issues be appropriate to carry out an extensive environ- mental assessment in cases involving minor The range of circumstances in which the reha- modifications or the installation or upgrading of bilitation of an existing thermal power plant may environmental controls such as a wastewater be considered is extremely large. It is neither treatment plant or dust filters or precipitators. possible nor desirable to attempt to prescribe For larger projects, such as the installation of flue specific environmental guidelines for all of the gas desulfurization (FGD) equipment, the envi- different cases that may arise in the World Bank's ronmental assessment might focus particularly operational work. Hence, this document focuses on the range of options for reducing sulfur emis- on the process that should be followed in order sions and for disposing of the gypsum or solid to arrive at an agreed set of site-specific stan- waste generated by the equipment. dards that should be met by the plant after its It is, however, recommended that an environ- rehabilitation. mental audit be undertaken in almost all cases. At the heart of this process is the preparation Experience suggests that such investigations will of a combined environmental audit of the exist- often pay for themselves by identifying zero- or ing plant and assessment of alternative rehabili- low-cost options for energy conservation and tation options relevant to the future impact of the waste minimization. In addition, such an audit plant on nearby populations and ecosystems. The may indicate ways in which the project could be coverage of the environmental assessment com- redesigned in order to address the most serious en- ponent of the study will depend on the rehabili- vironmental problems associated with the plant. tation activities involved and may be similar to Major rehabilitations that imply a substantial that required for a new thermal power plant extension (10 years or more) of the expected op- when major portions of the plant are being re- erating life of the plant should be subject to an placed or retrofitted. The amount of data re- environmental assessment similar in depth and quired, the range of options considered, and the coverage to one that would be prepared for a new coverage of the environmental analysis will typi- plant. In such cases, the plant will normally be cally be less than appropriate for a new plant. At expected to meet the basic guidelines that apply the same time, the initial environmental audit to new thermal power plants for emissions of should not be restricted to those parts of the particulates, nitrogen oxides (NOx), wastewater existing plant that may be affected by the re- discharges, and solid wastes. Where the rehabili- habilitation. It should review all the major as- tated plant would be unable to meet the basic pects of the plant's equipment and operating guidelines for sulfur dioxide (SO,) without ad- procedures in order to identify environmental ditional and potentially expensive controls, the problems and recommend cost-effective mea- environental assessment should review the full sures that would improve the plant's environ- range of options for reducing SO, emissions, both mental performance. from the plant itself and from other sources The time and resources devoted to preparing within the same airshed or elsewhere in the coun- the environmental audit and assessment should try. On the basis of this analysis, the government, be appropriate to the nature and scale of the pro- the enterprise, and the World Bank Group will posed rehabilitation. It would, for example, not agree on specific measures, either at the plant or 427 428 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES elsewhere, to mitigate the impact of these emis- The management of the plant or the borrower sions and will also agree on the associated emis- should submit the report on the environmental sions requirements. audit to the World Bank Group, along with a Any rehabilitation that involves a shift in fuel statement of the steps taken to address the prob- type-i.e., from coal or oil to gas, as distinguished lems that were identified and to ensure that such from a change from one grade or quality of coal problems do not recur in the future. Implemen- or oil to another-will be subject to the same ba- tation of the actions outlined in the statement will sic emissions guidelines as would apply to a new be treated as one of the elements of the site-spe- plant burning the same fuel. cific requirements for the project. Environmental Audit Environmental Assessment An audit of the environmental performance of the An environmental assessment of the proposed existing plant should do at least the following: rehabilitation should be carried out early in the * Review the actual operating and environmen- process of preparing the project in order to allow tal performance of the plant in relation to its an opportunity to evaluate alternative rehabili- original design parameters. tation options before key design decisions are fi- " Examine the reasons for poor performance to nalized. The assessment should examine the identify measures that should be taken to ad- impacts of the existing plant's operations on dress specific problems or to provide a basis nearby populations and ecosystems, the changes for more appropriate assumptions about op- in these impacts that would result under alter- erating conditions in the future-for example, native specifications for the rehabilitation, and with respect to average fuel characteristics, the estimated capital and operating costs associ- * Assess the scope for making improvements in ated with each option. maintenance and housekeeping inside and Depending on the scale and nature of the re- around the plant (e.g., check for excess oxy- habilitation, the environmental assessment may gen levels, actual emissions levels, fuel spills, be relatively narrow in scope, focusing on only a coal pile runoff, fugitive dust from coal piles, small number of specific concerns that would be recordkeeping, monitoring, and other indica- affected by the project, or it may be as extensive tors of operation and maintenance of thermal as would be appropriate for the construction of power plants). a new unit at the same site. Normally, it should * Evaluate the readiness and capacity of the cover the following points: plant's emergency management systems to Ambient environmental quality in the airshed cope with incidents varying from small spills or water basin affected by the plant, together to major accidents (check storage of flam- with approximate estimates of the contribu- mables, safe boiler and air pollution control tion of recordkeeping,omontalrimissionsotoadsinfiche system operation, and so on). main pollutants of concern * Examine the plant's record with respect to The impact of the plant, under existing oper- worker safety and occupational health. ating conditions and under alternative sce- The report on the environmental audit should narios for rehabilitation, on ambient air and provide recommendations on the measures re- water quality affecting neighboring popula- quired to rectify any serious problems that were tions and sensitive ecosystems identified in the course of the study. These rec- - The likely costs of achieving alternative emis- ommendations should be accompanied by ap- sions standards or other environmental targets proximate estimates of the capital and operating for the plant as a whole or for specific aspects costs that would be involved and by an indica- of its operations tion of the actions that should be taken either to a Recommendations concerning a range of cost- implement the recommendations or to evaluate effective measures for improving the environ- alternative options. mental performance of the plant within the Thermal Power: Rehabilitation of Existing Plants 429 framework of the rehabilitation project and An analysis of the feasibility (including ben- any associated emissions standards or other efits) of switching to a cleaner fuel should be requirements implied by the adoption of spe- conducted. Gas is preferred where its supply cific measures. can be assured at or below world average These issues should be covered at a level of prices. Coal with high heat content and low detail appropriate to the nature and scale of the sulfur content is preferred over coal with high proposed project. heat content and high sulfur content, which in If the plant is located in an airshed or water turn is preferred over coal with low heat con- basin that is polluted as a result of emissions from tent and high sulfur content. a range of sources, including the plant itself, com- W Low parisons should be made of the relative costs of -NO, burners should be used, where fea- improving ambient air or water quality by reduc- sible. ing emissions from the plant or by reducing emis- sions from other sources. As a result of such an new plants, or at least a 25% reduction in baseline analysis, the government, the enterprise, and the level, should be achieved for the pollutant be- World Bank Group would agree to set site-spe- mg addressed by the rehabilitation project. cific emissions standards for the plant after it has The maximum emissions level for PM is 100 been rehabilitated that take account of actions to milligrams per normal cubic meter (mg/NM3), reduce other emissions elsewhere in the airshed but the target should be 50 mg/Nm3. In rare or water basin. cases, an emissions level of up to 150 mg/Nm. may be acceptable. Emissions Guidelines SO, emissions levels should meet regional load targets. Cleaner fuels should be used, to avoid The following measures must be incorporated short-term exposure to sulfur dioxide. when rehabilitating thermal power plants: * Normally, the energy conversion efficiency of Monitoring and Reporting the plant should be increased by at least 25% of its current level. Monitoring and reporting requirements for a * Baseline emissions levels for particulate mat- thermal power plant that has been rehabilitated ter, nitrogen oxides, and sulfur oxides should should be the same as those for a new thermal be computed. power plant of similar size and fuel type. Vegetable Oil Processing Industry Description and Practices to 5,000 mg/i). Seed dressing and edible fat and oil processing generate approximately 10-25 m3 The vegetable oil processing industry involves of wastewater per metric ton (t) of product. Most the extraction and processing of oils and fats from of the solid wastes (0.7-0.8 t/t of raw material), vegetable sources. Vegetable oils and fats are which are mainly of vegetable origin, can be pro- principally used for human consumption but are cessed into by-products or used as fuel. Molds also used in animal feed, for medicinal purposes, may be found on peanut kernels, and aflatoxins and for certain technical applications. The oils may be present. and fats are extracted from a variety of fruits, seeds, and nuts. The preparation of raw materi- Pollution Prevention and Control als includes husking, cleaning, crushing, and con- ditioning. The extraction processes are generally Good ollution revention ractices in the indus- mechanical (boiling for fruits, pressing for seeds p p p and nuts) or involve the use of solvent such as hexane. After boiling, the liquid oil is skimmed; * Prevent the formation of molds on edible after pressing, the oil is filtered; and after solvent materials by controlling and monitoring air extraction, the crude oil is separated and the sol- humidity. vent is evaporated and recovered. Residues are * Use citric acid instead of phosphoric acid, conditioned (for example, dried) and are repro- where feasible, in degumming operations. cessed to yield by-products such as animal feed. Where appropriate, give preference to physical Crude oil refining includes degumming, neutral- refining rather than chemical refining of crude ization, bleaching, deodorization, and further oil, as active clay has a lower environmental refining. impact than the chemicals generally used. *Reduce product losses through better produc- Waste Characteristics tion control. *Maintain volatile organic compounds (VOCs) Dust is generated in materials handling and in well below explosive limits. Hexane should be the processing of raw materials, including in the below 150 Mg/i3 of air (its explosive limit is cleaning, screening, and crushing operations. For 42,000 mg/3). palm fruit, about 2-3 cubic meters of waste- * Provide dust extractors to maintain a clean water is generated per metric ton of crude oil workplace, recover product, and control air (m3/t). The wastewater is high in organic con- emissions. tent, resulting in a biochemical oxygen demand - Recover solvent vapors to minimize losses. (BOD) of 20,000-35,000 milligrams per liter * Optimize the use of water and cleaning (mg/1) and a chemical oxygen demand (COD) chemicals. of 30,000-60,000 mg/1. In addition, the wastewa- * Recirculate cooling waters. ters are high in dissolved solids (10,000 mg/1), oil 9 Collect waste product for use in by-products and fat residues (5,000-10,000 mg/1), organic ni- such as animal feed, where feasible without trogen (500-800 mg/t), and ash residues (4,000- exceeding cattle-feed quality limits. 430 Vegetable Oil Processing 431 Continuous sampling and measuring of key ditions. The emissions levels selected must be production parameters allow production losses justified in the EA and acceptable to the World to be identified and reduced, thus reducing the Bank Group. waste load. The guidelines given below present emissions Odor problems can usually be prevented levels normally acceptable to the World Bank through good hygiene and storage practices. Group in making decisions regarding provision Chlorinated fluorocarbons should not be used in of World Bank Group assistance. Any deviations the refrigeration system. from these levels must be described in the World Bank Group project documentation. The emis- Pollution Reduction Targets sions levels given here can be consistently achieved by well-designed, well-operated, and Since the pollutants generated by the industry well-maintained pollution control systems. are very largely losses in production, improve- The guidelines are expressed as concentrations ments in production efficiency, as described to facilitate monitoring. Dilution of air emissions above, are recommended to reduce pollutant or effluents to achieve these guidelines is un- loads. acceptable. Wastewater loads are typically 3-5 m3/t of All of the maximum levels should be achieved feedstock; plant operators should aim to achieve for at least 95% of the time that the plant or unit lower rates at the intake of the effluent treat- is operating, to be calculated as a proportion of ment system. Hexane, if used, should be be- annual operating hours. low 50 mg/l in wastewater. The BOD level should be less than 2.5 kg/t of product, with a target of Air Emissions 1-1.5 kg/t. Odor controls should be implemented where Treatment Technologies necessary to achieve acceptable odor quality for nearby residents. Fabric filters should be used to Pretreatment of effluents comprises screening control dust from production units to below 50 and air flotation to remove fats and solids; it is milligrams per normal cubic meter (mg/NM3). normally followed by biological treatment. If space is available, land treatment or pond sys- Liquid Effluents tems are potential treatment methods. Other pos- sible biological treatment systems include The effluent levels presented in Table 1 should trickling filters, rotating biological contactors, be achieved. and activated sludge treatment. Pretreated effluents can be discharged to a municipal sewerage system, if capacity exists, Table 1. Effluents from Vegetable with the approval of the relevant authority. Oil Processing Proper circulation of air, using an extractive and (milligrams per liter, except for pH and temperature) cleaning system, is normally required to main- Parameter Maximum value tain dust at acceptable levels. Dust control is pro- vided by fabric filters. Odor control is by pH 6-9 ventilation, but scrubbing may also be required. BOD 50 COD 250 Emissions Guidelines TSS 50 Oil and grease 10 Total nitrogen 10 Emissions levels for the design and operation of Temperature increase 3 Ca each project must be established through the en- vironmental assessment (EA) process on the ba- a. The effluent should result in a temperature increase of no viromenal ssesmen (E) poces ontheba- more than 3' C at the edge of the zone where initial mixing and sis of country legislation and the Pollution Prevention dilution take place. Where the zone is not defined, use 100 and Abatement Handbook, as applied to local con- meters irom the point of discharge. 432 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Ambient Noise toring results should be kept in an acceptable format. The results should be reported to the Noise abatement measures should achieve either responsible authorities and relevant parties, as the levels given below or a maximum increase in required. background levels of 3 decibels (measured on the A scale) [dB(A)]. Measurements are to be taken Key Issues at noise receptors located outside the project property boundary. The key production and control practices that will lead to compliance with emissions requirements Maximum allowable log can be summarized as follows: equivalent (hourly measurements), in dB(A) - Monitor key production parameters to reduce Day Night product losses. Receptor (07:00-22:00) (22:00-07:00) 9 Prefer citric acid to phosphoric acid in degum- ming operations. Residential, 9 Give preference to physical refining over institutional, chemical refining of crude appro- educational 55 45priate. Industrial, - Hold levels of hexane, if used, below 150 mg/ commercial 70 70 in3. Monitringand eporing Design and operate the production system to Monitoringachieve recommended wastewater loads. Monitoring of the final effluent for the param- * Cectwate forin byproa eters listed in this document should be carried out at least weekly, or more frequently, if the Source flows vary significantly. Monitoring data should be analyzed and re- German Federal Ministry for Economic Cooperation viewed at regular intervals and compared with and Development (BMZ). 1995. Environmental Hand- the operating standards so that any necessary book, Documentation on Monitoring and Evaluating corrective actions can be taken. Records of moni- Environmental Impacts. Vol. 2. Bonn. Wood Preserving Industry Description and Practices and the treated wood storage areas. Some of the major pollutants present in drips, surface runoff, Wood preserving involves imparting protective and contaminated soil include polynuclear aro- properties to wood to guard against weathering matic hydrocarbons, pentachlorophenol, pesti- and attack by pests. Three main types of preser- cides, dioxins, chrome, copper, and arsenic. vatives are used: water based (for example, so- dium phenylphenoxide, benzalconium chloride, Pollution Prevention and Control guazatin, and copper chrome arsenate); organic solvent based (for example, pentachlorophenol Wood preserving involves different combinations and such substitutes as propiconazol, tebuco- nazol, lindane, permethrin, triazoles, tributyltin ofpatwid ieto proce nd tre arany compounds, and copper and zinc naphthenates); opportunitiesitouimprovehonftheotraditionaleprac- borates; and tar oils (such as creosote). Note that g b some of the preservatives mentioned here (for example, lindane, tributyltin, and pentachlorophenol) are - Do not use pentachlorophenol, lindane, banned in some countries and are not to be used. tributyltin, or copper chrome arsenate (or its The preservatives are applied to the surface of derivatives). wood by pressure impregnation, with a pressure - Give preference to pressurized treatment pro- range of 800 kilopascals (kPa) to 1,400 kPa; by cesses to minimize both wastage of raw materi- deluging (mechanical application by flooding or als and the release of toxics that may be present. spraying), by dipping or immersion; and by ther- a Minimize drippage by effective removal of mal processing (immersion in a hot bath of pre- extra preservative from the wood surface by servative). Application of vacuum helps to mechanical shaking until no drippage is no- improve the effectiveness of the process and to ticeable. Provide sufficient holding time af- recover some of the chemicals used. Pesticides ter preservative application to minimize free are applied using appropriate protective cloth- liquid. ing, including gloves, aprons, overalls, and in- Recycle collected drips after treatment, if halation protection. necessary. " H-eat treated wood when water-based preser- Waste Characteristics vatives are used. " Use concrete pads for the wood treatment area Any or all of the substances used in wood pre- and intermediate storage areas to ensure serving, such as preservatives and solvents, can proper collection of drippage. Treated wood be found in the drips and the surface runoff should be sent for storage only after drippage streams. Air emissions of solvents and other vola- has completely stopped. tile organics result from the surface treatment * Minimize surface runon by diversion of steps, drying of the treated wood, and storage stormwater away from the process areas. and transfer of chemicals. Soil contamination * Cover process areas and collect surface runoff may result from the drippage and surface run- for recycling and treatment. Where water- off, and this may happen near the process areas based preservatives are used, prevent freshly 433 434 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES treated wood from coming into contact with ronmental assessment (EA) process on the basis of rainwater. country legislation and the Pollution Prevention and * Sites should be selected that are not prone to Abatement Handbook, as applied to local conditions. flooding or adjacent to water intake points or The emissions levels selected must be justified in valuable groundwater resources. the EA and acceptable to the World Bank Group. * Preservatives and other hazardous substances The guidelines given below present emissions should be stored safely, preferably under a roof levels normally acceptable to the World Bank with a spill collection system. Group in making decisions regarding provision * Proper labels should be applied, and used of World Bank Group assistance. Any deviations packaging should be returned to the supplier from these levels must be described in the World for reuse or sent for other acceptable uses or Bank Group project documentation. The emis- destruction. sions levels given here can be consistently achieved by well-designed, well-operated, and Target Pollution Loads well-maintained pollution control systems. The guidelines are expressed as concentrations Minimize contamination of surface runoff and to facilitate monitoring. Dilution of air emissions soil. Have a closed system for managing liquids or effluents to achieve these guidelines is un- to avoid the discharge of liquid effluents. acceptable. All of the maximum levels should be achieved Treatment Technologies for at least 95% of the time that the plant or unit is operating, to be calculated as a proportion of Air Emissions annual operating hours. Exhaust streams should be treated, using carbon Air Emissions filters that allow the reuse of solvents, to reduce volatile organic compounds (VOCs) to acceptable The maximum air emission level from wood im- levels before venting to the atmosphere. Where pregnation areas for VOC is 20 milligrams per VOC recovery is not feasible, destruction is carried normal cubic meter (mg/NM3). out in combustion devices or bio-oxidation systems. Liquid Effluents Liquid Effluents Wood-preserving plants should use closed sys- The main treatment process is recycling of col- tems, where feasible, or should attain the efflu- lected drips and surface runoff after evaporation. ent levels presented in Table 1. Other processes include detoxification (using ul- traviolet oxidation) and precipitation or stabili- Sludges zation of heavy metals. Wherever possible, generation of sludges and Solid and Hazardous Wastes contaminated soil should be minimized. Con- taminated soil and sludges must be treated, sta- Contaminated soil may contain heavy metals and bilized, and disposed of in an approved, secure toxic organics and should normally be managed landfill. the levels of toxics in the leachate should as hazardous waste. Treatment methods include be the same as for liquid effluents. incineration of toxic organics and stabilization of heavy metals. Ambient Noise Emissions Guidelines Noise abatement measures should achieve either the levels given below or a maximum increase in Emissions levels for the design and operation of background levels of 3 decibels (measured on the each project must be established through the envi- A scale) [dB(A)]. Measurements are to be taken Wood Preserving 435 Table 1. Effluents (Including Surface Runoff) operating standards so that any necessary correc- from the Wood-Preserving Industry tive actions can be taken. Records of monitoring (milligrams per liter, except for pH) results should be kept in an acceptable format. The Parameter Maximum value results should be reported to the responsible au- thorities and relevant parties, as required. pH 6-9 TSS 50 Key Issues COD 150 Oil and grease 10 The key production and control practices that will Phenol 0.5 Arsenic 0.1 lead to compliance with emissions guidelines can Chromium be summarized as follows: Hexavalent 0.1 Totalen 0.51 Do not use pentachlorophenol, lindane, Total 0.5 Copper 0.5 tributyltin, copper chrome arsenate, or other Fluorides 20 preservatives that are considered toxic and for Polynuclear aromatic hydrocarbons which less toxic alternatives are available for (PAHs), such as benzo(a)pyrene (each) 0.05 wood treatment systems. Dioxins/furans (total) 0.0005 * Use pressurized treatment processes. Pesticides (each) 0.05 9 Heat treated wood when water-based preser- Note: Effluent requirements are for direct discharge to surface vatives are used. waters. * Minimize drippage carryover by ensuring that drippage has completely stopped before re- at noise receptors located outside the project moving the treated wood from the process property boundary. area. Collect and recycle drip solutions, and Maxium llowblelogput in place total recycle systems for liquids Maximum allowable logeffluents. equivalent (hourly - Use concrete pads for the wood treatment and measurements), in dB(A) intermediate storage areas. Day Night * Divert stormwater away from process areas. Receptor (07:00-22:00) (22:00-07:00) Collect and treat surface runoff. Residential, * Recycle solvent vapors, where feasible; other- institutional, wise, they should be destroyed in a combus- educational 55 45 tion device or in a bio-oxidation system. Industrial, * Manage contaminated soil and sludges as haz- commercial 70 70 ardous wastes. Monitoring and Reporting Sources Daily monitoring of the parameters listed in this United States. 1990. "Wood Preserving; Identification document, except for metals, should be carried and Listing of Hazardous Waste: Final Rule." Fed- out to provide an indication of overall treatment eral Register, vol. 55, no. 235, December 6. reliability. Metals should be sampled at least World Bank. 1995. "Industrial Pollution Prevention and monthly. More frequent sampling may be re- Abatement: Wood Preserving Industry" Draft Tech- quired for certain batches and during wet nical Background Document. Environment Depart- weather conditions. ment, Washington, D.C. Monitoring data should be analyzed and re- viewed at regular intervals and compared with the General Environmental Guidelines The World Bank Group may finance commercial key steps that will contribute to minimizing the and industrial projects for which no specific en- impact of the project on the environment. vironmental guidelines have been written. In such cases, the general environmental guidelines Emissions Guidelines outlined in this chapter can be used, but, depend- ing on the project, the requirements contained Emissions levels for the design and operation of here may need to be supplemented by additional each project must be established through the en- requirements. vironmental assessment (EA) process on the ba- Projects must comply with World Bank Group policies and guidelines, which emphasize pollution s ofacount l ation a the olo P on prevention, including the use of cleaner produc- an Abatemindbook, s pled o l c tion technologies. The intent of the guidelines is to ditin the Esins leesslecte t be minimze resource consumption, including energy jsne i E d p t e use, and to eliminate or reduce pollutants at the Ban gup. source. For ease of monitoring, maximum permit- Te guidel giventbeo pee emissions ted emissions limits are often expressed in concen- level nmally accao e WodiBn tration terms-for example, milligrams per liter roup ng isn Ang prviion (mg/1) for liquid effluents and, for air emissions, from these levels must be described in the World milligrams per normal cubic meter (mg/Nm3), Bank Group project documentation. where "normal" is measured at one atmosphere and 00 Celsius. The focus, however, should continue al of the ume hol e achieved to be on reducing the mass of pollutants emitted to forat es c5lfte tm a theppln or uni the environment. Dilution of effluents and air emis- operating culpn sions to achieve maximum permitted values is unaccept- able. Occasionally, emissions limits are specified in mass of pollutants per unit of production or some Air Emissions other process parameter. In such cases, the limits include leaks and fugitive emissions. Most of the air emissions from commercial and Pollution control systems may be required in general industrial facilities originate with the fuel order to meet specified emissions limits. These used for heating purposes or for generating steam systems must be well maintained and operated for process purposes. Particular emissions that and must not be fitted with overflow or bypass may originate in the process are addressed case devices unless such devices are required for emer- by case. Concentrations of contaminants emitted gencies or for safety purposes. from the stacks of significant sources with an The following sections contain requirements equivalent heat input of more than 10 million for air emissions, liquid effluents, hazardous British thermal units per hour (Btu/hr), includ- chemicals and wastes, and solid wastes. Sections ing boilers, furnaces, incinerators, and electrical on ambient noise and monitoring requirements generating equipment, should not exceed the lim- are included. The final section summarizes the its presented in Table 1. 436 General Environmental Guidelines 437 Table 1. Air Emissions Limits for General Alternatively, stack emissions can be moni- Application tored for specified contaminants. The monitor- (milligrams per normal cubic meter) ing must be sufficiently frequent to demonstrate Pollutant or parameter Limit continued compliance with the guidelines. PM 50 for units with 50 MWe input Table 2 may be used to determine equivalent 100 for units with < 50 MWe input source sizes. Nitrogen oxides, The World Bank's "Pollution Prevention and as NO2 Abatement Guidelines for Thermal Power Plants" Coal fired 750 (260 ng/J) apply to sources larger than 50 MWe or with an Oil fired 460 (130 ng/J) equivalent heat input greater than 170 million Gas fired 320 (86 ng/J) Btu/hr. Sources with an equivalent heat input of Sulfur dioxide Not to exceed 2,000 10 million Btu/hr are generally not subject to the Note: MWe, megawatts electricity; ng/J, nanograms/joule. above limits. However, the World Bank Group may in particular cases specify emissions limits for such sources to protect the local environment. The project sponsor is required to demonstrate To ensure that ambient air conditions are not compliance with the emissions limits specified compromised, concentrations of contaminants, in Table 1. The following methods may be used measured immediately outside the project prop- to demonstrate compliance: erty boundary, should not exceed the limits * For sources less than 100 million Btu/hr, com- oln sc as df pliance with the guidelines for particulate mat- oaitand txc as s no exceed ri ter may be demonstrated by maintaining the speciic d or re air onceriska stack emissions opacity below 20%. Opacity the receptor eeTh e incissi io l can be determined visually by a qualified ob- servr, ith cotinous pacty mter or 2,3,7,8-TCDD equivalent should be less than 1 server, with a continuous opacity meter, or with a mobile light detection and ranging nanogram per normal cubic meter. (LIDAR) system. Table 2. Equivalent Source Sizes * The sulfur content of fuels may be used to demonstrate compliance with the sulfur diox- In millions In tons ide (SO2) emissions guidelines. The guidelines of Btulhr of steam/hr In MWe are met by the use of liquid fuels with a sulfur 10 4.2 2.9 content of 0.5% or less or of solid fuels with a 50 21.0 14.5 sulfur content of 0.8% or less and a heat con- 100 42.0 29.0 tent of 7,000 kilocalories per kilogram (kcal/kg). 200 84.0 58.0 The use of solid fuels burned in underfired- feed stoker units meets the SO2 emissions guideline if the sulfur content of the solid fuel Table 3. Ambient Air Conditions at Property is 1.0% or less. The sponsor must maintain Boundary, for General Application records of fuel analyses to demonstrate that (micrograms per cubic meter) the sulfur content of the fuel is at or below the Pollutant Concentration specified levels. * Manufacturers' performance guarantees can Particulate matter be used to demonstrate that the emissions Annual arithmetic mean 50 guidelines for nitrogen oxides (NOx) are met. Maximum 24-hour average 70 The performance guarantees must be verified Nitrogen oxides by conducting an initial performance test af- Maximum 24-hour average 150 ter the equipment has been commissioned. The sponsor must maintain records to demonstrate Sulrixi that the equipment is operated within manu- Maximum 24-hour average 125 facturers' specifications. 438 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES Liquid Effluents discharged to surface waters. Where there is a leachate from a solid waste disposal site, the toxic Process wastewater, domestic sewage, and con- metals contained in the leachate should not ex- taminated stormwater and runoff must meet the ceed the levels shown in the table for pollutants maximum limits shown in Table 4 before being in liquid effluents. Pollutants of concern for a project that are not included in Table 4 will be specified by the World Bank Group. Levels of pes- Table 4. Limits for Process Wastewater, ticides, dioxins, furans, and other toxics, such as Domestic Sewage, and Contaminated polynuclear aromatic hydrocarbons (PAHs), in Stormwater Discharged to Surface Waters, effluent discharges should not exceed either 100 for General Application times the WHO guidelines for drinking water or (milligrams per liter, except for pH, bacteria, and temperature) 0.05 mg/l. Pollutant or parameter Limit Liquid effluent may be discharged to a public or private central wastewater treatment system. pH 6-9 Where this is the case, information from the lo- BOD 50 COD 250 cal authority or private central wastewater treat- COD e0 ment company is to be provided to confirm that Oil and grease 10 TSS 50 the treatment system has the capacity and is Metals managed to adequately treat the project's liquid Heavy metals, total 10 effluents. The World Bank Group may require Arsenic 0.1 pretreatment prior to such discharge. Cadmium 0.1 Chromium Hazardous Materials and Wastes Hexavalent 0.1 Total 0.5 Coper 0.5 Sponsors shall, whenever possible, use nonhazard- Copper 0.5 Iron 3.5 ous instead of hazardous materials. All hazard- Lead 0.1 ous wastes, process residues, solvents, oils, and Mercury 0.01 sludges must be properly disposed of. Leachates Nickel 0.5 that contain hazardous pollutants must not ex- Selenium 0.1 ceed the liquid effluent levels given in Table 4. Silver 0.5 The following management measures for han- Zinc 2.0 dlng hazardous wastes and materials should be Cyanide implemented: Free 0.1 Total 1.0 * All hazardous (ignitable, reactive, flammable, Ammonia 10 radioactive, corrosive, and toxic) materials Fluoride 20 must be stored in clearly labeled containers or Chlorine, total residual 0.2 vessels. Phenols 0.5 - Storage and handling of hazardous materials Phosphorus 2.0 must be in accordance with local regulations Sulfide 1.0 or international standards and appropriate to Coliform bacteria < 400 MPN/100 ml their hazard characteristics. Storage and liq- Tempratre ncrese axium 3C aove uid impoundment areas for fuels, raw and in- Temperature increase Maximum 3C above process materials, solvents, wastes, and ambient temperature finished products should be designed with sec- ofondary containment (e.g., dikes and berms) to Note: MPN, most probable number. prevent spills and the contamination of soil, a. The effluent should result in a temperature increase of no more than 3o C at the edge of the zone where initial mixing and dilution take place. Where the zone is not defined, use 100 Fire prevention systems and secondary con- meters from the point of discharge. tainment should be provided for storage fa- General Environmental Guidelines 439 cilities, where necessary or required by regu- Solid Wastes lations, to prevent fires or the release of haz- ardous materials to the environment. Project sponsors are to implement the following New installations or manufactured products practices for managing solid wastes generated in should not contain unbonded asbestos fibers. The the course of operating the facility: need to remove asbestos and asbestos-contain- Recycle or reclaim materials where possible. ing materials (ACMs) from existing applica- . If recycling or reclamation is not practical, tions shall be evaluated case by case. Disposal wastes must be disposed of in an environmen- of removed asbestos and ACMs should be car- tally acceptable manner and in compliance ried out in accordance with host country require- ments or following internationally recognized best practices. Other Environmental Requirements: Formulations containing chromates should not Ambient Noise be used in water treatment processes. Transformers or equipment containing poly- Tranforersor euipentcontinig ply- Noise abatement measures should achieve either chlorinated biphenyls (PCBs) or PCB-contami- the levels given below or a maximum increase in nated oil should not be installed. Existing equipment containing PCBs or PCB-contami- bakgoud leasure o te nated oil should be phased out and disposed of a se [dB(A)]. Meaementsiae toe taken in a manner consistent with the requirements of aoie rorsi the host country or internationally recognized best practices. Maximum allowable log Several chemicals classified as ozone-depleting equivalent (hourly substances (ODSs) are scheduled for phase-out measurements), in dB(A) under the Montreal Protocol on Substances That Deplete the Ozone Layer. They include chloro-fluo- Receptor Day (2 ght rocarbons (CFCs); halons; 1,1,1-trichloroethane (methyl chloroform); carbon tetrachloride; Residential, hydrochlorofluorocarbons (HCFCs); hydrobromo- institutional, fluorocarbons (HBFCs); and methyl bromide. educational 55 45 These chemicals are currently used in a variety of Industrial, applications, including domestic, commercial, and commercial 70 70 process refrigeration (CFCs and HCFCs); domes- tic, commercial, and motor vehicle air condition- Monitoring ing (CFCs and HCFCs); manufacturing of foam products (CFCs); solvent cleaning applications Liquid effluents should be sampled and mea- (CFCs, HCFCs, methyl chloroform, and carbon sured weekly, or as agreed between the borrower tetrachloride); aerosol propellants (CFCs); fire pro- and the World Bank Group, for common param- tection systems (halons and HBFCs); and crop fu- eters such as BOD, suspended solids, pH, oils and migants (methyl bromide). No systems or grease, and flow. The World Bank Group will processes are to be installed using CFCs, halons, specify sampling frequencies for project-specific 1,1,1-trichloroethane, carbon tetrachloride, methyl pollutants that are present in the effluent. bromide, or HBFCs unless it can be shown that no Leachates from solid waste disposal sites should alternative exists. (There are few applications be sampled and tested monthly, using strategi- worldwide that require any of these chemicals.) cally located sampling points. The parameters to HCFCs should be considered only as interim or be tested will depend on the nature of the poten- bridging alternatives, since they too are to be tial leachate and will be specified by the World phased out. Bank Group. 440 PROJECT GUIDELINES: INDUSTRY SECTOR GUIDELINES The World Bank Group will specify the fre- Key Issues for Environmental Control quency and method for monitoring pollutants in the stack discharge. The key production and control practices that will assist in meeting emissions requirements can be Recordkeeping and Reporting summarized as follows: The project sponsor is required to maintain Where feasible, choose energy-efficient and records of air emissions, effluents, and hazard- environmentally sound processes. *Ensure that control, treatment, and monitor- ous wastes sent off site, as well as significant en- vironmental events such as spills, fires, and other ig facilities are properly maintained and that emergencies that may have an impact on the en- they are operated according to their instruc- vironment. The information should be reviewed ion manuals. and evaluated to improve the effectiveness of the environmental protection plan. Glossary of Environmental Terms Abatement. Reducing the degree or intensity of, ganic matter in raw sewage undergoing second- or eliminating, pollution. ary wastewater treatment. Absorption. The passage of one substance into Active ingredient. In any pesticide product, the or through another; e.g., an operation in which component that kills, or otherwise controls, tar- one or more soluble components of a gas mix- get pests. Pesticides are regulated primarily on ture are dissolved in a liquid. the basis of active ingredients. Accident site. The location of an unexpected oc- Acute exposure. A single exposure to a toxic sub- currence, failure, or loss, either at a plant or along stance that results in severe biological harm or a transportation route, resulting in a release of death. Acute exposures are usually characterized hazardous materials. as lasting no longer than a day. Acid deposition. A complex chemical and atmo- Acute toxicity. The ability of a substance to cause spheric phenomenon that occurs when emissions poisonous effects resulting in severe biological of sulfur and nitrogen compounds and other sub- harm or death soon after a single exposure or stances are transformed by chemical processes dose; also, any severe poisonous effect resulting in the atmosphere, often far from the original from a single short-term exposure to a toxic sub- sources, and then deposited on earth in either a stance. See also Chronic toxicity; Toxicity wet or a dry form. The wet forms, popularly called "acid rain," can fall as rain, snow, or fog. Adaptation. Changes in an organism's struc- The dry forms are acidic gases or particulates. ture or habit that help it adjust to its surround- ings. Acid rain. See Acid deposition Add-on control device. An air pollution con- Activated carbon. A highly adsorbent form of trol device such as a carbon adsorber or incin- carbon used to remove odors and toxic sub- erator that reduces the pollution in an exhaust stances from liquid or gaseous emissions. In gas. The control device usually does not affect waste treatment, it is used to remove dissolved the process being controlled and thus is "add- organic matter from wastewater. It is also used on" technology as opposed to a scheme to con- in motor vehicle evaporative control systems. trol pollution by making some alteration to the basic process. Activated sludge. Residue that results when pri- mary effluent is mixed with bacteria-laden sludge Adsorption. 1. Adhesion of molecules of gas, liq- and then agitated and aerated to promote bio- uid, or dissolved solids to a surface. 2. An ad- logical treatment. This speeds breakdown of or- vanced method of treating wastes in which Note: This glossary is based on United States Environmental Protection Agency, Office of Communications and Public Affairs, "Glossary of Environmental Terms and Acronym List," 19K-1002 (Washington, D.C., December 1989). 441 442 POLLUTION PREVENTION AND ABATEMENT HANDBOOK activated carbon removes organic matter from for example, a heat inversion or smokiness- wastewater. while standing in one location. The characteris- tics can change as the air mass moves away. See Advanced wastewater treatment. Any treatment also Inversion of sewage that goes beyond the secondary or bio- logical water treatment stage and includes the Air monitoring. See Monitoring. removal of nutrients such as phosphorus and ni- trogen and a high percentage of suspended sol- Air pollutant. Any substance in air that could, ids. See also Primary wastewater treatment; in high enough concentration, harm human be- Secondary wastewater treatment ings, other animals, vegetation, or material. Pol- lutants may include almost any natural or Aeration. A process that promotes biological artificial composition of matter capable of being degradation of organic water. The process may airborne. They may be in the form of solid par- be passive (as when waste is exposed to air), or ticles, liquid droplets, gases, or combinations of active (as when a mixing or bubbling device in- these states. Generally, they fall into two main troduces the air). groups: (a) those emitted directly from identifi- able sources and (b) those produced in the air by Aerobic. Life or processes that require, or are not interaction between two or more primary pollut- destroyed by, the presence of oxygen. See also ants or by reaction with normal atmospheric con- Anaerobic stituents, with or without photoactivation. Exclusive of pollen, fog, and dust, which are of Aerobic treatment. Process by which microbes natural origin, about 100 contaminants have been decompose complex organic compounds in the identified. They fall into the following categories: presence of oxygen and use the liberated en- solids, sulfur compounds, volatile organic chemi- ergy for reproduction and growth. Types of cals, nitrogen compounds, oxygen compounds, aerobic processes include extended aeration, halogen compounds, radioactive compounds, trickling filtration, and rotating biological and odors. contactors. Air pollution. The presence of contaminant or Aerosol. A suspension of liquid or solid particles pollutant substances in the air that do not dis- in a gas. perse properly and interfere with human health or welfare or produce other harmful environmen- Agricultural pollution. The liquid and solid tal effects. wastes from farming, including runoff and leach- ing of pesticides and fertilizers; erosion and dust Air pollution episode. A period of abnormally from plowing; animal manure and carcasses; and high concentration of air pollutants, often due to crop residues and debris. low winds and temperature inversion, that can cause illness and death. See also Inversion Airborne particulates. Total suspended par- ticulate matter found in the atmosphere as solid Algae. Simple rootless plants that grow in sunlit particles or liquid droplets. The chemical com- waters in relative proportion to the amounts of position of particulates varies widely, depend- nutrients available. They can affect water qual- ing on location and time of year. Airborne ity adversely by lowering the dissolved oxygen particulates include windblown dust, emissions in the water. Algae are food for fish and small from industrial processes, smoke from the burn- aquatic animals. ing of wood and coal, and the exhaust of motor vehicles. Algal blooms. Sudden spurts of algal growth that can affect water quality adversely and that indi- Air mass. A widespread body of air that gains cer- cate potentially hazardous changes in local wa- tain meteorological or polluted characteristics- ter chemistry. Glossary of Environmental Terms 443 Ambient air. Any unconfined portion of the at- Benthic organism (benthos). A form of aquatic mosphere: open air, surrounding air. plant or animal life found on or near the bottom of a stream, lake, or ocean. Anaerobic. A life or process that occurs in, or is not destroyed by, the absence of oxygen. Bioaccumulative. Substances that are very slowly metabolized or excreted by living organ- Aquifer. An underground geological formation, isms and thus increase in concentration within or group of formations, containing usable the organisms as the organisms breathe con- amounts of groundwater that can supply wells taminated air, drink contaminated water, or eat and springs. contaminated food. See also Biological magni- fication Assimilation. The ability of a body of water to purify itself of pollutants. Bioassay. Using living organisms to measure the effect of a substance, factor, or condition by corn- Atmosphere (as a measurement). A standard unit paring before-and-after data; often used to mean of pressure representing the pressure exerted by cancer bioassays. a 29.92-inch column of mercury at sea level at 450 latitude and equal to 1,000 grams per square Biochemical oxygen demand (BOD). A measure centimeter. of the amount of oxygen consumed in the bio- logical processes that break down organic mat- Attenuation. The process by which a compound ter in water. The greater the BOD, the greater the is reduced in concentration over time, through degree of pollution. In this Handbook, BOD is adsorption, degradation, dilution, or transforma- understood to be BOD5, the amount of dissolved tion. oxygen so consumed in five days. Background level. In air pollution control, the Biodegradable. The ability to break down or concentration of air pollutants in a definite area decompose rapidly under natural conditions and during a fixed period of time prior to the start- processes. ing up or on the stoppage of a source of emission under control. In toxic substances monitoring, the Biological control. In pest control, the use of ani- average presence in the environment, originally mals and organisms that eat or otherwise kill or referring to naturally occurring phenomena. outcompete pests. Bacteria (singular: bacterium). Microscopic liv- Biological magnification. Refers to the process ing organisms that can aid in pollution control whereby certain substances such as pesticides or by consuming or breaking down organic matter heavy metals move up the food chain, work their in sewage or by similarly acting on oil spills or way into a river or lake, and are eaten by aquatic other water pollutants. Bacteria in soil, water, or organisms such as fish, which in turn are eaten air can cause human, animal, and plant health by large birds, animals, or humans. The sub- problems. stances become concentrated in tissues or inter- nal organs as they move up the chain. Baghouse filter. Large fabric bag, usually made of glass fibers, used to eliminate intermediate and Biological oxidation. The way bacteria and mi- large (greater than 20 microns in diameter) par- croorganisms feed on and decompose complex ties. This device operates in a way similar to organic materials; used in self-purification of the bag of an electric vacuum cleaner, passing the water bodies and in activated sludge wastewa- air and smaller particulate matter while entrap- ter treatment. ping the larger particulates. Biological treatment. A treatment technology Bar screen. In wastewater treatment, a device that uses bacteria to consume waste and thus used to remove large solids, break down organic materials. 444 POLLUTION PREVENTION AND ABATEMENT HANDBOOK Biomass. All the living material in a given area; Carcinogen. Any substance that can cause or con- often refers to vegetation. Also called biota. tribute to the production of cancer. Biomonitoring. 1. The use of living organisms Catalytic converter. An air pollution abatement to test the suitability of effluents for discharge device that removes pollutants from motor ye- into receiving waters and to test the quality of hide exhaust, either by oxidizing them into car- such waters downstream from the discharge. bon dioxide and water or by reducing them to 2. Analysis of blood, urine, tissues, etc., to mea- nitrogen and oxygen. sure chemical exposure in humans. Catalytic incinerator. A control device that oxi- Biotechnology. Techniques that use living organ- dizes volatile organic compounds (VOCs) by us- isms or parts of organisms to produce a variety ing a catalyst to promote the combustion process. of products-from medicines to industrial en- Catalytic incinerators require lower temperatures zymes-to improve plants or animals or to develop than conventional thermal incinerators, yielding microorganisms for specific uses such as remov- fuel and cost savings. ing toxics from bodies of water or for pesticides. Cells. 1. In solid waste disposal, holes in which BODs. The amount of dissolved oxygen con- waste is dumped, compacted, and covered with sumed in five days by biological processes break- layers of dirt on a daily basis. 2. The smallest ing down organic matter. structural part of living matter capable of func- tioning as an independent unit. Brackish water. A mixture of fresh and salt water. Chemical oxygen demand (COD). A measure of the oxygen required to oxidize all compounds in Bubble. A system under which existing emissions water, both organic and inorganic. sources can propose alternate means for comply- ing with a set of emissions limitations; under the Chemical treatment. Any one of a variety of tech- bubble concept, sources can hold emissions to a nologies that use chemicals or a variety of chemi- lower level, where this is cost-effective, in return cal processes to treat waste. for a comparable realization of controls at a sec- ond emission point where costs are higher. Chlorinated hydrocarbons. A category which includes a class of persistent, broad-spectrum By-product. Material, other than the principal insecticides that linger in the environment and product, that is generated as a consequence of accumulate in the food chain. Among them are an industrial process. DDT, aldrin, dieldrin, heptaclor, chlordane, lin- dane, endrin, mirex, hexachloride, and tox- Cadmium (Cd). A heavy metal element that ac- aphene. Trichloroethylene (TCE), used as an cumulates in the environment. industrial solvent, is also a chlorinated hydro- carbon. Carbon adsorber. An add-on control device that uses activated carbon to absorb volatile organic Chlorinated solvent. An organic solvent contain- compounds (VOCs) from a gas stream. The VOCs ing chlorine atoms, e.g., methylene chloride and are later recovered from the carbon. L1,1-trichloromethane, which is used in aerosol spray containers and in roadway paint. Carbon dioxide (CO). A colorless, odorless, non- poisonous gas that results from fossil fuel com- Chlorination. The application of chlorine to bustion and is normally a part of the ambient air. drinking water, sewage, or industrial waste to disinfect or to oxidize undesirable compounds. Carbon monoxide (CO). A colorless, odorless, poisonous gas produced by incomplete fossil fuel Chlorofluorocarbons (CFCs). A family of inert, combustion. nontoxic, and easily liquefied chemicals used in Glossary of Environmental Terms 445 refrigeration, air conditioning, packaging, and to form a humus-like material. Controlled insulation or as solvents and aerosol propellants. methods of composting include mechanical Because CFCs are not destroyed in the lower at- mixing and aerating, ventilating the materials mosphere, they drift into the upper atmosphere, by dropping them through a vertical series of where their chlorine components destroy ozone. aerated chambers, or placing the compost in piles in the open air and mixing or turning it Chromium. See Heavy metals periodically. Chronic toxicity. The capacity of a substance to Contaminant. Any physical, chemical, biologi- cause long-term poisonous human health effects. cal, or radiological substance or matter that has See also Acute toxicity an adverse affect on air, water, or soil. Cleanup. Actions taken to deal with a release or Conventional systems. Sewerage systems that threat of release of a hazardous substance that have been traditionally used to collect munici- could affect humans, the environment, or both. pal wastewater in gravity sewers and convey it The term is sometimes used interchangeably with to a central primary or secondary treatment plant the terms remedial action, removal action, response prior to discharge to surface waters. action, or corrective action. Cooling tower. A structure that helps remove Coagulation. A clumping of particles in waste- heat from water used as a coolant, e.g., in elec- water to settle out impurities; often induced by tric power generating plants. chemicals such as lime, alum, and iron salts. Corrosion. The dissolving and wearing away of Coliform index. A rating of the purity of water metal caused by a chemical reaction that occurs based on a count of fecal bacteria. between water and the pipes that the water con- tacts, or when chemicals touching a metal sur- Coliform organism. Microorganisms found in face, or when two metals are in contact. the intestinal tracts of humans and animals. Their presence in water indicates fecal pollution and Cover material. Soil used to cover compacted potentially dangerous bacterial contamination by solid waste in a sanitary landfill. disease-causing microorganisms. Cubic feet per minute (cfm). A measure of the Combined sewers. A sewer system that carries volume of a substance flowing through air within both sewage and stormwater runoff. Normally, a fixed period of time. With regard to indoor air, its entire flow goes to a waste treatment plant, refers to the amount of air, in cubic feet, that is but during a heavy storm the stormwater volume exchanged with indoor air in a minute's time, or may be so great as to cause overflows. When this an air exchange rate. happens, untreated mixtures of stormwater and sewage may flow into receiving waters. Storm- Curie. A quantitative measure of radioactivity water runoff may also carry toxic chemicals from equal to 3.7 x 1010 disintegrations per second. industrial areas or streets into the sewer system. Cyclone collector. A device that uses centrifu- Comminution. Mechanical shredding or pulver- gal force to pull large particles from polluted izing of waste; used in both solid waste manage- air. ment and wastewater treatment. Decomposition. The breakdown of matter by Compaction. Reduction of the bulk of solid waste bacteria and fungi; changes the chemical makeup by rolling and tamping. and physical appearance of materials. Composting. The natural biological decompo- Degradation. The process by which a chemical sition of organic material in the presence of air is reduced to a less complex form. 446 POLLUTION PREVENTION AND ABATEMENT HANDBOOK Denitrification. The anaerobic biological reduc- and for the prevention of odors. Traditionally, the tion of nitrate nitrogen to nitrogen gas. level of dissolved oxygen has been accepted as the single most important indicator of the ability Desulfurization. Removal of sulfur from fossil of a water body to support desirable aquatic life. fuels to reduce pollution. Secondary wastewater treatment and advanced wastewater treatment are generally designed to Detergent. Synthetic washing agent that helps protect DO in waste-receiving waters. to remove dirt and oil. Some detergents contain compounds that kill useful bacteria and encour- Dissolved solids. Disintegrated organic and in- age algal growth when they are discharged in organic material contained in water. Excessive wastewater that reaches receiving waters. amounts make water unfit for drinking or for use in industrial processes. Digester. In wastewater treatment, a closed tank; in solid waste conversion, a unit in which bacte- Distillation. The act of purifying liquids through rial action is induced and accelerated to break boiling so that the steam condenses to a pure liq- down organic matter and establish the proper uid and the pollutants remain in a concentrated carbon-to-nitrogen ratio. residue. Dilution ratio. The relationship between the vol- Dump. A site used to dispose of solid wastes ume of water in a stream and the volume of in- without environmental controls. coming water; it affects the ability of the stream to assimilate waste. Ecology. The relationship of living things to one another and their environment, or the study of Dioxin. Any of a family of compounds known such relationships. chemically as dibenzo-p-dioxins. Concern about them arises from their potential toxicity and con- Ecosystem. The interacting system of a biologi- tamination in commercial products. Tests on labo- cal community and its nonliving environmental ratory animals indicate that it is one of the more surroundings. toxic man-made chemicals known. Effluent. Wastewater-treated or untreated- Disinfectant. A chemical or physical process that that flows out of a treatment plant, sewer, or m- kills pathogenic organisms in water. Chlorine is dustrial outfall; generally refers to wastes often used to disinfect sewage treatment efflu- discharged into surface waters. ent, water supplies, wells, and swimming pools. Effluent limitation. Restrictions established by Dispersant. A chemical agent used to break up con- a national environmental agency or by a centrations of organic material such as spilled oil. subnational jurisdiction on quantities, rates, and concentrations in wastewater discharges. Disposal. Final placement or destruction of toxic, radioactive, or other wastes; surplus or banned Electrostatic precipitator (ESP). An air pollu- pesticides or other chemicals; polluted soils; and tion control device that removes particles from drums containing hazardous materials from re- a gas stream (smoke) after combustion occurs. moval actions or accidental releases. Disposal The ESP imparts an electrical charge to the par- may be accomplished through use of approved tides, causing them to adhere to metal plates secure landfills, surface impoundments, land inside the precipitator. Rapping on the plates farming, deep well injection, ocean dumping, or causes the particles to fall into a hopper for incineration. disposal. Dissolved oxygen (DO). The oxygen freely avail- Emission. Pollution discharged into the atmo- able in water; vital to fish and other aquatic life sphere from smokestacks, other vents, and sur- Glossary of Environmental Terms 447 face areas of commercial or industrial facilities, Evapotranspiration. The loss of water from the from residential chimneys; and from motor ve- soil both by evaporation and by transpiration hicle, locomotive, or aircraft exhausts. from the plants growing in the soil. Emission factor. The relationship between the Exposure. A potential health threat to the living amount of pollution produced and the amount organisms in the environment due to the amount of raw material processed. For example, an emis- of radiation or pollutant present in the environment. sion factor for a blast furnace making iron would be the number of pounds of particulates per ton Fabric filter. A cloth device that catches dust par- of raw material. ticles from industrial emissions. Emission standard. The maximum amount of air- Fecal coliform bacteria. Bacteria found in the polluting discharge legally allowed from a single intestinal tracts of mammals. Their presence in source, mobile or stationary. water or sludge is an indicator of pollution and possible contamination by pathogens. Enrichment. The addition of nutrients (e.g., ni- trogen, phosphorus, or carbon compounds) from Fertilizer. Materials such as nitrogen and phos- sewage effluent or agricultural runoff to surface phorus that provide nutrients for plants. Coi- water. This process greatly increases the growth mercially sold fertilizers may contain other potential of algae and aquatic plants. chemicals or may be in the form of processed sew- age sludge. Environment. The sum of all external conditions affecting the life, development, and survival of Filtration. A treatment process, under the control an organism. of qualified operators, for removing solid (par- ticulate) matter from water by passing the water Environmental assessment (EA). A process through porous media such as sand or a man- whose breadth, depth, and type of analysis de- made filter. The process is often used to remove pend on the proposed project. EA evaluates a particles that contain pathogenic organisms. project's potential environmental risks and im- pacts in its area of influence and identifies ways Flocculation. The process by which clumps of of improving project design and implementation solids in water or sewage are made to increase in by preventing, minimizing, mitigating, or com- size by biological or chemical action so that they pensating for adverse environmental impacts and can be separated from the water. by enhancing positive impacts. Flowmeter. A gauge that shows the speed of Environmental audit. 1. An independent assess- wastewater moving through a treatment plant; ment of the current status of a party's compliance also used to measure the speed of liquids mov- with applicable environmental requirements. ing through various industrial processes. 2. An independent evaluation of a party's en- vironmental compliance policies, practices, and Flue gas. Vented air coming- out of a chimney controls. after combustion in the burner; can include ni- trogen oxides, carbon oxides, water vapor, sul- Eutrophication. The slow aging process during fur oxides, particles, and many chemical which a lake, estuary, or bay evolves into a bog pollutants. or marsh and eventually disappears. During the later stages of eutrophication the water body is Flue gas desulfurization. A technology that uses choked by abundant plant life as the result of a sorbent, usually lime or limestone, to remove increased amounts of nutritive compounds such sulfur dioxide from the gases produced by burn- as nitrogen and phosphorus. Human activities ing fossil fuels. Flue gas desulfurization is cur- can accelerate the process. rently the state-of-the-art technology in use by 448 POLLUTION PREVENTION AND ABATEMENT HANDBOOK major sulfur dioxide emitters such as power Groundwater. The supply of fresh water found plants. beneath the Earth's surface (usually in aqui- fers), which is often used for supplying wells Fluorides. Gaseous, solid, or dissolved com- and springs. Because groundwater is a major pounds containing fluorine that result from in- source of drinking water, there is growing con- dustrial processes; excessive amounts in food can cern about areas where leaching agricultural lead to fluorosis. or industrial pollutants or substances from leaking underground storage tanks are con- Fluorocarbon (FCs). Any of a number of organic taminating it. compounds analogous to hydrocarbons in which one or more hydrogen atoms are replaced by fluo- Habitat. The place where a population (e.g., hu- rine. Once used in the United States as a propel- man, animal, plant, or microorganism) lives, and lant in aerosols, they are now primarily used in its surroundings, both living and nonliving. coolants and some industrial processes. FCs con- taining chlorine are called chlorofluorocarbons Half-life. 1. The time required for a pollutant to (CFCs). They are believed to be modifying the lose half its effect on the environment. For ex- ozone layer in the stratosphere, thereby allow- ample, the half-life of DDT in the environment is ing more harmful solar radiation to reach the 15 years and that of radium is 1,580 years. 2. The Earth's surface. time required for half of the atoms of a radioac- tive element to undergo decay. 3. The time re- Fly ash. Noncombustible residual particles from quired for the elimination of half of a total dose the combustion process carried by flue gas. from the body. Food chain. A sequence of organisms each of Hazardous wastes. By-products of society that which uses the next lower member of the se- can pose a substantial or potential hazard to hu- quence as a food source. man health or the environment when improperly managed. Substances classified as hazardous Fugitive emissions. Emissions not caught by a wastes possess at least one of four characteris- capture system. tics-ignitability, corrosivity, reactivity, or toxicity-or appear on special lists. Geiger counter. An electrical device that detects the presence of certain types of radioactivity. Heavy metals. Metallic elements with atomic number greater than 20, such as mercury and lead. Generator. A facility or mobile source that emits They can damage living things at low concentra- pollutants into the air or releases hazardous tions and tend to accumulate in the food chain. wastes into water or soil. Herbicide. A chemical pesticide designed to con- Granular activated carbon (GAC) treatment. A trol or destroy plants, weeds, or grasses. filtering system often used in small water sys- tems and individual homes to remove organics. Holding pond. A pond or reservoir, usually made GAC can be highly effective in removing elevated of earth, built to store polluted runoff. levels of radon from water. Hydrocarbons (HC). Chemical compounds that Greenhouse effect. The warming of the Earth's consist entirely of carbon and hydrogen. atmosphere caused by a buildup of carbon diox- ide or other trace gases; many scientists believe Hydrogen sulfide (HS). Gas emitted during or- that this buildup allows light from the sun's rays ganic decomposition and as a by-product of oil to heat the Earth but prevents a counterbalanc- refining and burning. It smells like rotten eggs ing loss of heat. and, in heavy concentration, can cause illness. Glossary of Environmental Terms 449 Hydrology. The science dealing with the proper- Inversion. An atmospheric condition that oc- ties, distribution, and circulation of water. curs when a layer of warm air prevents the rise of cooling air trapped beneath it. This in turn Impoundment. A body of water or sludge con- prevents the rise of pollutants that might oth- fined by a dam, dike, floodgate, or other bar- erwise be dispersed and can cause an air pol- rier. lution episode. Incineration. 1. Burning of certain types of solid, Ion exchange treatment. A water-softening liquid, or gaseous materials. 2. A treatment tech- method often found on a large scale at water nology involving destruction of waste by con- purification plants; the treatment removes some trolled burning at high temperatures, e.g., organics and radium by adding calcium oxide burning sludge to remove the water and reduce or calcium hydroxide to increase the pH to a level the remaining residues to a safe, nonburnable ash at which the metals will precipitate out. that can be disposed of safely on land, in some waters, or in underground locations. Irrigation. Technique for applying water or wastewater to land areas to supply the water and Incinerator. A furnace for burning wastes under nutrient needs of plants. controlled conditions. Lagoon. 1. A shallow pond in which sunlight, Indicator. In biology, an organism, species, or bacterial action, and oxygen work to purify community whose characteristics show the pres- wastewater; also used for storage of wastewaters ence of specific environmental conditions. or spent nuclear fuel rods. 2. A shallow body of water, often separated from the sea by coral reefs Indirect discharge. Introduction of pollutants or sandbars. from a nondomestic source into a publicly owned waste treatment system. Indirect dischargers can Land application. Discharge of wastewater be commercial or industrial facilities whose onto the ground for treatment or reuse. See also wastes go into the local sewers. Irrigation Infiltration. 1. The penetration of water through Landfills. 1. Sanitary landfills are land disposal the ground surface into subsurface soil or the sites for nonhazardous solid wastes at which penetration of water from the soil into sewer or wastes are spread in layers, compacted to the other pipes through defective joints, connections, smallest practical volume, and covered at the end or manhole walls. 2. Aland application technique of each operating day. 2. Secure chemical landfills whereby large volumes of wastewater are applied are disposal sites for hazardous wastes that are to land and allowed to penetrate the surface and selected and designed to minimize the chance percolate through the underlying soil. See also of release of hazardous substances into the envi- Percolation ronment. Inorganic chemicals. Chemical substances of Leachate. A liquid that results when water col- mineral origin, not of basically carbon structure. lects contaminants as it trickles through wastes, Insecticide. A pesticide compound specifically agricultural pesticides, or fertilizers. used to kill or control the growth of insects. Leaching. The process by which soluble constitu- ents are dissolved and carried down through the Instream use. Water use taking place within a soil by a percolating fluid. Leaching may occur stream channel, e.g., hydroelectric power genera- in farming areas, feedlots, and landfills and may bon, navigation, water quality improvement, fish result in hazardous substances entering surface propagation, or recreation. water, groundwater, or soil. See also Leachate 450 POLLUTION PREVENTION AND ABATEMENT HANDBOOK Limnology. The study of the physical, chemical, contaminants in the groundwater beneath the meteorological, and biological aspects of fresh site. water. Mutagen. Any substance that can cause a change Liner. 1. A relatively impermeable barrier de- in genetic material. signed to prevent leachate from leaking from a landfill. Liner materials include plastic and dense Neutralization. Decreasing the acidity or alka- clay. 2. An insert or sleeve for sewer pipes to pre- linity of a substance by adding to it alkaline or vent leakage or infiltration, acidic materials, respectively Mechanical aeration. Use of mechanical energy Nitrate. A compound containing nitrogen that to inject air into water, causing a waste stream to can exist in the atmosphere or as a dissolved gas absorb oxygen. in water and can have harmful effects on humans and animals. Nitrates in water can cause severe Methane. A colorless, nonpoisonous, flammable illness in infants and cows. gas created by anaerobic decomposition of or- ganic compounds. Nitric oxide (NO). A gas formed by combustion under high temperature and high pressure in an Microbes. Microscopic organisms such as algae, internal combustion engine. It changes to nitro- viruses, bacteria, fungi, and protozoa, some of gen dioxide in the ambient air and contributes to which cause disease. photochenical smog. Mitigation. Measures taken to reduce adverse Nitrification. The process whereby ammonia in impacts on the environment. wastewater is oxidized to nitrite and then to ni- trate by bacterial or chemical reactions. Mixed liquor. A mixture of activated sludge and water containing organic matter undergoing ac- Nitrogen dioxide (NO2). The result of nitric ox- tivated sludge treatment in an aeration tank. ide combining with oxygen in the atmosphere; a major component of photochemical smog. Mobile source. A moving producer of air pollu- tion, mainly forms of transport such as cars, Nitrogenous wastes. Animal or vegetable residues trucks, motorcycles, and airplanes. that contain significant amounts of nitrogen. Modeling. An investigative technique using a Nitrogen oxides (NO). Products of combustion mathematical or physical representation of a sys- from transport and stationary sources and major tem or theory that accounts for all or some of its contributors to acid deposition and the forma- known properties. Models are often used to test tion of ground-level ozone in the troposphere. the effect of changes in system components on the overall performance of the system. Nonpoint sources. Pollution sources that are dif- fuse and do not have a single point of origin or Monitoring. Periodic or continuous surveillance are not introduced into a receiving stream from or testing to determine the level of compliance a specific outlet. The pollutants are generally car- with statutory requirements or pollutant levels nried off the land by storm-water runoff. The com- in various media or in humans, animals, and monly used categories for nonpoint sources are other living things. agriculture, forestry urban, mining, construction, dams and channels, land disposal, and saltwater Monitoring wells. Wells drilled at a site to col- intrusion. lect groundwater samples for the purpose of physical, chemical, or biological analysis to de- Nutrient. Any substance assimilated by living termine the amounts, types, and distribution of things that promotes growth. The term is gener- Glossary of Environmental Terms 451 ally applied to nitrogen and phosphorus in waste- surface), ozone is a form of oxygen found natu- water but is also applied to other essential and rally that provides a protective layer shielding trace elements. the Earth from the harmful health effects of ul- traviolet radiation on humans and the environ- Organic. 1. Referring to or derived from living ment. organisms. 2. In chemistry, any compound con- taining carbon. Ozone depletion. Destruction of the strato- spheric ozone layer that shields the Earth from Organic chemicals/compounds. Animal- or ultraviolet radiation harmful to biological life. plant-produced substances containing mainly This destruction of ozone is caused by the break- carbon, hydrogen, and oxygen. down of certain chlorine- or bromine-containing compounds (chlorofluorocarbons or halons) that Organophosphates. Pesticide chemicals that con- break down when they reach the stratosphere and tain phosphorus; used to control insects. They are catalytically destroy ozone molecules. short-lived, but some can be toxic when first applied. Particulates. Fine liquid or solid particles, such as dust, smoke, mist, fumes, or smog, found in Outfall. The place where an effluent is discharged air or emissions. into receiving waters. Pathogenic. Capable of causing disease. Overburden. The rock and soil cleared away be- fore mining. Pathogens. Microorganisms that can cause dis- ease in other organisms or in humans, other ani- Overland flow. A land application technique that mals, and plants. They may be bacteria, viruses, cleanses waste by allowing it to flow over a or parasites and are found in sewage, in runoff sloped surface. As the water flows over the sur- from animal farms or rural areas populated with face, the contaminants are removed. The water domestic or wild animals, and in water used for is collected at the bottom of the slope for reuse. swimming. Fish and shellfish contaminated by pathogens, or the contaminated water itself, can Oxidation. 1. The addition of oxygen, which cause serious illness. breaks down organic waste or chemicals such as cyanides, phenols, and organic sulfur com- Percolation. The movement of water downward pounds in sewage by bacterial and chemical andradiallythroughthesubsurfacesoillayers,usu- means. 2. Oxygen combining with other ele- ally continuing downward to the groundwater. ments. 3. The process in chemistry whereby elec- trons are removed from a molecule. Permeability. The rate at which liquids pass through soil or other materials in a specified Oxidation pond. A man-made lake or body of direction. water in which liquid waste is consumed by bac- teria. It is used most frequently with other wa- Permit. An authorization, license, or equivalent ter-treatment processes. An oxidation pond is control document issued by an approved agency basically the same as a sewage lagoon. to implement the requirements of an environ- mental regulation; e.g., a permit to operate a Ozone (0). Found in two layers of the atmo- wastewater treatment plant or to operate a facil- sphere, the troposphere and the stratosphere. In ity that may generate harmful emissions. the troposphere (the layer extending 7 to 10 miles up from the Earth's surface), ozone is a chemical Persistence. Refers to the length of time a com- oxidant and major component of photochemi- pound, once introduced into the environment, cal smog. In the stratosphere (the atmospheric stays there. A compound may persist for less than layer beginning 7 to 10 miles above the Earth's a second or indefinitely. 452 POLLUTION PREVENTION AND ABATEMENT HANDBOOK Pesticide. Substance or mixture of substances Phytotoxic. Something that harms plants. intended for preventing, destroying, repelling, or mitigating any pest. Also, any substance or mix- Plume. 1. Visible or measurable discharge of a ture of substances intended for use as a plant contaminant from a given point of origin; can be regulator, defoliant, or desiccant. Pesticides can visible or thermal in water or visible in the air as, accumulate in the food chain or contaminate the for example, a plume of smoke. 2. The area of environment if misused. measurable and potentially harmful radiation leaking from a damaged reactor. 3. The distance pH. A measure of the acidity or alkalinity of a from a toxic release considered dangerous for liquid or solid material, those exposed to the leaking fumes. Phenols. Organic compounds that are byprod- Point source. A stationary location or fixed facility ucts of petroleum refining, tanning, and textile, from which pollutants are discharged or emitted; dye, and resin manufacturing. Low concentra- any single identifiable source of pollution, e.g., a tions cause taste and odor problems in water; pipe, ditch, ship, ore pit, or factory smokestack. higher concentrations can kill aquatic life and humans. Pollutant. Generally, the presence of matter or energy whose nature, location, or quantity pro- Phosphates. Certain chemical compounds con- duces undesired environmental effects. Under the taining phosphorus. U.S. Clean Water Act, for example, the term is defined as the man-made or man-induced alter- Phosphorus. An essential chemical food element ation of the physical, biological, and radiologi- that can contribute to the eutrophication of lakes cal integrity of water. and other water bodies. Increased phosphorus levels result from discharge of phosphorus-con- Polychorinated biphenyls (PCBs). a group of taiing materials into surface waters. toxic, persistent chemicals used in transformers and capacitators for insulating purposes and in Photochemical oxidants. Air pollutants formed gas pipeline systems as a lubricant. by the action of sunlight on oxides of nitrogen and hydrocarbons. Polyelectrolytes. Synthetic chemicals that help solids to clump during sewage treatment. Photosynthesis. The manufacture of carbohy- drates and oxygen by plants from carbon diox- Polymers. The basic molecular ingredients in ide and water in the presence of chlorophyll, plastic. using sunlight as an energy source. Polyvinyl chloride (PVC). A tough, environmen- Physical and chemical treatment. Processes gen- tally indestructible plastic that releases hydro- erally used in large-scale wastewater treatment chloric acid when burned. facilities. Physical processes may involve air stripping or filtration. Chemical treatment in- Potable water. Water that is safe for drinking and cludes coagulation, chlorination, or ozone addi- cooking. tion. The term can also refer to treatment of toxic materials in surface waters and groundwater, oil ppm/ppb. Parts per million/parts per billion, a spills, and some methods of dealing with haz- way of expressing tiny concentrations of pollut- ardous materials on or in the ground. ants in air, water, soil, human tissue, and food and or other products. Phytoplankton. That portion of the plankton community comprised of tiny plants, e.g., algae, Precipitation. Removal of solids from liquid diatoms. waste so that the hazardous solid portion can be Glossary of Environmental Terms 453 disposed of safely; removal of particles from air- Recycle/reuse. The process of minimizing the borne emissions. generation of waste by recovering usable prod- ucts that might otherwise become wastes. Ex- Precipitators. Air pollution control devices that amples are the recycling of aluminum cans, waste collect particles from an emission. paper, and bottles. Precursor. In photochemical terminology, a com- Red tide. A proliferation of a marine plankton pound such as a volatile organic compound that is toxic and often fatal to fish. This natural phe- (VOC) that "precedes" an oxidant. Precursors nomenon may be stimulated by the addition of nu- react in sunlight to form ozone or other photo- trients. A tide can be called red, green, or brown, chemical oxidants. depending on the coloration of the plankton. Pretreatment. Processes used to reduce, elimi- Refuse. See Solid waste nate, or alter the nature of wastewater pollut- ants from nondomestic sources before they are Residual. Amount of a pollutant remaining in discharged into publicly owned treatment the environment after a natural or technological works. process has taken place, e.g., the sludge remain- ing after initial wastewater treatment, or particu- Prevention. Measures taken to minimize the re- lates remaining in air after the air passes through lease of wastes to the environment, a scrubbing or other pollutant removal process. Primary wastewater treatment. First steps in Resistance. For plants and animals, the ability wastewater treatment; screens and sedimentation to withstand poor environmental conditions or tanks are used to remove most materials that float attacks by chemicals or disease. The ability may or will settle. Primary treatment results in the be inborn or developed. removal of about 30% of carbonaceous biochemi- cal oxygen demand (BOD) from domestic sew- Resource recovery. The process of obtaining age. See also Secondary wastewater treatment; matter or energy from materials formerly dis- tertiary wastewater treatment carded. Putrescible. Able to rot quickly enough to cause Reverse osmosis. A water treatment process used odors and attract flies. in small water systems by adding pressure to force water through a semipermeable membrane, Pyrolysis. Decomposition of a chemical by ex- Reverse osmosis removes most drinking water treme heat. contaminants. It is also used in wastewater treat- ment. Large-scale reverse osmosis plants are now Radiobiology. The study of the effects of radia- being developed. tion on living things. Risk assessment. The qualitative and quantita- Radiation. Any form of energy propagated as tive evaluation performed in an effort to define rays, waves, or streams of energetic particles. The the risk posed to human health or the environ- term is frequently used in relation to the emis- ment by the presence or potential presence and sion of rays from the nucleus of an atom. use of specific pollutants. Raw sewage. Untreated wastewater. Rubbish. Solid waste, excluding wood waste and ashes, from homes, institutions, and workplaces. Receiving waters. A river, lake, ocean, stream, or other watercourse into which wastewater or Runoff. That part of precipitation, snowmelt, or treated effluent is discharged. irrigation water that runs off the land into streams 454 POLLUTION PREVENTION AND ABATEMENT HANDBOOK or other surface water; can carry pollutants from Sediments. Soil, sand, and minerals washed from the air and land into the receiving waters. land into water, usually after rain. Sediments pile up in reservoirs, rivers, and harbors, destroying Salinity. The degree of salt in water. fish-nesting areas and holes of water animals and clouding the water so that needed sunlight may Salts. Minerals that water picks up as it passes not reach aquatic plants. Careless farming, mm- through the air and over and under the ground ing, and building activities will expose sedimen, and as it is used by households and industry. materials, allowing them to be washed off the land after rainfalls. Sand filters. Devices that remove some sus- pended solids from sewage. Air and bacteria de- Septic tank. An underground storage tank for compose additional wastes filtering through the wastes from homes having no sewer line to a sand so that cleaner water drains from the bed. treatment plant. The wastes go directly from the home to the tank, where the organic waste is de- Sanitary landfill. See Landfills composed by bacteria and the sludge settles to the bottom. The effluent flows out of the tank into Sanitary sewers. Underground pipes that carry the ground through drains; the sludge is pumped off only domestic or industrial waste, not out periodically. stormwater. Settleable solids. Material heavy enough to sink Sanitation. Control of physical factors in the en- to the bottom of a wastewater treatment tank. vironment that could harm human development, health, or survival. Settling tank. A holding area for wastewater in which heavier particles sink to the bottom for Screening. Use of screens to remove coarse float- removal and disposal. ing and suspended solids from sewage. Sewage. The waste and wastewater produced by Scrubber. An air pollution device that uses a residential and commercial establishments and spray of water or reactant or a dry process to trap discharged into sewers. pollutants in emissions. Sewage sludge. Sludge produced at a munici- Secondary wastewater treatment. The second pal treatment works. step in most publicly owned water treatment systems, in which bacteria consume the organic Sewer. A channel or conduit that carries waste- parts of the waste. It is accomplished by bring- water and stormwater runoff from the source to ing together waste, bacteria, and oxygen in trick- a treatment plant or receiving stream. Sanitary ling filters or in the activated sludge process. This sewers carry household, industrial, and commer- treatment removes floating and settleable solids cial wastes. Storm sewers carry runoff from rain and about 90% of the oxygen-demanding sub- or snow. Combined sewers are used for both pur- stances and suspended solids. Disinfection is the poses. final stage of secondary treatment. See also Pri- mary wastewater treatment; Tertiary wastewa- Silt. Fine particles of sand or rock that can be ter treatment picked up by the air or water and deposited as sediment. Sedimentation. Letting solids settle out of waste- water by gravity during wastewater treatment. Siting. The process of choosing a location for a facility. Sedimentation tanks. Holding areas for waste- water in which floating wastes are skimmed off Skimming. Using a machine to remove oil or and settled solids are removed for disposal. scum from a the surface of the water. Glossary of Environmental Terms 455 Slow sand filtration. Treatment process involv- Stabilization. Conversion of the active organic ing passage of raw water through a bed of sand matter in sludge into inert, harmless material. at low velocity that results in the substantial removal of chemical and biological contami- Stable air. A mass of air that is not moving nor- nants. mally, so that it holds rather than disperses pol- lutants. Sludge. A semisolid residue from any of a num- ber of air or water treatment processes. Sludge Stack. A chimney or smokestack; a vertical pipe can be a hazardous waste. that discharges used air. Slurry. A watery mixture of insoluble matter Stack effect. Used air, as in a chimney, that moves that results from some pollution control tech- upward because it is warmer than the surround- niques. ing atmosphere. Smelter. A facility that melts or fuses ore, often Sterilization. 1. In pest control, the use of radiation with an accompanying chemical change, to sepa- and chemicals to damage body cells needed for re- rate the metal. Emissions from smelters are production. 2. The destruction of all living organ- known to cause pollution. isms in water or on the surface of various materials. In contrast, disinfection is the destruction of most Smog. Fog made heavier and darker by smoke. living organisms in water or on surfaces. Air pollution associated with oxidants. See also Photochemical oxidants Strip mining. A process that uses machines to scrape soil or rock away from mineral deposits Smoke. Particles suspended in air after incom- just under the earth's surface. plete combustion of materials. Sulfur dioxide (SO,). A heavy, pungent, color- Solid wastes. Nonliquid, nonsoluble materials, less, gaseous air pollutant formed primarily by ranging from municipal garbage to industrial processes involving fossil fuel combustion. wastes, that contain complex, and sometimes hazardous, substances. Solid wastes include Sump. A pit or tank that catches liquid runoff sewage sludge, agricultural refuse, demolition for drainage or disposal. wastes, and mining residues. Technically, solid wastes also refer to liquids and gases in con- Surface water. All water naturally open to the tainers. atmosphere (rivers, lakes, reservoirs, streams, impoundments, seas, estuaries, etc.); also refers Solid waste disposal. The final placement of to springs, wells, or other collectors that are di- refuse that is not salvaged or recycled. rectly influenced by surface water. Solid waste management. Supervised handling Surfactant. A surface-active agent used in deter- of waste materials from their source through re- gents to cause lathering. covery processes to disposal. Suspended solids. Small particles of solid pol- Solidification and stabilization. Removal of lutants that float on the surface of or are sus- wastewater from a waste or changing it chemi- pended in sewage or other liquids. They resist cally to make the waste less permeable and less removal by conventional means. See also Total susceptible to transport by water. suspended solids Solvent. Substance (usually liquid) capable of Tailings. Residue of raw materials or waste sepa- dissolving or dispersing one or more other sub- rated out during the processing of crops or m- stances. eral ores. 456 POLLUTION PREVENTION AND ABATEMENT HANDBOOK Teratogen. Substance that causes malformation Underground storage tank. A tank located or serious deviation from normal development wholly or partially under ground that is designed of embryos and fetuses. to hold gasoline or other petroleum products or chemical solutions. Tertiary wastewater treatment. Advanced clean- ing of wastewater that goes beyond the second- Urban runoff. Stormwater from city streets and ary or biological stage to remove nutrients such adjacent domestic or commercial properties that as phosphorus and nitrogen and most biochemi- may carry pollutants of various kinds into sewer cal oxygen demand (BOD) and suspended sol- systems or receiving waters. ids. See also Primary wastewater treatment; Secondary wastewater treatment Vapor. The gaseous phase of substances that are liquid or solid at atmospheric temperature and Thermal pollution. Discharge of heated water pressure, e.g., steam. from industrial processes that can affect the life processes of aquatic organisms. Vapor capture system. Any combination of hoods and ventilation system that captures or contains Total suspended solids (TSS). A measure of the organic vapors so that they may be directed to suspended solids in wastewater, effluent, or wa- an abatement or recovery device. ter bodies. See also Suspended solids Vector. 1. An organism, often an insect or rodent, Toxic pollutants. Materials contaminating the that carries disease. 2. An object (e.g., plasmids, environment that cause death, disease, or birth viruses, or other bacteria) used to transport genes defects in organisms that ingest or absorb them. into a host cell. A gene is placed in the vector; the The quantities and length of exposure necessary vector then "infects" the bacterium. to cause these effects can vary widely. Vinyl chloride. A chemical compound, used in Toxic substance. A chemical or mixture that may producing some plastics, that is believed to be present an unreasonable risk of injury to health carcinogenic. or the environment. Volatile. Description of any substance that evapo- Toxicity. The degree of danger posed by a sub- rates readily. stance to animal or plant life. See also Acute tox- icity; Chronic toxicity Volatile organic compound (VOC). Any or- ganic compound that participates in atmo- Trichloroethylene (TCE). A stable, low-boiling- spheric photochemical reactions; generally point colorless liquid, toxic by inhalation. TCE is have a boiling point of less than 1450 Celsius. used as a solvent, as a metal degreasing agent, See Anthony J. Buonicore and Wayne T. Davis, and in other industrial applications. eds., Air Pollution Engineering Manual (New York: Van Nostrand Reinhold,1992), Table 7, Trickling filter. A coarse biological treatment p. 45. system in which wastewater trickles over a bed of stones or other material covered with bacte- Wastes. 1. Unwanted materials left over from a rial growth. The bacteria break down the organic manufacturing process. 2. Refuse from places of waste in the sewage and produce clean water. human or animal habitation. Turbidity. 1. Haziness in air caused by the pres- Wastewater treatment plant. A facility contain- ence of particles and pollutants. 2. A similar ing a series of tanks, screens, filters, and other cloudy condition in water due to suspended silt processes by which pollutants are removed from or organic matter. water. Glossary of Environmental Terms 457 Wastewater treatment stream. The continuous Water quality criteria. Specific levels of water movement of wastes from generator to treater quality that, if reached, are expected to render a and disposer. body of water suitable for its designated use. The criteria are based on specific levels of pollutants Wastewater. Spent or used water from individual that would make the water harmful if used for homes, communities, farms, or industries that drinking, swimming, farming, fish production, contains dissolved or suspended matter. or industrial processes. Wastewater operations and maintenance. Ac- Watershed. The land area that drains into a tions taken after construction to ensure that fa- stream. cilities constructed to treat wastewater will be properly operated, maintained, and managed to Wetlands. An area that is regularly saturated by achieve efficiency levels and prescribed effluent surface water or groundwater and is subse- levels in an optimum manner. quently characterized by a prevalence of vegeta- tion adapted for life in saturated soil conditions. Water pollution. The presence in water of enough Examples include swamps, bogs, fens, marshes, harmful or objectionable material to damage and estuaries. water quality. Distributors ofWorld Bank Group Publications Prices and credit terms vary from CZECH REPUBLIC INDIA Eulyoo Pablishing Ca Ltd PERU SWEDEN country to country. Consull your USIS NIS Prodeina Allied Publishers Ltd 40-1 Sosong-Dong Editorial Desarrollo SA Wennergmn-Witiams AS local distributor before placing an Havelkosa 22 751 Mount Road Jongro-Gu Apartado 3824, Ica 242 OF 100 P. Boo 1305 order 13000 Prague 3 Madras -600 002 Seoul Lima 1 S-171 25 Solsa Tel (420 2) 2423 t486 Tel (91 441 852-3938 Tel. (82 2) 734-3515 Tel (51 14) 285380 Tel (46 8) 705-97-50 ARGENTINA Fax: (420212423 1114 Fun l9t 4 852-0640 Faa. (822)732-0154 Faa: (51 14) 286628 Fax (468) 27-00-71 World Publications SA URL http://www,nis.cz/ INDONESIA LEBANON PHILIPPINES E-mail mailOwi so AV Cordoba 1877 DENMARK Pt Indira Limited Libraine do Liban Internahonal Bookource Center Inc SWITZERLAND 1120 Ciadad do Buenos Aires SamfundsLitteratur Jalan Borobudui 20 PO. Bos 11-9232 1 127-A Antipolo St Barangay Librainre Payot Service Institutionnel Tel: (54 11) 4815-8156 Rosenoers Alld 11 R0 Sos 181 Berut Venezuela Cm)tes-de-Montbenon 30 Fax: (54 11) 4815-8156 DK-1970 Frderiksherg C Jakarta 10320 Tel (961 9(217944 Mukati City 1002 Lusanne E-mail wpbooks@infovia.com ar Tel: (45 35) 351942 Tel. (62 21) 390-4290 Foe (961 9) 21? 434 Tel (632(8906501 6505 8507 Tel: (41 21) 341-3229 AUSTRALIA, FIJI, PAPUA NEW Pus: (45 5 357822 Fan 162 21) 390-4280 E-mail. hsayeghOlibrare-du- Pus (632)8961741 Fun: (41 21) 341-3235 GUINEA, SOLOMON ISLANDS, URL htip:/Iw si.cbs dk IRAN libancom lb VANUATU. AND SAMOA URL: hltpI/www lihrairie-du- D.A. Information ServicesSara Co Publishers Internonal Publishing Serice EdiionsTechniques D.A. Witemhos Rvice Libin Mundi Khaled Eslomboli Ave.. 6th Street liban.com.Ib UL. Piekna 31/37 Ch do Lacuez 41 648 Whitehorse Rood Mitcham 3132 Victoria Librera Ioternacrosal Delafrooz Alley No 8 MALAYSIA 00-677 Warawa CH1807 Blonay Tel (61) 3 9210 7777 P0 Son 17-01-3029 P.O. Sox 15745-733 University a) Malaya Cooperative Tel (492)628-6080 Tel (41 21) 043 2673 Fax. (61) 3 9210 7788 Juan Leon Mera 851 Tehran 15117 Bookshop. Limited Fee (402)621-7255 Fun: (41 21)9433605 E-mail. service@dadirect.com.au Quito Tel: (98 21) 8717819. 8716104 P0 Sea 1127 E-mail: books%ips@Ikp.atmcom.p THAILAND UR.ht/wmddrccma Te[ (593 2( 521-606 (5932)544- Pus (98 211 8712479 Jalan 'untoi Sau URL Central Seeks Distribution URL. http://www.dadirect.com.auE-mail. ketab-sra edaet 59700 Kala Lumpr http://www.ipscg waw.pps/epor 306 Siom Road AUSTRIA Pus (593 2)504-209 Kowkab Publishers Tel (603(756-5000 PORTUGAL Bangkok 10500 Gerold and Co E-mail librmul@librimuodr.com ec P0 Sos 19575-511 Fan: (60 3) 755-4424 Livrara Portugal Tel. (662(2336030-9 Weihburggasse 26 E-mail libomn20librimundi com ec Tehran E-mail umkoop@tm.net my Apartado 2681, Rua Do Carm Fao. (662) 237-8321 A-lOll Wien Te[1(411 51247-1- CODEU Tel: (98 21) 258-3723 MEXICO 070-74 Tel (43 1f) 512-47-31-0 TRNDD&OBG Fax (431) 512-47-31-29 Ruin do Castila 763 Edit Expocolor Pus. (98 21) 258-3723 INFOTEC 1200 Linbon TND & TOBA URL: http://www.gerold.co/a.online Prmer pino. 2 IRELAND As San Fernando No 37 Tel (1(347-4982 aND THE C RB Quito GoenetSple gny Cs) Toriello Guerra Pus (1( 347-0264 St. Augostine Shopping Center BANGLADESH Tel/Pax (593 2)507-383:253-091 GovernntSlisa gn 14050 Mexico D.F Eastern Main Road. St Augustine M Icrndustries Development E-alcre ipatnte OiganSoIhr Micro IdsreDeeomn E-alcduipaneec 4-5 Harcourt Read Tel :(525) 624-2800 Trinidad & Tobago, West Indies Assistance Society (MIDAS) EGYPT, ARAB REPUBLIC OP Dubli 2 Pus (52 l 624-2822 ROMANIA Tel. (868)645-8466 HouseS, Road 18 Al Abram Distribution Agency Tel (353 1)661-3111 E-mai intotecOrt netm Compani Do Librarii curesti S.A Fas. (8681645-8467 Thanmondi R/Area URL: http //rtnnetmx SIr Lipscani no.26 sector 3 E-mail tobe@trinidad.ne Ohaka 1209 Cairo Mu9di-Prensa Mexico SA do C V cest Tel. (880 2) 326427 T 2 5 0o L L Fax (880 2) 811188 Pus (202)578-683 Pm Boa Lt5 couo C Fao (40 1(3124000 Gustro Ltd. BELGIUM P0 Boa 9997 Madhvani Building JEaoLanU y The Middle East Observer 3 Yohanan Hasandla Street 06500 Meerco. D F RUSSIAN FEDERATION Plot 16/4 Jin)o Rd Jean De Lannoy Tl 5 )5355 saesv VsMr apl Av.41, Sheri Street Tel Aviv 61560202 1060uRi2 Cairn Tel: (9723)5285-397 Fan. (525) 514-8790 9a Kolpachniy Perelok ruslsel Tel Brussels Tel (202)393-9732 Fa. (97235285-397 NEPAL Moscow 101831 Tel (256 41) 251 48 Tel (32 2) 538-816 Faa (202) 393-9732 R O. Interoationat Eserest Media Internationl Services Tel (780951 917 87 49 Pusil (256 sw411 ug251a468 Pan (322) 538-0841 (P.) Ltd Pax (7,095) 91792 59 BRAZIL GPO Boa 5443 ozimarrn0glasnet.ru UNITED KINGDOM PotcaOsTeoca nersious Altateeminen Kirjakauppa Tel Aviv 61130 Microinfo Ltd Publicaces P o 128 Tel: (0723)6499489 Ktmand SINGAPORE; TAIWAN, CHINA Ltda Tel (977 1) 416 026 MYANMAR: BRUNEI PD. Boo 3, Omega Park Alton, Rua Peixoto Gomide, 209 (3580011 4418 Eail r9y2@ntv64 o.ne3 i Faa (977 1)224431 Hemisphere Publicahon Servic Hampshire GU34 2PG 01409 Sao Paulo, SPTe(38012418Emiroi@evso.nt 14KalnPudnRad043 Egad Tel. (55 11) 259-6644 Pus (358 0(121-4435 URL http:/mwww royint coil NETHERLANDS Golden Wheel Building Tel. (44 14201 86848 Fx(51125-90E-mai[ akatilaus0stockmann.fi Palestinian Authority/Middle East Do Lindeboom/Iternationale Singapore 349316 Fan (44 1420) 89889 Pan: (5 s1ma58690 URL http//wwwakateeminencom Index Informaton Services Publcaties ha- Tel: (65 741-5166 E-mail wbank@microint.co.k E-mail. postmaster@pti.uol.hbt URL http.//www.uolbr FRANCE FOB 19502 Jerusalem RO Boo 262 7480 AS Haaksbergen Fax: (65)742-9356 URL hlp:/(www.microinto.co oh CANADA Editions Eska, DBJ Tel (972 216271219 Tel (31 53( 574-0004 E-mail ashgateCasianconnect.com The Stationery TOrfce Reoo Pbloti C Ld 48 roe Gay Lussac Faa (972 2( 6271634 Fax (31 53) 572-9296 SLOVENIA 51 Nine Elms Lane Renou Publishing Co. LtdE-mail. indebo@wodonlie.n London W8 R 5369 Canotek Road Paris Ottawa Ontario K1J 9J3 Tel. J33-1155-2-73-08 Li LiBE ria Sunsos SPA URL http://wwwrdonine.nA-tin- reap Tel (13 74-265Fax (33-11 43-29-91 -67 Via Euca Di Calabs / debsooEnlk et Fun. (44 171) 873-8242 Tel: (613) 745-2665tia11Dnlkoet5UR:ht//w.e-ainry Fax: (613) 745-7660 GERMANY Casella Postale 552 NEW ZEALAND 1000 L(uhbIjna URL:c.ttp:/ E-mail UNO-Vedlag 50125 Firenze EBC ZLdTe[ (386 61) 133 8347, 132 12 30 ec.k order.dept@renoutbooks com Poppesdorlei Allee 55 Tel. (3955)645-415 EriCO NZ Ltd Pus. (38661(1338030 VENEZUELA URL http // wwwrenoutbooks.com 53115 Bonn Faa (3955(41-257 E-mail repansekiCgvestnik. Tecn-Ciencia Libros, S.A CHINA Tel (49 228) 949020 E-altcsWtc.tNew Market Centro Cuidad Comercial Tamanco CHINA Fiania Ipc//aw tbcc.il Auckland SOUTH AFRICA, BOTSWANA Nivel C2 Caracas China Financial omse UaL h /9 a-e) do JAMAICA Tel (649)524-8119 For single titlesEconomic PublishingO rd University Press Southern Tel (58 2 959 8. Da Fo Si Dong Jie E-mail. snosertag@aot.com tan Randle Publishers Ltd. Africa Fax(58 l 959 5636 Beijing GHANA 206 Old Hope Rood Kingston 6 Oasis Official Vasco Boulevard, Goodwood ZAMBIA Tel: (86 10) 6401-7365 Epp Books Services Tel 876-927-2085 PD. Ban 3627 PO Boa 12119, NI City 7463 Unisersity Bookshop University 01 Fax: (86 10) 6401-7365 P.O. Boo 44 Faa 876-977-0243 Wellington Cope Town Zambia Chn okIpr ete TUC E-mail: irplOcolis com Tel (64 4(499 1551 Tel (27 21) 595 4400 Great East Road Campus China Book Import Centre Acr P.O. Box 2825 T 2 7A (64 4)4991972 Faa. (27 21)5954430 RO Boa 32379 Beiing Fa2327909Eastern Book Service E-mail: oasisCactrix.gen.nz E-mail oiord0oup.co.za Lusaka Chines Copoato 21r Pr7909nGREC 3-13 Hongo 3-chome, Bunkyo-ku URL http://www.oasisbooks.co.nz/ Per subscription orders. Tel: (260 1) 252 576 Chinese Corporation for Promotion1Internatona Sbcriphon Service Fan: (2601)253952 of HumanitiesNIEIP0.Bx495ZMAW 52P You Fang Hu Tong.(81 3818-0861 Press Limited Xuan Ne D a To. 81e) 3818-0864 Craighall Academic and Baobab oks (Pvt.) Xa0n Nei TaJit3 en SIr-Fail (81 s@vesco Three Crowns Building Jericho Joannesburg 2024 LId. Seiling 108 tenEmi:odr@a-b op Private Mail Bag 5095 Tel. (27 11( 880-1448 4 Conald Road, Graniteside Tel (86 10) 660 72 494 Tel: (38 1(364-1826 URL lbadan Fax (86 10) 660 72 494 Fax (30 364-8254 http:/iwww.bekkoame otfp/-svt- Tel (234 22) 41-1356 COLOMBIA HAITI ohs Fan (234 22) 41-2056 Emi i c6 a 75ra3e Infoenlace Lida Culture Tifasian KENYA SPAIN Tel 263 4 75503 Carrera 6 No 51-21 5, Rue Cos Africa Book Service (E.A I Ltd PAKISTAN Mundi-Prensa Lbros S A Apartado Aereo 34270 C P 257 Qoaran House, Mlangano Street Mirza Book Agency Castello 37 Sat%d ooADCPort-au-Prince PDO. Son 45245 65 Shah rah-e-Oaid -e-Azam 28001 Madrid Santaf6 do 1) 2 7 Tel (509)239260 Nairobi Loe 54000 Tel (34914 363700 Tel (57 1)285-2798 Fax. (57 1) 285-2798 Faa (509)234858 Tel (25421223641 Tel (92 42( 735 3601 Pus (3491(5753998 COEWVIEHONG KONG, CHINA; MACAD Fun (254 2(330 272 Faa (92 42) 576 3714 E-mail libreria@mundirmna.es COTE DVOIREAsia 2000 Ltd. Legacy Books URL. http://wwwmndiprena.com/ Center d'Edition el de Diffusion Mundi-Prensa Barcelona Africaines (CEDA) Sales & Circoton Department Loita House 5 Bangalore Town 04.P.541302 Seabird Hose Mezzanine I Sharae Faisal C0n elon Abidjan 04 22-28 Wyndham Street. Central RD Sos 68077 P0 Sos 13333 Tel (343,488-3492 Tel (225) 24 ,Hon Kong, China Nairobi Te 22)26502451 Tel (,852) 2530-1409 Tel. (2541 2-330853, 221426 Karachi-75350 Fax (343)487-7659 Fax (225) 25 0567 Foe (852) 2526-1107 Faa (254)2-330854,561654 Tel. (92 21)448307 E-mail: barcelona@mundipmnsa.es CYPRUS E-mail sales0asia2D0D.com.hk E-mail Legacy0form-net.com Fan. (92 2)) 4547640 Center for Applied Research E-mail ouppak*TheOflice.net SRI LANKA, THE MALDIVES Cyprus College HUNGAR KOREA, REPUBLIC OF Lake Hause BClkshop 6.ru Diolge Street. EnDiEr ntevcayang Banks Trading Co Pak Book Corporation 100, Sir Chittampalam Gardiner 6Doa 2006 Enternational Division Aziz Chambers 21 Queen's Road MaEntgoa NPcox Margizoeti Europa Haz 783-20, Pangba Ban-Tong Lahore Colombo 2 Nicosia H1 B Socho-ku Tel: (92 42) 636 3222, 636 0885 Tel (941(32105 Tel: (357 2) 59-0730 H18 dps Pu 37)6-01Tel (36 1)(350 80 24 350 80 25 Seoul Pan, (92 42) 636 2328 Pas (94 1)(432104 Fx(52)6201Fan: (36 11 3500032 Tel (82 2) 536-9555 E-mail. pbc@brain.net.pk E-mail: LHL@sri.lanka net E-mail onoOmaii.matav.hu Faa (82 2) 536-0025 E-mail seAmapchollian net wai 0 ~Internal Docurnents Unit THE WORLD BANK 1818 H Street, N.W. Washington, D.C. 20433 USA Telephone: 202-477-1234 Facsimile: 202-477-6391 World Wide Web: http://www.worldbank.org/ E-mail: books@worldbank.org/ The Pollution Prevention and Abatement Handbook 1998 compiles experience and advice on implementing practical policies, together with industry-specific guidelines for improving performance. It has been prepared by environmental specialists in the World Bank Group, with the support and assistance of a wide range of organizations and individuals, including the United Nations Environment Programme and the United Nations Industrial Development Organization, environmental agencies in several countries, and industry groups and associations. The Handbook includes: * A summary of the key policy lessons in pollution management derived from a decade of practical experience * Examples of best practices used to implement the policies * Detailed guidelines on nearly 40 industries, which represent state-of-the-art thinking on how to reduce pollution emissions and provide numerical targets as well as achievable maximum emissions levels. Originally developed to help staff, clients, and consultants prepare and implement operations supported by the Bank Group, this Handbook updates and replaces the Environmental Guidelines issued in 1988 and reflects changes both in technology and in pollution management policies and practices. It focuses attention on the environmental and economic benefits of preventing pollution and emphasizes cleaner production and good management techniques. THE WORLD BANK GROUP The mission of the World Bank Group is to fight poverty with passion and professionalism for lasting results; to help people help themselves and their environment by providing resources, sharing knowledge, building capacity, and forging partnerships in the public and private sectors; and to be an excellent institution able to attract, excite, and nurture committed staff with exceptional skills who know how to listen and learn. 13638 The World Bank Group consists of the International Bank for Reconstruction and Development (IBRD), the International Development Association (IDA), the International Finance Corporation (IFC), the International Centre for Settlement of Investment Disputes (ICSID), and the Multilateral 9 78082 336380 Investment Guarantee Agency (MIGA). ISBN -8213-3638-X